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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
S•••••• C•••••• M••••••••• L•
Latest filing Mar 8, 2024
First filing on the tape Jun 26, 2019 · 11 filings
SEC status approved since Jul 26, 2019
RAUM
$501M
reported, Item 5.F
Discretionary
88%
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
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$439M gross assets
History
11 filings and snapshots on the tape
RAUM$501M as of Mar 8, 2024
Mar 30, 2020$245M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 8, 2024
Mar 30, 20200 then
Employees (5.A)6 as of Mar 8, 2024
Mar 30, 20203 then
Private funds1 as of Mar 8, 2024
Mar 30, 20202 then
RAUM +2.9% over the last fiscal year-2.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 8, 2024; 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
- $125MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%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
- +2.9%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
- Custody
- $439M, 3 clientsreportedItem 9.A
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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$501M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $439M for 3 clientsreported
- 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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••• M••••• L• | Hedge Fund | $439M | 18 | Jun 26, 2019 |
| E•••• P••••••• L• | Hedge Fund | $1.6M | 0 | Mar 30, 2020 |
| S•••••• M••••• S•••••• S••••••••• F••• L• | Hedge Fund | $2,000 | 0 | Mar 28, 2022 |
Owners and control persons
Schedule A and B, latest filing
- P••••••••• R••••••• L• · Founder / Portfolio Manager / Limited Partnercontrolsince 11/2017 · owns 75% or more
- S••••• M•••••••• · Chief Compliance Officer / Chief Financial Officer / Chief Operating Officercontrolsince 02/2021 · owns less than 5%
- P••••••••• R••••••• L• · Managing Membercontrolsince 11/2017 · owns 75% or more of S•••••• C•••••• M••••••••• G• L••
- C•••• D•••• · Trusteesince 04/2019 · owns less than 5%
- Y•••• R••••••• J•• · Trusteesince 04/2019 · owns less than 5%
- C•••• D•••• · Trusteesince 04/2019 · owns F of R••• 2••• F••••• T••••
- Y•••• R••••••• J•• · Trusteesince 04/2019 · owns F of R••• 2••• F••••• T••••
Entity owners
- R••• 2••• F••••• T•••• · Limited Partnerdirect · owns 10% to 25%
- S•••••• C•••••• M••••••••• G• L•• · General Partnerdirect · owns less than 5%
- R••• 2••• F••••• T•••• · Memberindirect · owns F of S•••••• C•••••• M••••••••• G• L••
Related persons
Schedule D 7.A
- S•••••• G• L••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 5 to 4Oct 2, 2023 to Mar 8, 2024
- Pooled vehicle clients · 5 to 4Oct 2, 2023 to Mar 8, 2024
- Assets in custody · $430M to $439MOct 2, 2023 to Mar 8, 2024
- Employees · 5 to 6Oct 2, 2023 to Mar 8, 2024
- Private funds · 3 to 1Oct 2, 2023 to Mar 8, 2024
- Discretionary RAUM · $422M to $439MOct 2, 2023 to Mar 8, 2024
- Non-discretionary RAUM · $64.7M to $61.6MOct 2, 2023 to Mar 8, 2024
- Pooled vehicle RAUM · $486M to $501MOct 2, 2023 to Mar 8, 2024
- RAUM · $486M to $501MOct 2, 2023 to Mar 8, 2024
- Private funds · 1 to 3Mar 24, 2023 to Apr 20, 2023
- Private funds · 3 to 1Mar 28, 2022 to Mar 24, 2023
- Discretionary RAUM · $672M to $422MMar 28, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $69.4M to $64.7MMar 28, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · $736M to $486MMar 28, 2022 to Mar 24, 2023
- RAUM · $742M to $486MMar 28, 2022 to Mar 24, 2023
- Accounts · 10 to 5Mar 28, 2022 to Mar 24, 2023
