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•••••••• C•••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape May 24, 2019 · 12 filings
SEC status approved since Jun 21, 2019
RAUM
$1.6B
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
2
beyond the principal office
Private funds
3
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$1.6B as of Mar 30, 2026
Mar 13, 2020$176M then
HNW client RAUM$0 as of Mar 30, 2026
Mar 13, 2020$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 13, 20200 then
Employees (5.A)9 as of Mar 30, 2026
Mar 13, 20203 then
Private funds3 as of Mar 30, 2026
Mar 13, 20202 then
RAUM +55% over the last fiscal year+54% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; 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
- $229MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +55%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-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
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$935M58%
- Corporations and businesses$670M42%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 7reported
- 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=0.58 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••••• C•••••• A•••• F••• I•• L••• | Hedge Fund | $460M | 81 | Oct 16, 2019 |
| S•••••••• C•••••• A•••• F••• I• L••• | Hedge Fund | $24.8M | 24 | Oct 16, 2019 |
Owners and control persons
Schedule A and B, latest filing
- G•••••• D•••••• S••••• · Founder & Presidentcontrolsince 04/2019 · owns 75% or more
- T••••••• A•••••• J••••• · Chief Operating Officer & Chief Compliance Officercontrolsince 07/2019 · owns less than 5%
Related persons
Schedule D 7.A
- S•••••••• C••••••• L••investment adviserpooled vehicle sponsorn
- S•••••••• P•••••• C•••••• I• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Wayne, PA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Employees · 8 to 9May 22, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.0B to $1.6BMay 22, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $665M to $935MMay 22, 2025 to Mar 30, 2026
- RAUM · $1.0B to $1.6BMay 22, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 27, 2025 to May 22, 2025
- Discretionary RAUM · $1.0B to $1.0BMar 27, 2025 to May 22, 2025
- Pooled vehicle RAUM · $665M to $665MMar 27, 2025 to May 22, 2025
- RAUM · $1.0B to $1.0BMar 27, 2025 to May 22, 2025
- Accounts · 5 to 7Jun 4, 2024 to Mar 27, 2025
- Corporate clients · 2.0 to unsetJun 4, 2024 to Mar 27, 2025
- Pooled vehicle clients · 3 to 4Jun 4, 2024 to Mar 27, 2025
- Employees · 7 to 8Jun 4, 2024 to Mar 27, 2025
- Private funds · 2 to 3Jun 4, 2024 to Mar 27, 2025
- Discretionary RAUM · $724M to $1.0BJun 4, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $485M to $665MJun 4, 2024 to Mar 27, 2025
- RAUM · $724M to $1.0BJun 4, 2024 to Mar 27, 2025
- Discretionary RAUM · $539M to $724MMar 25, 2024 to Jun 4, 2024
- Pooled vehicle RAUM · $355M to $485MMar 25, 2024 to Jun 4, 2024
- RAUM · $539M to $724MMar 25, 2024 to Jun 4, 2024
- Advisory employees · 4 to 5Mar 24, 2023 to Mar 25, 2024
- Employees · 6 to 7Mar 24, 2023 to Mar 25, 2024
- Discretionary RAUM · $442M to $539MMar 24, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $296M to $355MMar 24, 2023 to Mar 25, 2024
- RAUM · $442M to $539MMar 24, 2023 to Mar 25, 2024
- Employees · 5 to 6Mar 28, 2022 to Mar 24, 2023
- Discretionary RAUM · $320M to $442MMar 28, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · $226M to $296MMar 28, 2022 to Mar 24, 2023
- RAUM · $320M to $442MMar 28, 2022 to Mar 24, 2023
- Accounts · 4 to 5Aug 5, 2021 to Mar 28, 2022
- Advisory employees · 3 to 4Aug 5, 2021 to Mar 28, 2022
- Corporate clients · 1 to 2Aug 5, 2021 to Mar 28, 2022
- Employees · 4 to 5Aug 5, 2021 to Mar 28, 2022
- Discretionary RAUM · $318M to $320MAug 5, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $297M to $226MAug 5, 2021 to Mar 28, 2022
- RAUM · $318M to $320MAug 5, 2021 to Mar 28, 2022
- Advisory employees · 2 to 3Mar 13, 2020 to Mar 12, 2021
- Employees · 3 to 4Mar 13, 2020 to Mar 12, 2021
- Discretionary RAUM · $176M to $318MMar 13, 2020 to Mar 12, 2021
- Pooled vehicle RAUM · $162M to $297MMar 13, 2020 to Mar 12, 2021
- RAUM · $176M to $318MMar 13, 2020 to Mar 12, 2021
Signals
7 dated events
- S•••••••• C•••••• M••••••••• L•• reported RAUM $1.6B, up 55% from $1.0B (2025-05-22 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- S•••••••• C•••••• M••••••••• L•• reported RAUM $1.0B, up 43% from $723.9M (2024-06-04 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- S•••••••• C•••••• M••••••••• L•• reported RAUM $723.9M, up 34% from $538.7M (2024-03-25 to 2024-06-04)Jun 4, 2024 · RAUM change · derived
- S•••••••• C•••••• M••••••••• L•• reported RAUM $441.6M, up 38% from $320.3M (2022-03-28 to 2023-03-24)Mar 24, 2023 · RAUM change · derived
- S•••••••• C•••••• M••••••••• L•• reported RAUM $317.8M, up 80% from $176.5M (2020-03-13 to 2021-03-12)Mar 12, 2021 · RAUM change · derived
- Joseph Andrew Timpson (Chief Operating Officer & Chief Compliance Officer) appeared on Schedule A of S•••••••• C•••••• M••••••••• L••Oct 16, 2019 · Control person joined · fact
- S•••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 24, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••••••• C•••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 617-250-8431reportedpublic record, Form ADV, Mar 30, 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
- Other 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