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•••••• G••••• A•••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Nov 14, 2018 · 16 filings
SEC status approved since Dec 14, 2018
RAUM
$80.0M
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
3
1 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
10
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$80.0M as of Mar 27, 2026
Mar 31, 2019$170M then
HNW client RAUM$20.4M as of Mar 30, 2020
Mar 31, 2019$26.6M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Mar 31, 20193 then
Employees (5.A)3 as of Mar 27, 2026
Mar 31, 20196 then
Private funds10 as of Mar 27, 2026
Mar 31, 20192 then
RAUM -30% over the last fiscal year-21% a year over threeIARs 2 to 2offices 0 to 2
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
- RAUM per advisor
- $40.0MderivedRAUM 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
- $8.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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$80.0M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- 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=true related_bank=false bd_reps=2.0derived
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 |
|---|---|---|---|---|
| A••••• F••• L• | Hedge Fund | $42.1M | 13 | Nov 14, 2018 |
| S•••••• G••••• A•••• M••••••••• V• L• | Private Equity Fund | $26.2M | 3 | Mar 30, 2022 |
| S•••••• O••••••••• F••• L•• | Private Equity Fund | $9.9M | 13 | Mar 31, 2023 |
| S•••••• G••••• S•••••••• L•••••• F••• L•• | Private Equity Fund | $9.7M | 11 | Mar 25, 2024 |
| S•••••• G••••• A•••• M••••••••• S•• L•• S••••• A• | Private Equity Fund | $8.0M | 23 | Mar 31, 2021 |
| S•••••• G••••• A•••• M••••••••• V• L•• | Private Equity Fund | $7.6M | 10 | Mar 30, 2020 |
| S•••••• G••••• A•••• M••••••••• S•• L•• S••••• B• | Private Equity Fund | $6.4M | 18 | Mar 30, 2022 |
| S•••••• G••••• A•••• M••••••••• V••••• L•• | Private Equity Fund | $5.7M | 9 | Mar 31, 2019 |
| S•••••• G••••• A•••• M••••••••• S•• L•• S••••• C• | Private Equity Fund | $5.3M | 5 | Mar 31, 2023 |
| S•••••• G••••• A•••• M••••••••• D•• L••no longer reported | Private Equity Fund | $1.0M | 12 | Mar 30, 2020 |
| S•••••• G••••• A•••• M••••••••• S•• L•• S•• S••••• A•• | Private Equity Fund | $461,151 | 4 | Mar 30, 2022 |
| S•••••• G••••• A•••• M••••••••• E• L••no longer reported | Private Equity Fund | $460,000 | 14 | Mar 30, 2020 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• S•••••••• · Director Of Operationscontrolsince 04/2021 · owns less than 5%
- S••••• S••••••• C••••••• · Chief Executive Officercontrolsince 10/2018 · owns less than 5%
- W•••••••• M•••••• C•••••• · Chief Compliance Officercontrolsince 06/2023 · owns less than 5%
- M••••••• M••••••• J•••••••• · Managing Membercontrolsince 01/2014 · owns 25% to 50% of S•••••• G••••• H••••••• L••
- M••••• M••••••• J••• · Managing Membercontrolsince 01/2014 · owns 25% to 50% of S•••••• G••••• H••••••• L••
- S••••• S••••••• C••••••• · Managing Membercontrolsince 01/2014 · owns 25% to 50% of S•••••• G••••• H••••••• L••
Entity owners
- S•••••• G••••• H••••••• L•• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- A••••• A••••••• L••investment advisery
- A••••• P••••••• L••pooled vehicle sponsory
- L•••••••• A••• P•• L••broker-dealern
- L•••••••• F•••••• ••••• L••••••broker-dealern
- L•••••••• F•••••• •••• K•••• L••••••broker-dealern
- L•••••••• F•••••• L••broker-dealern
- P••• C•••••• M••••••••• C••••••• L••investment advisernRAUM $1.9B
- S•••••• G••••• A•••• M••••••••• V••••• G• L••pooled vehicle sponsory
- S•••••• G••••• A•••• M••••••••• V• G• L••pooled vehicle sponsory
- S•••••• G••••• S••••••••• L••broker-dealern
- S•••••• R••••••• P••••••• L••investment advisern
- S• A••••••••• C•••••• L••investment advisernRAUM $247M
- T•• S•••••• G•••• E••••• L••broker-dealern
Advisers that list S•••••• G••••• A•••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Palm Beach, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 9 to 10Sep 18, 2025 to Mar 27, 2026
