DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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Former SEC-registered adviser
S••••• R•••• C•••••• A••••••• L•
Latest filing Mar 29, 2019
First filing on the tape Jan 12, 2018 · 4 filings
RAUM
$47.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$47.0M gross assets
History
4 filings and snapshots on the tape
RAUM$47.0M as of Mar 29, 2019
Jan 12, 2018$28.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Jan 12, 20180 then
Employees (5.A)6 as of Mar 29, 2019
Jan 12, 20188 then
Private funds1 as of Mar 29, 2019
Jan 12, 20181 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 29, 2019; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $15.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $47.0M, 3 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- the adviser acts as qualified custodian (9.D.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$47.0M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $47.0M for 3 clientsreported
- Compensation
- fixed, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••• R•••• C•••••• P••••••• M••••• F••• L••• | Hedge Fund | $47.0M | 11 | Jan 12, 2018 |
Owners and control persons
Schedule A and B, latest filing
- S•••••• R••••••• A•••••• · Ownercontrolsince 07/2016 · owns 75% or more
- S•••••• R••••••• A•••••• · Managing Membercontrolsince 05/2016 · owns 75% or more of S••••• R•••• G• L••
- L•••• S•••••• Y••••• · Coosince 07/2016 · owns less than 5%
- S••••••• L••••••• · Cco/Cfosince 07/2016 · owns less than 5%
Entity owners
- S••••• R•••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- S••••• R•••• C•••••• M••••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Charity clients · unset to 0.0Jun 13, 2018 to Mar 29, 2019
- Corporate clients · unset to 0.0Jun 13, 2018 to Mar 29, 2019
- HNW clients · unset to 0.0Jun 13, 2018 to Mar 29, 2019
- Individual clients · unset to 0.0Jun 13, 2018 to Mar 29, 2019
- Pension plan clients · unset to 0.0Jun 13, 2018 to Mar 29, 2019
- Assets in custody · $41.8M to $47.0MJun 13, 2018 to Mar 29, 2019
- Discretionary RAUM · $41.8M to $47.0MJun 13, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $41.8M to $47.0MJun 13, 2018 to Mar 29, 2019
- RAUM · $41.8M to $47.0MJun 13, 2018 to Mar 29, 2019
- Advisory employees · 4 to 3Feb 12, 2018 to Jun 13, 2018
- Assets in custody · $28.5M to $41.8MFeb 12, 2018 to Jun 13, 2018
- Employees · 8 to 6Feb 12, 2018 to Jun 13, 2018
- Discretionary RAUM · $28.5M to $41.8MFeb 12, 2018 to Jun 13, 2018
- Pooled vehicle RAUM · $28.5M to $41.8MFeb 12, 2018 to Jun 13, 2018
- RAUM · $28.5M to $41.8MFeb 12, 2018 to Jun 13, 2018
- Business name · S••••• R•••• C•••••• A•••••••• L•• to S••••• R•••• C•••••• A••••••• L•Jan 12, 2018 to Feb 12, 2018
- Legal name · S••••• R•••• C•••••• A•••••••• L•• to S••••• R•••• C•••••• A••••••• L•Jan 12, 2018 to Feb 12, 2018
Signals
1 dated events
- S••••• R•••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jan 12, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026