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•• I••••••••• S••••••• G•••

Former SEC-registered adviserVienna, CRD 302119SEC 801-117246IAPD
Latest filing Aug 21, 2019
First filing on the tape Jul 26, 2019 · 2 filings
RAUM
$527M
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
12
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$440M gross assets
History
2 filings and snapshots on the tape
RAUM$527M as of Aug 21, 2019
Jul 26, 2019$440M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 21, 2019
Jul 26, 20190 then
Employees (5.A)12 as of Aug 21, 2019
Jul 26, 201912 then
Private funds2 as of Aug 21, 2019
Jul 26, 20192 then
Practice profile
derived from the filing of Aug 21, 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
$105MderivedRAUM 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
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$527M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••• M••••••••• E••••••• M••••• I••• A•• M••••• • S•• • S••••••••• A•••• T••••Hedge Fund$253M0Jul 26, 2019
      C•••• M•••••• A••••••• S•• C••••••••• 2• S••••••••• P••••••••Hedge Fund$187M0Jul 26, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••••• R•••••• W••••• · Managing Director And Chief Compliance Officercontrol
        since 08/2014 · owns less than 5%
      • H••••••••• G•••••• K••• · Managing Directorcontrol
        since 12/2004 · owns less than 5%
      • S•••••••• M••••••• H•••••• M••••••••• · Authorized Officercontrol
        since 12/2008 · owns less than 5%
      • W••••••••• J••••• · Authorized Officercontrol
        since 09/2014 · owns less than 5%
      • H••••••••• C••••••••• N•• · Board Membercontrol
        since 09/1998 · owns F of M•••••• N••••••• P•••••••••
      • H••••••••• C••••••••• N•• · Board Membercontrol
        since 09/1998 · owns F of C•••••••• M•••• P•••••••••
      • M••••• C••••••••• N•• · Board Membercontrol
        since 09/1998 · owns F of M•••••• N••••••• P•••••••••
      • N•••••••• M••••••• N•• · Board Membercontrol
        since 09/1998 · owns F of C•••••••• M•••• P•••••••••
      • S••••••• A••••••••• N•• · Board Membercontrol
        since 11/2005 · owns F of M•••••• N••••••• P•••••••••
      • S••••••• A••••••••• N•• · Board Membercontrol
        since 10/2005 · owns F of C•••••••• M•••• P•••••••••
      • M••••• C••••••••• N•• · Trustor And Ultimate Beneficial Owner
        since 09/1998 · owns 50% to 75% of C•••••••• M•••• P•••••••••
      • M••••• D••••• N•• · Ultimate Beneficial Owner
        since 09/1998 · owns 50% to 75% of C•••••••• M•••• P•••••••••
      • N•••••••• M••••••• N•• · Trustor And Ultimate Beneficial Owner
        since 09/1998 · owns F of M•••••• N••••••• P•••••••••
      Entity owners
      • C•••••••• M•••• P••••••••• · Owning Entity
        direct · owns 50% to 75%
      • M•••••• N••••••• P••••••••• · Owning Entity
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 5
        Jul 26, 2019 to Aug 21, 2019
      • Pooled vehicle clients · 3 to 5
        Jul 26, 2019 to Aug 21, 2019
      • Discretionary RAUM · $440M to $527M
        Jul 26, 2019 to Aug 21, 2019
      • Pooled vehicle RAUM · $440M to $527M
        Jul 26, 2019 to Aug 21, 2019
      • RAUM · $440M to $527M
        Jul 26, 2019 to Aug 21, 2019
      Signals
      1 dated events
      • S•• I••••••••• S••••••• G••• filed its initial SEC registration (Form ADV)
        Jul 26, 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