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••• G•••• C•••••• M•••••••••

Former SEC-registered adviserNew York, New YorkCRD 300997SEC 801-115225IAPD
Legal name S••• G•••• C•••••• M••••••••• ••••••••• L•
Latest filing Oct 2, 2023
First filing on the tape Apr 3, 2019 · 8 filings
RAUM
$3.0B
reported, Item 5.F
Discretionary
0.0%
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$3.0B as of Jun 28, 2023
Jun 26, 2020$3.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 28, 2023
Jun 26, 20200 then
Employees (5.A)2 as of Jun 28, 2023
Jun 26, 20202 then
Private funds: 2
RAUM -17% over the last fiscal year-0.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 2, 2023; 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
$275MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
-17%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-based, otherreportedItem 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)
  • 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$3.0B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
11reported
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
      • K••••••••• M•••••••• •••••••• M•••• · Chief Compliance Officer, Partnercontrol
        since 01/2019 · owns less than 5%
      • D•••••• S••••• A••••• N••• · Shareholdercontrol
        since 12/2014 · owns 50% to 75% of S••• G•••• ••••••• L•••
      • D•••••• S••••• A••••• N••• · Shareholdercontrol
        since 12/2014 · owns 75% or more of S••• G•••• ••••••• G• L•••
      Entity owners
      • S••• G•••• C•••••• M••••••••• ••••••••• L•• · General Partner
        direct · owns 75% or more
      • S••• G•••• ••••••• G• L••• · General Partner
        indirect · owns F of S••• G•••• ••••••• L•••
      • S••• G•••• ••••••• L••• · Shareholder
        indirect · owns 75% or more of S••• G•••• C•••••• I••••••••• L••
      • S••• G•••• C•••••• I••••••••• L•• · Member And Manager
        indirect · owns F of S••• G•••• C•••••• M••••••••• ••••••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 9 to 11
        Jun 29, 2022 to Jun 28, 2023
      • Advisory employees · 0 to 1
        Jun 29, 2022 to Jun 28, 2023
      • Pooled vehicle clients · 9 to 11
        Jun 29, 2022 to Jun 28, 2023
      • Employees · 1 to 2
        Jun 29, 2022 to Jun 28, 2023
      • Non-discretionary RAUM · $3.6B to $3.0B
        Jun 29, 2022 to Jun 28, 2023
      • Pooled vehicle RAUM · $3.6B to $3.0B
        Jun 29, 2022 to Jun 28, 2023
      • RAUM · $3.6B to $3.0B
        Jun 29, 2022 to Jun 28, 2023
      • Non-discretionary RAUM · $5.6B to $3.6B
        Jan 7, 2022 to Jun 29, 2022
      • Pooled vehicle RAUM · $5.6B to $3.6B
        Jan 7, 2022 to Jun 29, 2022
      • RAUM · $5.6B to $3.6B
        Jan 7, 2022 to Jun 29, 2022
      • Accounts · 5 to 9
        Nov 24, 2020 to Jun 29, 2021
      • Advisory employees · 1 to 0
        Nov 24, 2020 to Jun 29, 2021
      • Advisory activities · 1 to 2
        Nov 24, 2020 to Jun 29, 2021
      • Pooled vehicle clients · 5 to 9
        Nov 24, 2020 to Jun 29, 2021
      • Employees · 2 to 1
        Nov 24, 2020 to Jun 29, 2021
      • Discretionary RAUM · $3.0B to $0
        Nov 24, 2020 to Jun 29, 2021
      • Non-discretionary RAUM · $0 to $5.6B
        Nov 24, 2020 to Jun 29, 2021
      • Pooled vehicle RAUM · $3.0B to $5.6B
        Nov 24, 2020 to Jun 29, 2021
      • RAUM · $3.0B to $5.6B
        Nov 24, 2020 to Jun 29, 2021
      • Other offices · 1 to 0
        Jun 26, 2020 to Nov 24, 2020
      • Private funds · 2 to unset
        Jun 26, 2020 to Nov 24, 2020
      • Other offices · 0 to 1
        Apr 3, 2019 to Jun 26, 2020
      • Private funds · unset to 2
        Apr 3, 2019 to Jun 26, 2020
      • Discretionary RAUM · $0 to $3.0B
        Apr 3, 2019 to Jun 26, 2020
      • Non-discretionary RAUM · $3.1B to $0
        Apr 3, 2019 to Jun 26, 2020
      • Pooled vehicle RAUM · $3.1B to $3.0B
        Apr 3, 2019 to Jun 26, 2020
      • RAUM · $3.1B to $3.0B
        Apr 3, 2019 to Jun 26, 2020
      Signals
      3 dated events
      • S••• G•••• C•••••• M••••••••• reported RAUM $3.6B, down 36% from $5.6B (2022-01-07 to 2022-06-29)
        Jun 29, 2022 · RAUM change · derived
      • S••• G•••• C•••••• M••••••••• reported RAUM $5.6B, up 86% from $3.0B (2020-11-24 to 2021-06-29)
        Jun 29, 2021 · RAUM change · derived
      • S••• G•••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)
        Apr 3, 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.
      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