- Pooled vehicle clients · 7 to 5Mar 28, 2022 to Mar 24, 2023
- Assets in custody · $672M to $430MMar 28, 2022 to Mar 24, 2023
- Pooled vehicle clients · 8 to 7Feb 27, 2021 to Mar 28, 2022
- Assets in custody · $495M to $672MFeb 27, 2021 to Mar 28, 2022
- Private funds · 2 to 3Feb 27, 2021 to Mar 28, 2022
- Discretionary RAUM · $495M to $672MFeb 27, 2021 to Mar 28, 2022
- Non-discretionary RAUM · $40.2M to $69.4MFeb 27, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $532M to $736MFeb 27, 2021 to Mar 28, 2022
- RAUM · $535M to $742MFeb 27, 2021 to Mar 28, 2022
- Accounts · 6 to 10Aug 3, 2020 to Feb 27, 2021
- Advisory employees · 2 to 3Aug 3, 2020 to Feb 27, 2021
- Advisory activities · 1 to 2Aug 3, 2020 to Feb 27, 2021
- Pooled vehicle clients · 6 to 8Aug 3, 2020 to Feb 27, 2021
- Assets in custody · $222M to $495MAug 3, 2020 to Feb 27, 2021
- Employees · 3 to 5Aug 3, 2020 to Feb 27, 2021
- Discretionary RAUM · $222M to $495MAug 3, 2020 to Feb 27, 2021
- Non-discretionary RAUM · $22.8M to $40.2MAug 3, 2020 to Feb 27, 2021
- Pooled vehicle RAUM · $245M to $532MAug 3, 2020 to Feb 27, 2021
- RAUM · $245M to $535MAug 3, 2020 to Feb 27, 2021
- Accounts · 3 to 6Sep 25, 2019 to Mar 30, 2020
- Advisory employees · 4 to 2Sep 25, 2019 to Mar 30, 2020
- Pooled vehicle clients · 3 to 6Sep 25, 2019 to Mar 30, 2020
- Assets in custody · $106M to $222MSep 25, 2019 to Mar 30, 2020
- Employees · 5 to 3Sep 25, 2019 to Mar 30, 2020
Signals
12 dated events
- S•••••• C•••••• M••••••••• L• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $500.6M)May 2, 2025 · Left the SEC roster · derived
- Sabreen Sabah Rabbi (Co-Chief Operating Officer) no longer on Schedule A of S•••••• C•••••• M••••••••• L• (listed 2023-04-20, absent 2023-09-29)Sep 29, 2023 · Control person left · inference
- S•••••• C•••••• M••••••••• L• reported RAUM $486.3M, down 34% from $741.7M (2022-03-28 to 2023-03-24)Mar 24, 2023 · ria raum c•••ge · derived
- Sabreen Sabah Rabbi (Co-Chief Operating Officer) appeared on Schedule A of S•••••• C•••••• M••••••••• L•Mar 24, 2023 · Control person joined · fact
- S•••••• C•••••• M••••••••• L• reported RAUM $741.7M, up 39% from $535.3M (2021-02-27 to 2022-03-28)Mar 28, 2022 · ria raum c•••ge · derived
- S•••••• C•••••• M••••••••• L• reported RAUM $535.3M, up 118% from $245.0M (2020-08-03 to 2021-02-27)Feb 27, 2021 · ria raum c•••ge · derived
- Marc Srolovits (Chief Compliance Officer / Chief Financial Officer) no longer on Schedule A of S•••••• C•••••• M••••••••• L• (listed 2020-08-03, absent 2021-02-27)Feb 27, 2021 · Control person left · inference
- Manjinder Singh (Chief Compliance Officer / Chief Financial Officer / Chief Operating Officer) appeared on Schedule A of S•••••• C•••••• M••••••••• L•Feb 27, 2021 · Control person joined · fact
- Anne Francisco Luzile Manigbas (Chief Compliance Officer / Chief Financial Officer) no longer on Schedule A of S•••••• C•••••• M••••••••• L• (listed 2020-03-30, absent 2020-08-03)Aug 3, 2020 · Control person left · inference
- Marc Srolovits (Chief Compliance Officer / Chief Financial Officer) appeared on Schedule A of S•••••• C•••••• M••••••••• L•Aug 3, 2020 · Control person joined · fact
- S•••••• C•••••• M••••••••• L• reported RAUM $245.0M, up 131% from $106.0M (2019-09-25 to 2020-03-30)Mar 30, 2020 · ria raum c•••ge · derived
- S•••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Jun 26, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••••• C•••••• M••••••••• L• · Private Equityshared crd · organization
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