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•••••• A•••• M••••••••• L••

Former SEC-registered adviserLondon, England, CRD 293423SEC 801-112834IAPD
Latest filing Oct 14, 2022
First filing on the tape Mar 14, 2018 · 20 filings
RAUM
$457M
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
19
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$303M gross assets
History
20 filings and snapshots on the tape
RAUM$457M as of Jun 29, 2022
Jun 19, 2019$604M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 29, 2022
Jun 19, 20190 then
Employees (5.A)19 as of Jun 29, 2022
Jun 19, 201912 then
Private funds2 as of Jun 29, 2022
Jun 19, 20192 then
RAUM -9.7% over the last fiscal year-8.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 14, 2022; 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
$91.4MderivedRAUM 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
-9.7%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
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$457M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
n/areported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•••••• M••••• F••• L••••••Hedge Fund$88.5M11Dec 12, 2018
      P• M•••••• F•••• S••• • S••••••••• P•••••••• 4•Hedge Fund$76.1M5Jun 28, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• M••••••• J••• · Founding Partner & Chief Investment Officercontrol
        since 02/2017 · owns 75% or more
      • O••••••••• J••••• D•••• · Chief Executive Officercontrol
        since 09/2018 · owns less than 5%
      • C•••••• M••••••• J••• · Shareholdercontrol
        since 01/2017 · owns 75% or more of S•••••• A•••• M••••••••• ••••••••• L••
      • D••••••• D••••••• P•••••• · Chief Compliance Officer
        since 10/2021 · owns less than 5%
      • G••••• N••••••• M••••• · Head Of Trading
        since 09/2018 · owns less than 5%
      • H•••••• A••• M••• D•••• · Partner
        since 04/2017 · owns less than 5%
      Entity owners
      • S•••••• A•••• M••••••••• ••••••••• L•• · Corporate Partner
        direct · owns 10% to 25%
      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
      • Pooled vehicle clients · 4 to 5
        Oct 28, 2021 to Jun 29, 2022
      • Discretionary RAUM · $2.3B to $457M
        Oct 28, 2021 to Jun 29, 2022
      • Pooled vehicle RAUM · $2.3B to $457M
        Oct 28, 2021 to Jun 29, 2022
      • RAUM · $2.3B to $457M
        Oct 28, 2021 to Jun 29, 2022
      • Accounts · 4 to 5
        Jun 29, 2021 to Oct 28, 2021
      • Discretionary RAUM · $506M to $2.3B
        Jun 29, 2021 to Oct 28, 2021
      • Pooled vehicle RAUM · $506M to $2.3B
        Jun 29, 2021 to Oct 28, 2021
      • RAUM · $506M to $2.3B
        Jun 29, 2021 to Oct 28, 2021
      • Advisory employees · 7 to 14
        Oct 15, 2020 to Jun 29, 2021
      • Employees · 12 to 19
        Oct 15, 2020 to Jun 29, 2021
      • Discretionary RAUM · $384M to $506M
        Oct 15, 2020 to Jun 29, 2021
      • Pooled vehicle RAUM · $384M to $506M
        Oct 15, 2020 to Jun 29, 2021
      • RAUM · $384M to $506M
        Oct 15, 2020 to Jun 29, 2021
      • Discretionary RAUM · $604M to $384M
        Feb 6, 2020 to Jun 26, 2020
      • Pooled vehicle RAUM · $604M to $384M
        Feb 6, 2020 to Jun 26, 2020
      • RAUM · $604M to $384M
        Feb 6, 2020 to Jun 26, 2020
      • Accounts · 3 to 4
        Dec 12, 2018 to Jun 19, 2019
      • Advisory employees · 6 to 7
        Dec 12, 2018 to Jun 19, 2019
      • Pooled vehicle clients · 3 to 4
        Dec 12, 2018 to Jun 19, 2019
      • Employees · 6 to 12
        Dec 12, 2018 to Jun 19, 2019
      • Discretionary RAUM · $222M to $604M
        Dec 12, 2018 to Jun 19, 2019
      • Pooled vehicle RAUM · $222M to $604M
        Dec 12, 2018 to Jun 19, 2019
      • RAUM · $222M to $604M
        Dec 12, 2018 to Jun 19, 2019
      • Private funds · 1 to 2
        Oct 10, 2018 to Dec 12, 2018
      • Private funds · unset to 1
        Jun 21, 2018 to Jul 18, 2018
      • Accounts · unset to 3.0
        Mar 14, 2018 to Jun 21, 2018
      • Advisory employees · 4 to 6
        Mar 14, 2018 to Jun 21, 2018
      • Advisory activities · 2 to 1
        Mar 14, 2018 to Jun 21, 2018
      • Pooled vehicle clients · 1 to 3
        Mar 14, 2018 to Jun 21, 2018
      • Assets in custody · 0.0 to unset
        Mar 14, 2018 to Jun 21, 2018
      • Custody of client assets · true to false
        Mar 14, 2018 to Jun 21, 2018
      • Employees · 7 to 6
        Mar 14, 2018 to Jun 21, 2018
      • Discretionary RAUM · unset to 222231935.0
        Mar 14, 2018 to Jun 21, 2018
      • Non-discretionary RAUM · unset to 0.0
        Mar 14, 2018 to Jun 21, 2018
      • Pooled vehicle RAUM · $0 to $222M
        Mar 14, 2018 to Jun 21, 2018
      • RAUM · unset to 222231935.0
        Mar 14, 2018 to Jun 21, 2018
      Signals
      6 dated events
      • S•••••• A•••• M••••••••• L•• reported RAUM $457.1M, down 80% from $2.3B (2021-10-28 to 2022-06-29)
        Jun 29, 2022 · RAUM change · derived
      • S•••••• A•••• M••••••••• L•• reported RAUM $2.3B, up 359% from $506.3M (2021-06-29 to 2021-10-28)
        Oct 28, 2021 · RAUM change · derived
      • S•••••• A•••• M••••••••• L•• reported RAUM $506.3M, up 32% from $383.7M (2020-10-15 to 2021-06-29)
        Jun 29, 2021 · RAUM change · derived
      • S•••••• A•••• M••••••••• L•• reported RAUM $383.7M, down 36% from $603.9M (2020-02-06 to 2020-06-26)
        Jun 26, 2020 · RAUM change · derived
      • S•••••• A•••• M••••••••• L•• reported RAUM $603.9M, up 172% from $222.2M (2018-12-12 to 2019-06-19)
        Jun 19, 2019 · RAUM change · derived
      • S•••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 14, 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