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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SEC-registered adviser
S••••• B••••• C••••••
Legal name S••••• B••••• P••••••• I•• L••
Latest filing Mar 30, 2026
First filing on the tape Jun 24, 2020 · 9 filings
SEC status approved since Jul 24, 2020
RAUM
$382M
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
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$382M as of Mar 30, 2026
Mar 24, 2021$282M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 24, 20210 then
Employees (5.A)6 as of Mar 30, 2026
Mar 24, 20217 then
Private funds8 as of Mar 30, 2026
Mar 24, 202110 then
RAUM +5.5% over the last fiscal year+3.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; 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
- $47.8MderivedRAUM 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
- +5.5%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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$382M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
12 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••• B••••• I••• L•• | Private Equity Fund | $131M | 42 | Mar 26, 2020 |
| S••••• B••••• I•• L• | Private Equity Fund | $44.3M | 26 | Apr 3, 2018 |
| S••••• B••••• C•••••• I•• G•••••• L••• | Private Equity Fund | $30.9M | 19 | Mar 31, 2023 |
| S••••• B••••• G•••••• C••••••••• L••• | Private Equity Fund | $21.7M | 4 | Mar 31, 2019 |
| S••••• B••••• M•••••• S••• L• | Private Equity Fund | $19.3M | 4 | Mar 24, 2021 |
| S••••• B••••• I•• S•••••• L••• | Private Equity Fund | $10.4M | 13 | Mar 26, 2020 |
| S••••• B••••• M•••••• C••••••••• L• | Private Equity Fund | $5.6M | 2 | Mar 26, 2020 |
| S••••• B•••••• L••no longer reported | Private Equity Fund | $3.5M | 6 | Mar 26, 2020 |
| S••••• B••••• I• S•••••• L• | Private Equity Fund | $2.5M | 9 | Apr 3, 2018 |
| S••••• F•••••• L••no longer reported | Private Equity Fund | $614,649 | 17 | Mar 26, 2020 |
| S••••• B••••• V•• C••••••••• L••• | Private Equity Fund | $223,654 | 2 | Mar 31, 2019 |
| S••••• B••••• C•••••• I•• G••••• S•••••• L••• | Private Equity Fund | $0 | 0 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- A•••• M•••••••• S••••• · Managing Director & Chief Compliance Officercontrolsince 09/2018 · owns less than 5%
- S••••••••• J•••••••• A••••• · Managing Membercontrolsince 07/2017 · owns 75% or more
Related persons
Schedule D 7.A
- S••••• B••••• C•••••• I•• G••••• G• L••pooled vehicle sponsorn
- S••••• B••••• I• G• L••pooled vehicle sponsorn
- S••••• B••••• I•• G• L••pooled vehicle sponsorn
- S••••• B••••• I•• S•• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 7 to 6Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $362M to $382MMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $362M to $382MMar 31, 2025 to Mar 30, 2026
- RAUM · $362M to $382MMar 31, 2025 to Mar 30, 2026
- Accounts · 9 to 8Mar 28, 2024 to Mar 31, 2025
- Pooled vehicle clients · 9 to 8Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Private funds · 9 to 8Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $340M to $362MMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $340M to $362MMar 28, 2024 to Mar 31, 2025
- RAUM · $340M to $362MMar 28, 2024 to Mar 31, 2025
- Private funds · 10 to 9Mar 31, 2023 to Mar 28, 2024
- Accounts · 10 to 9Mar 31, 2023 to Mar 28, 2024
- Advisory employees · 6 to 5Mar 31, 2023 to Mar 28, 2024
- Business name · S••••• B••••• to S••••• B••••• C••••••Mar 31, 2023 to Mar 28, 2024
- Pooled vehicle clients · 10 to 9Mar 31, 2023 to Mar 28, 2024
- Employees · 8 to 7Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $349M to $340MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $349M to $340MMar 31, 2023 to Mar 28, 2024
- RAUM · $349M to $340MMar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $357M to $349MMay 6, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $357M to $349MMay 6, 2022 to Mar 31, 2023
- RAUM · $357M to $349MMay 6, 2022 to Mar 31, 2023
- Employees · 7 to 8May 12, 2021 to May 1, 2022
- Discretionary RAUM · $282M to $357MMay 12, 2021 to May 1, 2022
- Pooled vehicle RAUM · $282M to $357MMay 12, 2021 to May 1, 2022
- RAUM · $282M to $357MMay 12, 2021 to May 1, 2022
- Accounts · 9 to 10Jun 24, 2020 to Mar 24, 2021
- Advisory employees · 5 to 6Jun 24, 2020 to Mar 24, 2021
- Pooled vehicle clients · 9 to 10Jun 24, 2020 to Mar 24, 2021
- Employees · 6 to 7Jun 24, 2020 to Mar 24, 2021
- Private funds · 18 to 10Jun 24, 2020 to Mar 24, 2021
- Discretionary RAUM · $164M to $282MJun 24, 2020 to Mar 24, 2021
- Pooled vehicle RAUM · $164M to $282MJun 24, 2020 to Mar 24, 2021
- RAUM · $164M to $282MJun 24, 2020 to Mar 24, 2021
Signals
2 dated events
- S••••• B••••• C•••••• reported RAUM $281.7M, up 72% from $163.6M (2020-06-24 to 2021-03-24)Mar 24, 2021 · RAUM change · derived
- S••••• B••••• filed its initial SEC registration (Form ADV)Jun 24, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••• B••••• C•••••• · Independent Sponsorsshared crd · capital_provider
- S••••• B••••• C•••••• · Private Equityshared crd · organization
- S••••• B••••• C•••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/S•••••-B•••••reportedpublic record, Form ADV, Sep 19, 2026
- Website
- S•••••B•••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (707) 656-2015reportedpublic record, Form ADV, Mar 30, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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