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, CRD 300668SEC 801-115099IAPD
Latest filing Jun 11, 2019
First filing on the tape Mar 27, 2019 · 2 filings
RAUM
$1.7B
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
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$1.7B as of Jun 11, 2019
Mar 27, 2019$1.7B then
HNW client RAUM$0 as of Jun 11, 2019
Mar 27, 2019$0 then
State-registered IARs (5.B.3)0 as of Jun 11, 2019
Mar 27, 20190 then
Employees (5.A)9 as of Jun 11, 2019
Mar 27, 20199 then
Private funds: no history
Practice profile
derived from the filing of Jun 11, 2019; 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
$1.7BderivedRAUM 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
performance-based, otherreportedItem 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
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.7B100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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••• C•••••• S•••••••• I• S•••Hedge Fund$626M52Jun 29, 2023
      S••• F••• C•• I• D••••••••• A••••••• C••••••Securitized Asset Fund$463M1Jun 28, 2024
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••• J•••• B•••• · L•••••• Partner/Ceo/Ciocontrol
        since 12/2016 · owns less than 5%
      • B••••••• J•••• P••• · Coocontrol
        since 01/2017 · owns less than 5%
      • C••••••••• I•••• M•••••• · Cfo/Ccocontrol
        since 06/2018 · owns less than 5%
      • T•••••• J••••• · Chief Risk Officercontrol
        since 01/2017 · owns less than 5%
      • A••••••• J•••• B•••• · Owner
        since 12/2016 · owns 75% or more of S••• A•••• M••••••••• C••••• L••••••
      Entity owners
      • S••• A•••• M••••••••• L•••••• · Owner/Member
        direct · owns 75% or more
      • S••• A•••• M••••••••• C••••• L•••••• · Owner
        indirect · owns 75% or more of S••• A•••• M••••••••• L••••••
      Related persons
      Schedule D 7.A
      Advisers that list S••• A•••• M••••••••• ••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      1 dated events
      • S••• A•••• M••••••••• ••• L•• filed its initial SEC registration (Form ADV)
        Mar 27, 2019 · 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.
      How to reach
      public business contact points only, each with its source
      Firm profile
      linkedin.com/company/sona-asset-managementreportedpublic record, Form ADV, Sep 18, 2026
      Website
      sona-am.comreportedpublic record, Form ADV, Sep 18, 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
      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