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•••••••• C••••••• L••

Former SEC-registered adviserMiami Beach, FloridaCRD 293785SEC 801-116930IAPD
Latest filing Mar 18, 2020
First filing on the tape Jun 10, 2019 · 2 filings
RAUM
$952M
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
4
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
$3.2M gross assets
History
2 filings and snapshots on the tape
RAUM$952M as of Mar 18, 2020
Jun 10, 2019$430M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 18, 2020
Jun 10, 20190 then
Employees (5.A)4 as of Mar 18, 2020
Jun 10, 20195 then
Private funds1 as of Mar 18, 2020
Jun 10, 20192 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 18, 2020; 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
$317MderivedRAUM 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
unknownderived3 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
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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$952M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•••••••• C•••••• S•••• C•• F•••• L•Hedge Fund$3.2M5Mar 13, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• S••••• N••••••• · Chief Compliance Officer/Managing Membercontrol
        since 01/2018 · owns 75% or more
      Related persons
      Schedule D 7.A
      • S•••••••• C•••••• S•••• C•• F••• G•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY2 employees
      • Westport, CT1 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 5 to 4
        Jun 10, 2019 to Mar 18, 2020
      • Employees · 5 to 4
        Jun 10, 2019 to Mar 18, 2020
      • Private funds · 2 to 1
        Jun 10, 2019 to Mar 18, 2020
      • Discretionary RAUM · $430M to $952M
        Jun 10, 2019 to Mar 18, 2020
      • Pooled vehicle RAUM · $430M to $952M
        Jun 10, 2019 to Mar 18, 2020
      • RAUM · $430M to $952M
        Jun 10, 2019 to Mar 18, 2020
      Signals
      2 dated events
      • S•••••••• C••••••• L•• reported RAUM $952.0M, up 121% from $429.9M (2019-06-10 to 2020-03-18)
        Mar 18, 2020 · RAUM change · derived
      • S•••••••• C••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 10, 2019 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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