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Former SEC-registered adviser

S•••••••• I•••• A•••• M••••••••• L•••

Former SEC-registered adviserPort St. Louis, Mauritius, CRD 306292SEC 801-117948IAPD
Latest filing Jan 21, 2020
First filing on the tape Dec 13, 2019 · 2 filings
RAUM
$247M
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
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$216M gross assets
History
2 filings and snapshots on the tape
RAUM$247M as of Jan 21, 2020
Dec 13, 2019$247M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 21, 2020
Dec 13, 20190 then
Employees (5.A)0 as of Jan 21, 2020
Dec 13, 20190 then
Private funds1 as of Jan 21, 2020
Dec 13, 20191 then
Practice profile
derived from the filing of Jan 21, 2020; 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
$124MderivedRAUM 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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$216M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•••••••• I•••• E••••••• O••••••••• F•••• L•••Hedge Fund$252M25Mar 28, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • F••••• S••••••• •••• · Directorcontrol
        since 11/2011 · owns less than 5%
      • F•••• S•••••• L••• · Chief Compliance Officercontrol
        since 01/2002 · owns less than 5%
      • J•••••••• R•••••• · Directorcontrol
        since 10/2014 · owns less than 5%
      • S••••••••• J•••••• S••••• · Directorcontrol
        since 06/2016 · owns less than 5%
      • F•••• S•••••• L••• · Managing Director/Chief Compliance Officer/Chief Financial Officercontrol
        since 01/2002 · owns F of S•••••••• A•••• M••••••••• L••
      • G••••••••• D•••• · Trusteecontrol
        since 07/2009 · owns F of T•• S••••••••• F••••• 2••• T••••
      • S••••••••• J•••••• S••••• · Managing Directorcontrol
        since 02/2008 · owns F of S•••••••• A•••• M••••••••• L••
      • S••••••••• M••••••• A••• · Shareholdercontrol
        since 11/1982 · owns 50% to 75% of S•••••••• A•••• M••••••••• C•• I•••
      • S••••••••• M••••••• A••• · Managing Directorcontrol
        since 01/2002 · owns F of S•••••••• A•••• M••••••••• L••
      Entity owners
      • S•••••••• A•••• M••••••••• L•• · Owner
        direct · owns 75% or more
      • S•••••••• A•••• M••••••••• C•• I••• · Member
        indirect · owns 75% or more of S•••••••• A•••• M••••••••• L••
      • T•• S••••••••• F••••• 2••• T•••• · Shareholder
        indirect · owns 25% to 50% of S•••••••• A•••• M••••••••• C•• I•••
      Related persons
      Schedule D 7.A
      Advisers that list S•••••••• I•••• A•••• M••••••••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      1 dated events
      • S•••••••• I•••• A•••• M••••••••• L••• filed its initial SEC registration (Form ADV)
        Dec 13, 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