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

L• A••••••• S••

Former SEC-registered adviserSantiago, CRD 290350SEC 801-112109websiteIAPD
Latest filing Mar 24, 2025
First filing on the tape Nov 2, 2017 · 9 filings
SEC status approved since Dec 4, 2017
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$0 as of Mar 24, 2025
Mar 26, 2020$0 then
HNW client RAUM$0 as of Mar 24, 2025
Mar 27, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 24, 2025
Mar 27, 20180 then
Employees (5.A)5 as of Mar 24, 2025
Mar 27, 20185 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2025; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S•••••• B••••••• F•••••••• · Chief Compliance Officercontrol
        since 10/2017 · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list L• A••••••• S•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Financial planning clients · unset to
        Mar 25, 2024 to Mar 24, 2025
      • HQ state · unset to
        Mar 25, 2024 to Mar 24, 2025
      • BD registered reps · 0 to 1
        Mar 30, 2021 to Mar 17, 2022
      • Accounts · unset to 0.0
        Apr 3, 2019 to Mar 26, 2020
      • Discretionary RAUM · unset to 0.0
        Apr 3, 2019 to Mar 26, 2020
      • Non-discretionary RAUM · unset to 0.0
        Apr 3, 2019 to Mar 26, 2020
      • RAUM · unset to 0.0
        Apr 3, 2019 to Mar 26, 2020
      • Accounts · 0.0 to unset
        Nov 2, 2017 to Mar 27, 2018
      • Discretionary RAUM · 0.0 to unset
        Nov 2, 2017 to Mar 27, 2018
      • Non-discretionary RAUM · 0.0 to unset
        Nov 2, 2017 to Mar 27, 2018
      • RAUM · 0.0 to unset
        Nov 2, 2017 to Mar 27, 2018
      Signals
      2 dated events
      • L• A••••••• S•• no longer on the SEC adviser roster (last listed 2026-03-02)
        Apr 1, 2026 · Left the SEC roster · derived
      • L• A••••••• S•• filed its initial SEC registration (Form ADV)
        Nov 2, 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