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S••• B••••••••• A•••• P•••••••

Former SEC-registered adviserFormer SEC adviser2 private funds· Denver, Colorado

Former SEC-registered adviser, based in Denver, Colorado, reporting $31.4M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$31.4M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
Not applicable
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 7 Form ADV filings for this adviser, the latest 7.9 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 289877 · SEC 801-112214 · 7 filingsShow
CRD 289877SEC 801-112214Legal name S••• B••••••••• A•••• P•••••••• L••First filing on the tape Nov 22, 2017, latest Nov 26, 2018IAPD
RAUM
$31.4M
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
12
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$31.4M gross assets
History
7 filings and snapshots on the tape
RAUM$31.4M as of Nov 26, 2018
Mar 30, 2018$31.4M then
HNW client RAUM$0 as of Nov 26, 2018
Nov 22, 2017$0 then
State-registered IARs (5.B.3)1 as of Nov 26, 2018
Nov 22, 20171 then
Employees (5.A)12 as of Nov 26, 2018
Nov 22, 20173 then
Private funds2 as of Nov 26, 2018
Mar 30, 20182 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Nov 26, 2018; every figure names its basis
RAUM per advisor
$31.4MderivedRAUM 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
12.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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 individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$31.4M, 2 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$31.4M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$31.4M for 2 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
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••• M••••• F••• I•• L••Hedge Fund$20.3M4Mar 30, 2018
      S••• M••••• F••• I• L••Hedge Fund$11.2M1Mar 30, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • B•••• G••••••• L• · Chief Investment Officercontrol
        since 08/2017 · owns less than 5%
      • O•••• S•••• · Shareholdercontrol
        since 09/2016 · owns 25% to 50% of S••• L•••••• H•••••••• I•••
      • B••••• A••••••• R•••••• · Chief Compliance Officer
        since 11/2018 · owns less than 5%
      Entity owners
      • S••• L•••••• H•••••••• I••• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • S••• B••••••••• A•••• M••••••••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory activities · 1 to 2
        Mar 30, 2018 to May 4, 2018
      • Accounts · unset to 2.0
        Dec 6, 2017 to Mar 30, 2018
      • Advisory activities · 2 to 1
        Dec 6, 2017 to Mar 30, 2018
      • BD registered reps · 0 to 3
        Dec 6, 2017 to Mar 30, 2018
      • Pooled vehicle clients · 0 to 2
        Dec 6, 2017 to Mar 30, 2018
      • Assets in custody · unset to 31439263.0
        Dec 6, 2017 to Mar 30, 2018
      • Custody of client assets · false to true
        Dec 6, 2017 to Mar 30, 2018
      • Employees · 3 to 12
        Dec 6, 2017 to Mar 30, 2018
      • Financial planning clients · 0 to unset
        Dec 6, 2017 to Mar 30, 2018
      • Private funds · unset to 2
        Dec 6, 2017 to Mar 30, 2018
      • Discretionary RAUM · unset to 31439263.0
        Dec 6, 2017 to Mar 30, 2018
      • Non-discretionary RAUM · unset to 0.0
        Dec 6, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · $0 to $31.4M
        Dec 6, 2017 to Mar 30, 2018
      • RAUM · unset to 31439263.0
        Dec 6, 2017 to Mar 30, 2018
      Signals
      1 dated events
      • ••• Locked
        Nov 22, 2017 · 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