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 Apr 20, 2020 · 8 filings
SEC status approved since May 20, 2020
RAUM
$340M
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
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$340M as of Mar 30, 2026
Mar 29, 2021$405M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 29, 20210 then
Employees (5.A)5 as of Mar 30, 2026
Mar 29, 20216 then
Private funds2 as of Mar 30, 2026
Mar 29, 20211 then
RAUM +56% over the last fiscal year-7.5% 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
- $56.6MderivedRAUM 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
- +56%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 pooled vehicles, otherreportedItem 5.G
- Custody
- $316M, 5 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$316M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $316M for 5 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.93 institutional_share=0.0 related_bd=false related_bank=true 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•••••• M••••• F••• L• | Hedge Fund | $259M | 60 | Oct 18, 2019 |
| S••••••••• P•••••• O••••••••• F••• I• L• | Private Equity Fund | $48.9M | 16 | Mar 30, 2022 |
Owners and control persons
Schedule A and B, latest filing
- S•••• G•••••• B••••••• · Chief Compliance Officer, Chief Operating Officer, Chief Financial Officercontrolsince 10/2019 · owns less than 5%
- T•••• G•• · Managing Partnercontrolsince 10/2019 · owns 75% or more
- T•••• G•• · Managing Partnercontrolsince 10/2019 · owns 75% or more of S••••••••• C•••••• F••• G• L••
Entity owners
- S••••••••• C•••••• F••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- S••••••••• C•••••• F••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Shanghai, China2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $218,300,000 to $339,500,000 (+56.0%) between the annual amendments of 2025-03-28 and 2026-03-30; the peer median change was +4.0% (1148 comparable advisers, 92.0th percentile of changes)peers: asset managers, $100M to $500M (1,148) · 92% percentile
What changed
consecutive filings, newest first
- Assets in custody · $208M to $316MMar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $218M to $340MMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $208M to $316MMar 28, 2025 to Mar 30, 2026
- RAUM · $218M to $340MMar 28, 2025 to Mar 30, 2026
- Accounts · 8 to 6Mar 28, 2024 to Mar 28, 2025
- Advisory employees · 4 to 3Mar 28, 2024 to Mar 28, 2025
- Assets in custody · $371M to $208MMar 28, 2024 to Mar 28, 2025
- Employees · 6 to 5Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Other offices · 1 to 0Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $371M to $218MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $307M to $208MMar 28, 2024 to Mar 28, 2025
- RAUM · $371M to $218MMar 28, 2024 to Mar 28, 2025
- Advisory employees · 5 to 4Mar 30, 2023 to Mar 28, 2024
- Assets in custody · $429M to $371MMar 30, 2023 to Mar 28, 2024
- Employees · 7 to 6Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $429M to $371MMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $363M to $307MMar 30, 2023 to Mar 28, 2024
- RAUM · $429M to $371MMar 30, 2023 to Mar 28, 2024
- Accounts · 5 to 8Mar 30, 2022 to Mar 30, 2023
- Advisory activities · 1 to 2Mar 30, 2022 to Mar 30, 2023
- Assets in custody · $434M to $429MMar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $434M to $429MMar 30, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $434M to $363MMar 30, 2022 to Mar 30, 2023
- RAUM · $434M to $429MMar 30, 2022 to Mar 30, 2023
- Accounts · 3 to 5Nov 2, 2021 to Mar 30, 2022
- Advisory employees · 4 to 5Nov 2, 2021 to Mar 30, 2022
- Pooled vehicle clients · 3 to 5Nov 2, 2021 to Mar 30, 2022
- Assets in custody · $405M to $434MNov 2, 2021 to Mar 30, 2022
- Employees · 6 to 7Nov 2, 2021 to Mar 30, 2022
- Other offices · 0 to 1Nov 2, 2021 to Mar 30, 2022
- Private funds · 1 to 2Nov 2, 2021 to Mar 30, 2022
- Discretionary RAUM · $405M to $434MNov 2, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $405M to $434MNov 2, 2021 to Mar 30, 2022
- RAUM · $405M to $434MNov 2, 2021 to Mar 30, 2022
- Advisory employees · 2 to 4Apr 20, 2020 to Mar 29, 2021
- Assets in custody · $183M to $405MApr 20, 2020 to Mar 29, 2021
- Employees · 4 to 6Apr 20, 2020 to Mar 29, 2021
- Private funds · 2 to 1Apr 20, 2020 to Mar 29, 2021
- Discretionary RAUM · $183M to $405MApr 20, 2020 to Mar 29, 2021
Signals
4 dated events
- S••••••••• C•••••• M••••••••• L• reported RAUM $339.5M, up 56% from $218.3M (2025-03-28 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- S••••••••• C•••••• M••••••••• L• reported RAUM $218.3M, down 41% from $371.1M (2024-03-28 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- S••••••••• C•••••• M••••••••• L• reported RAUM $405.4M, up 121% from $183.1M (2020-04-20 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- S••••••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Apr 20, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••••••• C•••••• M••••••••• L• · Independent Sponsorsshared crd · capital_provider
- S••••••••• C•••••• M••••••••• L• · Private Equityshared crd · organization
- 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
- 212-257-5690reportedpublic 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
- Asset manager (funds and pooled vehicles)deriveda 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