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•••••••• C•••••• M••••••••• L•
Latest filing Mar 17, 2025
First filing on the tape May 24, 2024 · 4 filings
SEC status approved since Jun 24, 2024
RAUM
$228M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$228M as of Mar 17, 2025
Feb 18, 2025$228M then
HNW client RAUM$0 as of Mar 17, 2025
Feb 18, 2025$0 then
State-registered IARs (5.B.3)2 as of Mar 17, 2025
Feb 18, 20253 then
Employees (5.A)2 as of Mar 17, 2025
Feb 18, 20254 then
Private funds1 as of Mar 17, 2025
Feb 18, 20251 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 17, 2025; every figure names its basis
- RAUM per advisor
- $114MderivedRAUM 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
- $75.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $72.1M, 1 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$228M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $72.1M for 1 clientsreported
- Compensation
- % of AUM, 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•••••••• I••••••••• F•••• L• | Hedge Fund | $70.8M | 20 | Oct 17, 2017 |
Owners and control persons
Schedule A and B, latest filing
- L••• R•••• · Managing Partnercontrolsince 06/2017 · owns 50% to 75%
- U••••••••• W••••••• · Partner And Chief Compliance Officercontrolsince 10/2017 · owns 25% to 50%
- L••• R•••• · Managing Membercontrolsince 06/2017 · owns 50% to 75% of S•••••••• G•• L••
- U••••••••• W••••••• · Membercontrolsince 10/2017 · owns 25% to 50% of S•••••••• G•• L••
Entity owners
- S•••••••• G•• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- S•••••••• C•••••• P••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 2Feb 18, 2025 to Mar 17, 2025
- Employees · 4 to 2Feb 18, 2025 to Mar 17, 2025
- Financial planning clients · unset to Feb 18, 2025 to Mar 17, 2025
- State-registered IARs · 3 to 2Feb 18, 2025 to Mar 17, 2025
- Discretionary RAUM · $195M to $228MJul 23, 2024 to Feb 18, 2025
- HNW RAUM · unset to 0.0Jul 23, 2024 to Feb 18, 2025
- Individual RAUM · unset to 0.0Jul 23, 2024 to Feb 18, 2025
- Pension RAUM · unset to 0.0Jul 23, 2024 to Feb 18, 2025
- Pooled vehicle RAUM · $195M to $228MJul 23, 2024 to Feb 18, 2025
- RAUM · $195M to $228MJul 23, 2024 to Feb 18, 2025
- Charity clients · unset to 0.0Jul 23, 2024 to Feb 18, 2025
- Corporate clients · unset to 0.0Jul 23, 2024 to Feb 18, 2025
- HNW clients · unset to 0.0Jul 23, 2024 to Feb 18, 2025
- Individual clients · unset to 0.0Jul 23, 2024 to Feb 18, 2025
- Pension plan clients · unset to 0.0Jul 23, 2024 to Feb 18, 2025
- Assets in custody · $70.8M to $72.1MJul 23, 2024 to Feb 18, 2025
- Advisory employees · 2 to 3May 24, 2024 to Jul 23, 2024
- Employees · 3 to 4May 24, 2024 to Jul 23, 2024
- State-registered IARs · 2 to 3May 24, 2024 to Jul 23, 2024
- Private funds · 2 to 1May 24, 2024 to Jul 23, 2024
Signals
2 dated events
- S•••••••• C•••••• M••••••••• L• no longer on the SEC adviser roster (last listed 2026-01-02, RAUM $227.8M)Feb 2, 2026 · Left the SEC roster · derived
- S•••••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)May 24, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••••••• C•••••• M••••••••• L• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- S••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
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