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•••

Former SEC-registered adviserNew York, New YorkCRD 291173SEC 801-112162IAPD
Legal name S••• I•••
Latest filing Jan 16, 2020
First filing on the tape Nov 14, 2017 · 14 filings
RAUM
$11.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
61%
$7.0M 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
$4.4M gross assets
History
14 filings and snapshots on the tape
RAUM$11.3M as of Jan 16, 2020
Mar 16, 2018$5.0M then
HNW client RAUM$3.7M as of Jan 16, 2020
May 30, 2019$1.7M then
State-registered IARs (5.B.3)2 as of Jan 16, 2020
Mar 16, 20181 then
Employees (5.A)2 as of Jan 16, 2020
Mar 16, 20182 then
Private funds1 as of Jan 16, 2020
Mar 16, 20181 then
RAUM +73% over the last fiscal yearIARs 1 to 2
Practice profile
derived from the filing of Jan 16, 2020; every figure names its basis
RAUM per advisor
$5.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
66derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$146,803derivedHNW RAUM over HNW clients
Average account
$86,593derivedRAUM 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
+73%derivedbetween the last two annual amendments
Advisor growth, one year
+100%derivedItem 5.B.3 between annual amendments
Client growth, one year
+9.2%derived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Wrap fee program
$7.0MreportedItem 5.I
Custody
$4.4M, 1 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$4.4M39%
  • High-net-worth individuals$3.7M32%
  • Individuals$3.3M29%
Individual clients
106reported
HNW clients
25reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
131reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$4.4M 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
Every departureEvery arrival
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
S••• A••••• L•Hedge Fund$4.4M2Mar 16, 2018
Owners and control persons
Schedule A and B, latest filing
  • F•••••• A••• · Chief Investment Officer And Treasurercontrol
    since 10/2017 · owns 50% to 75%
  • W•••••• M•••••••• L•••• · President, Secretary, And Chief Compliance Officercontrol
    since 10/2017 · 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
  • Accounts · 121 to 131
    Sep 10, 2019 to Jan 16, 2020
  • HNW clients · 19 to 25
    Sep 10, 2019 to Jan 16, 2020
  • Assets in custody · $4.4M to $4.4M
    Sep 10, 2019 to Jan 16, 2020
  • Discretionary RAUM · $10.3M to $11.3M
    Sep 10, 2019 to Jan 16, 2020
  • HNW RAUM · $1.8M to $3.7M
    Sep 10, 2019 to Jan 16, 2020
  • Individual RAUM · $4.1M to $3.3M
    Sep 10, 2019 to Jan 16, 2020
  • Pooled vehicle RAUM · $4.4M to $4.4M
    Sep 10, 2019 to Jan 16, 2020
  • RAUM · $10.3M to $11.3M
    Sep 10, 2019 to Jan 16, 2020
  • HNW clients · 14 to 19
    May 30, 2019 to Sep 10, 2019
  • Assets in custody · $4.3M to $4.4M
    May 30, 2019 to Sep 10, 2019
  • Financial planning clients · 0 to unset
    May 30, 2019 to Sep 10, 2019
  • State-registered IARs · 1 to 2
    May 30, 2019 to Sep 10, 2019
  • Discretionary RAUM · $6.6M to $10.3M
    May 30, 2019 to Sep 10, 2019
  • HNW RAUM · $1.7M to $1.8M
    May 30, 2019 to Sep 10, 2019
  • Individual RAUM · $495,527 to $4.1M
    May 30, 2019 to Sep 10, 2019
  • Pooled vehicle RAUM · $4.3M to $4.4M
    May 30, 2019 to Sep 10, 2019
  • RAUM · $6.6M to $10.3M
    May 30, 2019 to Sep 10, 2019
  • Accounts · 1 to 121
    Nov 14, 2018 to May 6, 2019
  • Advisory activities · 2 to 3
    Nov 14, 2018 to May 6, 2019
  • HNW clients · unset to 14.0
    Nov 14, 2018 to May 6, 2019
  • Individual clients · unset to 106.0
    Nov 14, 2018 to May 6, 2019
  • Assets in custody · unset to 4332017.0
    Nov 14, 2018 to May 6, 2019
  • Custody of client assets · false to true
    Nov 14, 2018 to May 6, 2019
  • Discretionary RAUM · $5.0M to $6.6M
    Nov 14, 2018 to May 6, 2019
  • HNW RAUM · unset to 1729057.0
    Nov 14, 2018 to May 6, 2019
  • Individual RAUM · unset to 495527.0
    Nov 14, 2018 to May 6, 2019
  • Pooled vehicle RAUM · $5.0M to $4.3M
    Nov 14, 2018 to May 6, 2019
  • RAUM · $5.0M to $6.6M
    Nov 14, 2018 to May 6, 2019
  • Wrap assets (manager) · $5.0M to $0
    Nov 14, 2018 to May 6, 2019
  • Wrap assets (sponsor) · $5.0M to $0
    Nov 14, 2018 to May 6, 2019
  • Discretionary RAUM · $0 to $5.0M
    Jun 28, 2018 to Aug 15, 2018
  • Non-discretionary RAUM · $5.0M to $0
    Jun 28, 2018 to Aug 15, 2018
  • Wrap assets (manager) · unset to 5000000.0
    Jun 28, 2018 to Aug 15, 2018
  • Wrap assets (sponsor) · unset to 5000000.0
    Jun 28, 2018 to Aug 15, 2018
  • Accounts · unset to 1.0
    Jan 29, 2018 to Mar 16, 2018
  • Pooled vehicle clients · unset to 1.0
    Jan 29, 2018 to Mar 16, 2018
  • Private funds · unset to 1
    Jan 29, 2018 to Mar 16, 2018
  • Discretionary RAUM · unset to 0.0
    Jan 29, 2018 to Mar 16, 2018
  • Non-discretionary RAUM · unset to 5000000.0
    Jan 29, 2018 to Mar 16, 2018
  • Pooled vehicle RAUM · unset to 5000000.0
    Jan 29, 2018 to Mar 16, 2018
Signals
1 dated events
  • Sgim filed its initial SEC registration (Form ADV)
    Nov 14, 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