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••••• L•

Former SEC-registered adviserDenver, ColoradoCRD 291137SEC 801-112147IAPD
Latest filing Jan 31, 2019
First filing on the tape Nov 10, 2017 · 9 filings
RAUM
$178M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$178M 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
1
beyond the principal office
Private funds
1
$20,000 gross assets
History
9 filings and snapshots on the tape
RAUM$178M as of Jan 31, 2019
Nov 10, 2017$20.0M then
HNW client RAUM$178M as of Jan 31, 2019
Nov 10, 2017$20.0M then
State-registered IARs (5.B.3)0 as of Jan 31, 2019
Nov 10, 20170 then
Employees (5.A)2 as of Jan 31, 2019
Nov 10, 20172 then
Private funds1 as of Jan 31, 2019
Nov 10, 20171 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 31, 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
$178MderivedRAUM 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
unknownderived2 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
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$178M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••• L•Hedge Fund$20,0002Nov 10, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• B••••••• E•••• · Limited Partnercontrol
        since 10/2017 · owns 25% to 50%
      • P••••• G••••••• M•••••• · Chief Compliance Officercontrol
        since 10/2017 · owns 25% to 50%
      • C•••••••• B••••••• E•••• · Chief Financial Officercontrol
        since 07/2014 · owns 25% to 50% of S•••• L••
      • P••••• G••••••• M•••••• · Chief Compliance Officercontrol
        since 07/2014 · owns 50% to 75% of S•••• L••
      Entity owners
      • S•••• L•• · General Partner
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 1 to 2
        Apr 20, 2018 to Jan 31, 2019
      • Advisory activities · 1 to 6
        Apr 20, 2018 to Jan 31, 2019
      • HNW clients · 20.0 to unset
        Apr 20, 2018 to Jan 31, 2019
      • Financial planning clients · 0 to 1-10
        Apr 20, 2018 to Jan 31, 2019
      • HNW RAUM · $20.0M to $178M
        Apr 20, 2018 to Jan 31, 2019
      • Discretionary RAUM · $20.0M to $178M
        Dec 14, 2017 to Apr 17, 2018
      • RAUM · $20.0M to $178M
        Dec 14, 2017 to Apr 17, 2018
      Signals
      1 dated events
      • S••••• L• filed its initial SEC registration (Form ADV)
        Nov 10, 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