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 City, New YorkCRD 310058SEC 801-119504IAPD
Latest filing May 6, 2024
First filing on the tape Aug 20, 2020 · 12 filings
RAUM
$11B
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
23
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$11B as of Dec 22, 2023
Jan 4, 2021$13B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Dec 22, 2023
Jan 4, 20210 then
Employees (5.A)23 as of Dec 22, 2023
Jan 4, 20217 then
Private funds: no history
RAUM -13% over the last fiscal year-4.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 6, 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
$11BderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-13%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$11B, 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$11B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$11B for 1 clientsreported
Compensation
n/areported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M•••• N••••• H••••• · Chief Compliance Officercontrol
        since 04/2024 · owns less than 5%
      • E••••• K•••• H•••• · Director And Ownercontrol
        since 02/2011 · owns F of S••••••• C•••••• M••••••••• ••••••• L••••••
      • S•••••• S••••• P•••• · Director And Ownercontrol
        since 01/2021 · owns 75% or more of S•••••• H••••••• L••••••
      Entity owners
      • S••••••• C•••••• M••••••••• ••• L•••••• · Owner
        direct · owns 75% or more
      • S•••••• H••••••• L•••••• · Owner
        indirect · owns 75% or more of S••••••• C•••••• M••••••••• ••••••• L••••••
      • S••••••• C•••••• M••••••••• ••••••• L•••••• · Owner
        indirect · owns 75% or more of S••••••• C•••••• M••••••••• L••••••
      • S••••••• C•••••• M••••••••• L•••••• · Owner
        indirect · owns 75% or more of S••••••• C•••••• M••••••••• ••• L••••••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 15 to 12
        Oct 30, 2023 to Dec 22, 2023
      • Assets in custody · $13B to $11B
        Oct 30, 2023 to Dec 22, 2023
      • Employees · 27 to 23
        Oct 30, 2023 to Dec 22, 2023
      • Discretionary RAUM · $13B to $11B
        Oct 30, 2023 to Dec 22, 2023
      • Pooled vehicle RAUM · $13B to $11B
        Oct 30, 2023 to Dec 22, 2023
      • RAUM · $13B to $11B
        Oct 30, 2023 to Dec 22, 2023
      • Advisory employees · 14 to 15
        Dec 23, 2021 to Dec 21, 2022
      • Assets in custody · $15B to $13B
        Dec 23, 2021 to Dec 21, 2022
      • Employees · 24 to 27
        Dec 23, 2021 to Dec 21, 2022
      • Discretionary RAUM · $15B to $13B
        Dec 23, 2021 to Dec 21, 2022
      • Pooled vehicle RAUM · $15B to $13B
        Dec 23, 2021 to Dec 21, 2022
      • RAUM · $15B to $13B
        Dec 23, 2021 to Dec 21, 2022
      • Advisory employees · 5 to 14
        Jul 27, 2021 to Dec 23, 2021
      • Assets in custody · unset to 14518655776.0
        Jul 27, 2021 to Dec 23, 2021
      • Custody of client assets · false to true
        Jul 27, 2021 to Dec 23, 2021
      • Employees · 7 to 24
        Jul 27, 2021 to Dec 23, 2021
      • Other offices · 0 to 1
        Jul 27, 2021 to Dec 23, 2021
      • Discretionary RAUM · $13B to $15B
        Jul 27, 2021 to Dec 23, 2021
      • Pooled vehicle RAUM · $13B to $15B
        Jul 27, 2021 to Dec 23, 2021
      • RAUM · $13B to $15B
        Jul 27, 2021 to Dec 23, 2021
      • Advisory employees · 2 to 5
        Aug 20, 2020 to Jan 4, 2021
      • Employees · 3 to 7
        Aug 20, 2020 to Jan 4, 2021
      • Discretionary RAUM · $12B to $13B
        Aug 20, 2020 to Jan 4, 2021
      • Pooled vehicle RAUM · $12B to $13B
        Aug 20, 2020 to Jan 4, 2021
      • RAUM · $12B to $13B
        Aug 20, 2020 to Jan 4, 2021
      Signals
      10 dated events
      • Boris Zeldin (Chief Compliance Officer) no longer on Schedule A of S••••••• C•••••• M••••••••• •••• L•• (listed 2024-01-24, absent 2024-04-26)
        Apr 26, 2024 · Control person left · inference
      • Harish Niral Maru (Chief Compliance Officer) appeared on Schedule A of S••••••• C•••••• M••••••••• •••• L••
        Apr 26, 2024 · Control person joined · fact
      • Douglas Scott Dragoo (Us Coo) no longer on Schedule A of S••••••• C•••••• M••••••••• •••• L•• (listed 2022-12-21, absent 2023-10-30)
        Oct 30, 2023 · Control person left · inference
      • Brett Joshua Klaff (Portfolio Manager) no longer on Schedule A of S••••••• C•••••• M••••••••• •••• L•• (listed 2022-12-21, absent 2023-10-30)
        Oct 30, 2023 · Control person left · inference
      • Sun Daysun Chang (Chief Compliance Officer) no longer on Schedule A of S••••••• C•••••• M••••••••• •••• L•• (listed 2022-12-21, absent 2023-10-30)
        Oct 30, 2023 · Control person left · inference
      • Sun Daysun Chang (Chief Compliance Officer) appeared on Schedule A of S••••••• C•••••• M••••••••• •••• L••
        Dec 21, 2022 · Control person joined · fact
      • Harish Niral Maru (Chief Compliance Officer And Director Of The Managing Member) no longer on Schedule A of S••••••• C•••••• M••••••••• •••• L•• (listed 2021-12-23, absent 2022-12-21)
        Dec 21, 2022 · Control person left · inference
      • Douglas Scott Dragoo (Us Coo) appeared on Schedule A of S••••••• C•••••• M••••••••• •••• L••
        Dec 23, 2021 · Control person joined · fact
      • Brett Joshua Klaff (Portfolio Manager) appeared on Schedule A of S••••••• C•••••• M••••••••• •••• L••
        Dec 23, 2021 · Control person joined · fact
      • S••••••• C•••••• M••••••••• •••• L•• filed its initial SEC registration (Form ADV)
        Aug 20, 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