- Pooled vehicle clients · 9 to 10Sep 18, 2025 to Mar 27, 2026
- Discretionary RAUM · $119M to $80.0MSep 18, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $119M to $80.0MSep 18, 2025 to Mar 27, 2026
- RAUM · $119M to $80.0MSep 18, 2025 to Mar 27, 2026
- Other offices · 0 to 2Mar 24, 2025 to Sep 18, 2025
- Private funds · 9 to 10Mar 24, 2025 to Sep 18, 2025
- Discretionary RAUM · $115M to $119MMar 24, 2025 to Sep 18, 2025
- Pooled vehicle RAUM · $115M to $119MMar 24, 2025 to Sep 18, 2025
- RAUM · $115M to $119MMar 24, 2025 to Sep 18, 2025
- Accounts · 10 to 9Jan 21, 2025 to Mar 24, 2025
- Pooled vehicle clients · 10 to 9Jan 21, 2025 to Mar 24, 2025
- Financial planning clients · unset to Jan 21, 2025 to Mar 24, 2025
- Other offices · 1 to 0Jan 21, 2025 to Mar 24, 2025
- Private funds · 10 to 9Jan 21, 2025 to Mar 24, 2025
- Discretionary RAUM · $121M to $115MJan 21, 2025 to Mar 24, 2025
- Pooled vehicle RAUM · $121M to $115MJan 21, 2025 to Mar 24, 2025
- RAUM · $121M to $115MJan 21, 2025 to Mar 24, 2025
- Employees · 4 to 3Sep 12, 2024 to Jan 21, 2025
- Accounts · 11 to 10Jul 25, 2023 to Mar 25, 2024
- BD registered reps · 1 to 2Jul 25, 2023 to Mar 25, 2024
- Pooled vehicle clients · 11 to 10Jul 25, 2023 to Mar 25, 2024
- State-registered IARs · 1 to 2Jul 25, 2023 to Mar 25, 2024
- Discretionary RAUM · $162M to $121MJul 25, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $162M to $121MJul 25, 2023 to Mar 25, 2024
- RAUM · $162M to $121MJul 25, 2023 to Mar 25, 2024
- Related bank · true to falseJul 25, 2023 to Mar 25, 2024
- BD registered reps · 2 to 1Mar 30, 2022 to Mar 31, 2023
- Employees · 5 to 4Mar 30, 2022 to Mar 31, 2023
- Private funds · 9 to 10Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $229M to $162MMar 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $229M to $162MMar 30, 2022 to Mar 31, 2023
- RAUM · $229M to $162MMar 30, 2022 to Mar 31, 2023
- Accounts · 8 to 11Mar 31, 2021 to Mar 30, 2022
- Advisory activities · 3 to 2Mar 31, 2021 to Mar 30, 2022
- BD registered reps · 1 to 2Mar 31, 2021 to Mar 30, 2022
- Pooled vehicle clients · 8 to 11Mar 31, 2021 to Mar 30, 2022
- Private funds · 6 to 9Mar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $197M to $229MMar 31, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $197M to $229MMar 31, 2021 to Mar 30, 2022
Signals
7 dated events
- S•••••••• B••••• (Director Of Operations) appeared on Schedule A of S•••••• G••••• A•••• M••••••••• L••Mar 25, 2024 · Control person joined · fact
- Edward Michael Ring (Chief Compliance Officer) no longer on Schedule A of S•••••• G••••• A•••• M••••••••• L•• (listed 2023-03-31, absent 2023-07-25)Jul 25, 2023 · Control person left · inference
- Clemens Markus Witthaut (Chief Compliance Officer) appeared on Schedule A of S•••••• G••••• A•••• M••••••••• L••Jul 25, 2023 · Control person joined · fact
- Marie Pamela Lawrence (Chief Operating Officer) no longer on Schedule A of S•••••• G••••• A•••• M••••••••• L•• (listed 2020-09-25, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- John Michael Meyer (Managing Member) appeared on Schedule A of S•••••• G••••• A•••• M••••••••• L••Mar 30, 2020 · Control person joined · fact
- Jefferson Michael Meagher (Managing Member) appeared on Schedule A of S•••••• G••••• A•••• M••••••••• L••Mar 30, 2020 · Control person joined · fact
- F•••••••• A•••••• filed its initial SEC registration (Form ADV)Nov 14, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••••• G••••• A•••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- S•••••• G••••• A•••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/A•••••-A••••••S-LLCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- A•••••FUNDS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-616-7700reportedpublic record, Form ADV, Mar 27, 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