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••••••• L••• I••••••••• ••••••• C••••••• L••••••

Former SEC-registered adviserEdinburgh, CRD 298251SEC 801-114086IAPD
Latest filing Oct 22, 2018
First filing on the tape Sep 4, 2018 · 4 filings
RAUM
$358M
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
57
27 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$358M as of Oct 22, 2018
Sep 4, 2018$263M then
HNW client RAUM$0 as of Oct 22, 2018
Sep 4, 2018$0 then
State-registered IARs (5.B.3)0 as of Oct 22, 2018
Sep 4, 20180 then
Employees (5.A)57 as of Oct 22, 2018
Sep 4, 201857 then
Private funds: no history
Practice profile
derived from the filing of Oct 22, 2018; 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
$179MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
27%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 businesses and institutions, 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
  • 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)
  • 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$263M73%
  • State and municipal entities$95.8M27%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• K••••••• M•••• · Chief Compliance Officercontrol
        since 08/2018 · owns less than 5%
      • F••••••••• S•••• A••••• · Directorcontrol
        since 10/2016 · owns less than 5%
      • H•••••••• D••••••• J•••• · Directorcontrol
        since 09/2015 · owns less than 5%
      • M•••••••• P••••• A•••••••• · Director, Head Of P•••••• Marketscontrol
        since 11/2017 · owns 5% to 10%
      • M•••••••• R•••••• J••• · Directorcontrol
        since 03/2017 · owns less than 5%
      • P••••• R•••••••• L•••• · Directorcontrol
        since 09/2015 · owns less than 5%
      • P••• R••••• J••••••• · Directorcontrol
        since 04/2013 · owns less than 5%
      • R•••• E•••• P••• · Chief Risk Officercontrol
        since 08/2018 · owns less than 5%
      Entity owners
      • S••••••• L••• I••••••••• L•••••• · Owner
        direct · owns 50% to 75%
      • S••••••• L••• ••••••••• L•••••• · Owner
        indirect · owns 75% or more of S••••••• L••• I••••••••• L••••••
      • S••••••• L••• A••••••• P•• · Owner
        indirect · owns 75% or more of S••••••• L••• ••••••••• L••••••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Boston, MA2 employees
      What changed
      consecutive filings, newest first
      • Accounts · 1 to 2
        Sep 20, 2018 to Oct 22, 2018
      • Organization form · Other (specify) to Limited Liability Company
        Sep 20, 2018 to Oct 22, 2018
      • Discretionary RAUM · $263M to $358M
        Sep 20, 2018 to Oct 22, 2018
      • RAUM · $263M to $358M
        Sep 20, 2018 to Oct 22, 2018
      Signals
      1 dated events
      • S••••••• L••• I••••••••• ••••••• C••••••• L•••••• filed its initial SEC registration (Form ADV)
        Sep 4, 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