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••••••• C•••••• M••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 309850SEC 801-119427IAPD
Latest filing May 18, 2022
First filing on the tape Aug 11, 2020 · 5 filings
RAUM
$75.5M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$116M gross assets
History
5 filings and snapshots on the tape
RAUM$75.5M as of Mar 29, 2022
Jan 8, 2021$101M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2022
Jan 8, 20210 then
Employees (5.A)3 as of Mar 29, 2022
Jan 8, 20213 then
Private funds3 as of Mar 29, 2022
Jan 8, 20213 then
RAUM -25% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 18, 2022; 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
$18.9MderivedRAUM 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
-25%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
$7.4M, 1 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)
  • 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$63.1M84%
  • Other investment advisers$12.4M16%
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
$7.4M for 1 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••••• M••••• F••• L•Hedge Fund$63.1M11Aug 11, 2020
      S••••••• P••••••• L•Hedge Fund$45.4M8Aug 11, 2020
      S••••••• F••• L•••Hedge Fund$7.4M3Aug 11, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • K••••• R••••••• D•••• · Owner / Managing Member / Limited Partner / Chief Compliance Officercontrol
        since 04/2020 · owns 75% or more
      • K••••• R••••••• D•••• · Managing Membercontrol
        since 04/2020 · owns 75% or more of S••••••• C•••••• M••••••••• ••• L••
      Entity owners
      • S••••••• C•••••• M••••••••• ••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • S••••••• F•••• G• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 1
        Mar 29, 2022 to May 18, 2022
      • Employees · 3 to 1
        Mar 29, 2022 to May 18, 2022
      • Advisory employees · 2 to 3
        Jan 8, 2021 to Mar 29, 2022
      • Assets in custody · $10.8M to $7.4M
        Jan 8, 2021 to Mar 29, 2022
      • Discretionary RAUM · $101M to $75.5M
        Jan 8, 2021 to Mar 29, 2022
      • Pooled vehicle RAUM · $82.8M to $63.1M
        Jan 8, 2021 to Mar 29, 2022
      • RAUM · $101M to $75.5M
        Jan 8, 2021 to Mar 29, 2022
      • Accounts · 3 to 4
        Sep 11, 2020 to Jan 8, 2021
      • Advisory employees · 1 to 2
        Sep 11, 2020 to Jan 8, 2021
      • Advisory activities · 1 to 2
        Sep 11, 2020 to Jan 8, 2021
      • Assets in custody · $0 to $10.8M
        Sep 11, 2020 to Jan 8, 2021
      • Custody of client assets · false to true
        Sep 11, 2020 to Jan 8, 2021
      • Employees · 2 to 3
        Sep 11, 2020 to Jan 8, 2021
      • Discretionary RAUM · $50.0M to $101M
        Sep 11, 2020 to Jan 8, 2021
      • Pooled vehicle RAUM · $50.0M to $82.8M
        Sep 11, 2020 to Jan 8, 2021
      • RAUM · $50.0M to $101M
        Sep 11, 2020 to Jan 8, 2021
      Signals
      1 dated events
      • S••••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)
        Aug 11, 2020 · 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