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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SEC-registered adviser
S••••••••• C•••••• M••••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Dec 12, 2017 · 19 filings
SEC status approved since Jan 17, 2018
RAUM
$735M
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
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$735M as of Mar 23, 2026
Mar 20, 2019$540M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2026
Mar 20, 20190 then
Employees (5.A)5 as of Mar 23, 2026
Mar 20, 20197 then
Private funds2 as of Mar 23, 2026
Mar 20, 20192 then
RAUM +4.6% over the last fiscal year+3.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 2026; 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
- $368MderivedRAUM 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
- +4.6%derivedbetween 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 pooled vehiclesreportedItem 5.G
- Custody
- $735M, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$735M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $735M for 2 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=5.0derived
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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••••• P•••••• S•••••• L•• | Other Private Fund | $524M | 128 | Feb 28, 2018 |
| S••••••••• P•••••• S•••••• L•• | Other Private Fund | $182M | 101 | Feb 28, 2018 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• D••••••• M•••• · Ceo/Ccocontrolsince 12/2017 · owns less than 5%
- B••••••• D••••••• M•••• · Membercontrolsince 03/2014 · owns 75% or more of S••••••••• C•••••• P•••••••• L••
Entity owners
- S••••••••• C•••••• P•••••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- S••••••••• C•••••• S••••••••• L••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $702M to $735MMar 20, 2025 to Mar 23, 2026
- Discretionary RAUM · $702M to $735MMar 20, 2025 to Mar 23, 2026
- Pooled vehicle RAUM · $702M to $735MMar 20, 2025 to Mar 23, 2026
- RAUM · $702M to $735MMar 20, 2025 to Mar 23, 2026
- Advisory employees · 6 to 5Jan 7, 2025 to Mar 20, 2025
- BD registered reps · 6 to 5Jan 7, 2025 to Mar 20, 2025
- Assets in custody · $706M to $702MJan 7, 2025 to Mar 20, 2025
- Employees · 6 to 5Jan 7, 2025 to Mar 20, 2025
- Financial planning clients · unset to Jan 7, 2025 to Mar 20, 2025
- Discretionary RAUM · $706M to $702MJan 7, 2025 to Mar 20, 2025
- Pooled vehicle RAUM · $706M to $702MJan 7, 2025 to Mar 20, 2025
- RAUM · $706M to $702MJan 7, 2025 to Mar 20, 2025
- HQ city · NEW YORK to SUMMITMay 15, 2024 to Jan 7, 2025
- HQ state · NY to NJMay 15, 2024 to Jan 7, 2025
- Advisory employees · 5 to 6Jun 14, 2023 to Mar 22, 2024
- BD registered reps · 4 to 6Jun 14, 2023 to Mar 22, 2024
- Assets in custody · $669M to $706MJun 14, 2023 to Mar 22, 2024
- Employees · 5 to 6Jun 14, 2023 to Mar 22, 2024
- Discretionary RAUM · $669M to $706MJun 14, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $669M to $706MJun 14, 2023 to Mar 22, 2024
- RAUM · $669M to $706MJun 14, 2023 to Mar 22, 2024
- BD registered reps · 5 to 4Feb 1, 2023 to Mar 31, 2023
- Assets in custody · $682M to $669MFeb 1, 2023 to Mar 31, 2023
- Employees · 6 to 5Feb 1, 2023 to Mar 31, 2023
- Discretionary RAUM · $682M to $669MFeb 1, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $682M to $669MFeb 1, 2023 to Mar 31, 2023
- RAUM · $682M to $669MFeb 1, 2023 to Mar 31, 2023
- Advisory employees · 7 to 5Mar 30, 2021 to Mar 31, 2022
- BD registered reps · 6 to 5Mar 30, 2021 to Mar 31, 2022
- Assets in custody · $694M to $682MMar 30, 2021 to Mar 31, 2022
- Employees · 8 to 6Mar 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $694M to $682MMar 30, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $694M to $682MMar 30, 2021 to Mar 31, 2022
- RAUM · $694M to $682MMar 30, 2021 to Mar 31, 2022
- Assets in custody · $457M to $694MJul 29, 2020 to Mar 30, 2021
- Employees · 9 to 8Jul 29, 2020 to Mar 30, 2021
- Discretionary RAUM · $0 to $694MJul 29, 2020 to Mar 30, 2021
- Non-discretionary RAUM · $457M to $0Jul 29, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $457M to $694MJul 29, 2020 to Mar 30, 2021
- RAUM · $457M to $694MJul 29, 2020 to Mar 30, 2021
Signals
3 dated events
- S••••••••• C•••••• M••••••••• L•• reported RAUM $694.2M, up 52% from $456.5M (2020-07-29 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- S••••••••• C•••••• M••••••••• L•• reported RAUM $540.3M, up 55% from $347.5M (2019-01-17 to 2019-03-20)Mar 20, 2019 · RAUM change · derived
- S••••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Dec 12, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••••••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-698-8544reportedpublic record, Form ADV, Mar 23, 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
- Asset manager (funds and pooled vehicles)deriveda 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