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•••• G•••• M••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Jun 22, 2022 · 10 filings
SEC status approved since Jul 21, 2022
RAUM
$1.2B
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
11
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$1.2B as of Mar 30, 2026
Mar 22, 2023$325M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 22, 20230 then
Employees (5.A)11 as of Mar 30, 2026
Mar 22, 20235 then
Private funds2 as of Mar 30, 2026
Mar 22, 20231 then
RAUM +209% over the last fiscal year+56% 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
- $137MderivedRAUM 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
- +209%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, portfolio management for investment companiesreportedItem 5.G
- Custody
- $4.7M, 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
- 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$1.0B83%
- Investment companies$206M17%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.7M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••• G•••• P•••••••• L•• | Hedge Fund | $4.5M | 10 | Jul 29, 2020 |
Owners and control persons
Schedule A and B, latest filing
- F•••• C••••• E• · Managing Member - Ciocontrolsince 05/2019 · owns 75% or more
- Z•••••• J••••••• W• · Managing Member - Coo/Cfo/Ccocontrolsince 01/2021 · owns 10% to 25%
Related persons
Schedule D 7.A
- S•••• G•••• P••••••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
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 $399,307,408 to $1,235,282,951 (+209.0%) between the annual amendments of 2025-03-31 and 2026-03-30; the peer median change was +11.0% (1368 comparable advisers, 98.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 7 to 9Dec 12, 2025 to Mar 30, 2026
- Advisory employees · 7 to 9Dec 12, 2025 to Mar 30, 2026
- Pooled vehicle clients · 6 to 8Dec 12, 2025 to Mar 30, 2026
- Assets in custody · $4.3M to $4.7MDec 12, 2025 to Mar 30, 2026
- Employees · 7 to 11Dec 12, 2025 to Mar 30, 2026
- Private funds · 1 to 2Dec 12, 2025 to Mar 30, 2026
- Discretionary RAUM · $399M to $1.2BDec 12, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $215M to $1.0BDec 12, 2025 to Mar 30, 2026
- RAUM · $399M to $1.2BDec 12, 2025 to Mar 30, 2026
- Accounts · 6 to 7Jan 30, 2025 to Mar 31, 2025
- Pooled vehicle clients · 5 to 6Jan 30, 2025 to Mar 31, 2025
- Assets in custody · $4.5M to $4.3MJan 30, 2025 to Mar 31, 2025
- Financial planning clients · unset to Jan 30, 2025 to Mar 31, 2025
- Discretionary RAUM · $327M to $399MJan 30, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $132M to $215MJan 30, 2025 to Mar 31, 2025
- RAUM · $327M to $399MJan 30, 2025 to Mar 31, 2025
- Advisory employees · 5 to 7Mar 12, 2024 to Jan 30, 2025
- Employees · 5 to 7Mar 12, 2024 to Jan 30, 2025
- Accounts · 7 to 6May 16, 2023 to Mar 12, 2024
- Pooled vehicle clients · 6 to 5May 16, 2023 to Mar 12, 2024
- Assets in custody · $5.0M to $4.5MMay 16, 2023 to Mar 12, 2024
- Discretionary RAUM · $325M to $327MMay 16, 2023 to Mar 12, 2024
- Pooled vehicle RAUM · $185M to $132MMay 16, 2023 to Mar 12, 2024
- RAUM · $325M to $327MMay 16, 2023 to Mar 12, 2024
- Advisory activities · 1 to 2Sep 14, 2022 to Mar 22, 2023
- Pooled vehicle clients · 7 to 6Sep 14, 2022 to Mar 22, 2023
- Assets in custody · $10.5M to $5.0MSep 14, 2022 to Mar 22, 2023
- Discretionary RAUM · $209M to $325MSep 14, 2022 to Mar 22, 2023
- Pooled vehicle RAUM · $209M to $185MSep 14, 2022 to Mar 22, 2023
- RAUM · $209M to $325MSep 14, 2022 to Mar 22, 2023
- Private funds · 2 to 1Jun 22, 2022 to Sep 14, 2022
Signals
3 dated events
- S•••• G•••• M••••••• L•• reported RAUM $1.2B, up 209% from $399.3M (2025-12-12 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- S•••• G•••• M••••••• L•• reported RAUM $324.7M, up 56% from $208.7M (2022-09-14 to 2023-03-22)Mar 22, 2023 · RAUM change · derived
- S•••• G•••• M••••••• L•• filed its initial SEC registration (Form ADV)Jun 22, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••• G•••• M••••••• L•• · Independent Sponsorsshared crd · capital_provider
- S•••• G•••• M••••••• L•• · Private Equityshared crd · organization
- S•••• G•••• M••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/7gmanagersreportedpublic record, Form ADV, Sep 19, 2026
- Website
- s•••••••••.ioreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 914-498-1776reportedpublic 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