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•••• F••••• C••••••• L••
Latest filing Mar 23, 2023
First filing on the tape Feb 21, 2018 · 6 filings
RAUM
$123M
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
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$245M gross assets
History
6 filings and snapshots on the tape
RAUM$123M as of Mar 23, 2023
Mar 6, 2019$180M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2023
Mar 6, 20190 then
Employees (5.A)5 as of Mar 23, 2023
Mar 6, 20195 then
Private funds3 as of Mar 23, 2023
Mar 6, 20196 then
RAUM -24% over the last fiscal year-12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 2023; 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
- $41.0MderivedRAUM 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
- -24%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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $123M, 3 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$123M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $123M for 3 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
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•• F•••••• M••••• F•••• L••• | Other Private Fund | $123M | 15 | Feb 21, 2018 |
| S•• F•••••• F•••• L••• | Other Private Fund | $119M | 9 | Feb 21, 2018 |
| S•••• F••••• E• M••••• F•••• L•••no longer reported | Hedge Fund | $3.6M | 8 | Feb 21, 2018 |
| S•• F•••••• F•••• L• | Other Private Fund | $3.3M | 6 | Feb 21, 2018 |
| S•••• F••••• E••••••• M•••••• H•••• F•••• L•no longer reported | Hedge Fund | $2.0M | 5 | Feb 21, 2018 |
| S•••• F••••• E••••••• M•••••• H•••• F•••• L•••no longer reported | Hedge Fund | $341,507 | 3 | Feb 21, 2018 |
Owners and control persons
Schedule A and B, latest filing
- B••••• J•••••••• J•••• · Chief Compliance Officer; Chief Operating Officer; Membercontrolsince 01/2015 · owns 10% to 25%
- L••••••••• B••••••• M••••••• · Chief Investment Officer; Chief Executive Officercontrolsince 09/2014 · owns less than 5%
- L••••••••• B••••••• M••••••• · Membercontrolsince 12/2015 · owns 75% or more of B•• F••••• L••
Entity owners
- B•• F••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- S•••• F••••• A•••••••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 4 to 3Mar 28, 2022 to Mar 23, 2023
- Assets in custody · $162M to $123MMar 28, 2022 to Mar 23, 2023
- Discretionary RAUM · $162M to $123MMar 28, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $162M to $123MMar 28, 2022 to Mar 23, 2023
- RAUM · $162M to $123MMar 28, 2022 to Mar 23, 2023
- Accounts · 6 to 3Mar 25, 2021 to Mar 28, 2022
- Pooled vehicle clients · 6 to 3Mar 25, 2021 to Mar 28, 2022
- Assets in custody · $138M to $162MMar 25, 2021 to Mar 28, 2022
- Private funds · 6 to 3Mar 25, 2021 to Mar 28, 2022
- Discretionary RAUM · $138M to $162MMar 25, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $138M to $162MMar 25, 2021 to Mar 28, 2022
- RAUM · $138M to $162MMar 25, 2021 to Mar 28, 2022
- Assets in custody · $178M to $138MMar 30, 2020 to Mar 25, 2021
- Employees · 6 to 5Mar 30, 2020 to Mar 25, 2021
- Discretionary RAUM · $178M to $138MMar 30, 2020 to Mar 25, 2021
- Pooled vehicle RAUM · $178M to $138MMar 30, 2020 to Mar 25, 2021
- RAUM · $178M to $138MMar 30, 2020 to Mar 25, 2021
- Advisory employees · 3 to 4Mar 6, 2019 to Mar 30, 2020
- Assets in custody · $180M to $178MMar 6, 2019 to Mar 30, 2020
- Employees · 5 to 6Mar 6, 2019 to Mar 30, 2020
- Discretionary RAUM · $180M to $178MMar 6, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $180M to $178MMar 6, 2019 to Mar 30, 2020
- RAUM · $180M to $178MMar 6, 2019 to Mar 30, 2020
- Assets in custody · $213M to $180MFeb 21, 2018 to Mar 6, 2019
- Discretionary RAUM · $213M to $180MFeb 21, 2018 to Mar 6, 2019
- Pooled vehicle RAUM · $213M to $180MFeb 21, 2018 to Mar 6, 2019
- RAUM · $213M to $180MFeb 21, 2018 to Mar 6, 2019
Signals
1 dated events
- S•••• F••••• C••••••• L•• filed its initial SEC registration (Form ADV)Feb 21, 2018 · 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