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•••• A••••••• S•••••• ••• L••
Latest filing Aug 28, 2026
First filing on the tape Sep 2, 2020 · 11 filings
SEC status approved since Oct 1, 2020
RAUM
$1.7B
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
80
65 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
6
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$1.7B as of Aug 28, 2026
Mar 31, 2021$2.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 28, 2026
Mar 31, 20210 then
Employees (5.A)80 as of Aug 28, 2026
Mar 31, 2021102 then
Private funds6 as of Aug 28, 2026
Mar 31, 20212 then
RAUM -55% over the last fiscal year-25% a year over threeIARs 0 to 0offices 6 to 4
Practice profile
derived from the filing of Aug 28, 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
- $156MderivedRAUM 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
- unknownderived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- -55%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-based, otherreportedItem 5.E
- Advisory activities
- 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
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.7B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 11reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0derived
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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••• C••••••• R••• E••••• O••••••••• F••• I• L••• | Real Estate Fund | $949M | 31 | Sep 2, 2020 |
| S•••• R••• E••••• C•••••• L••• | Real Estate Fund | $587M | 25 | Mar 31, 2022 |
| S•••• E••••••• R••• E••••• F••• I•• | Real Estate Fund | $579M | 16 | Sep 2, 2020 |
| S•••• N•••• A••••••• E•••••••• R••• E••••• I••••• F••• L••• | Real Estate Fund | $215M | 2 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- A••• R•••••• T•••• · General Counselcontrolsince 07/2020 · owns less than 5%
- A••••••••• R•••••• A•••• J••••• · Chief Operating Officercontrolsince 01/2022 · owns less than 5%
- S•••••••• M••••••• M•••••••• · Chief Compliance Officercontrolsince 07/2023 · owns less than 5%
- W••••• B••••• N•••••• · Founding Partnercontrolsince 07/2020 · owns less than 5%
- W••••• B••••• S•••• · Founding Partnercontrolsince 07/2020 · owns less than 5%
- W••••• B••••• N•••••• · Shareholdercontrolsince 08/2019 · owns 50% to 75% of Q•••••• C•••• H•••••• S••••••
- W••••• B••••• S•••• · Shareholdercontrolsince 08/2019 · owns 50% to 75% of Q•••••• C•••• H•••••• S••••••
Entity owners
- S•••• A•••• M••••••••• ••• L••• · Managing Memberdirect · owns 75% or more
- Q•••••• C•••• H•••••• S•••••• · Memberindirect · owns 75% or more of S••• H••••••• ••• L••
- Q•••••• C•••• H•••••• S•••••• · Memberindirect · owns 75% or more of S•••• A•••• M••••••••• H••••••• ••• G• L••
- S••• H••••••• ••• L•• · Limited Partnerindirect · owns 50% to 75% of S•••• A•••• M••••••••• H••••••• ••• L•••
- S•••• A•••• M••••••••• ••• G• L•• · General Partnerindirect · owns F of S•••• A•••• M••••••••• ••• L•••
- S•••• A•••• M••••••••• H••••••• ••• G• L•• · General Partnerindirect · owns F of S•••• A•••• M••••••••• H••••••• ••• L•••
- S•••• A•••• M••••••••• H••••••• ••• L••• · Memberindirect · owns 75% or more of S•••• A•••• M••••••••• ••• G• L••
- S•••• A•••• M••••••••• H••••••• ••• L••• · Memberindirect · owns 75% or more of S•••• A•••• M••••••••• ••• L•••
Related persons
Schedule D 7.A
- P•••••• S••••••••• U••investment advisernRAUM $685M
- S•••• A•••• M••••••••• L•••pooled vehicle sponsorn
- S•••• C••••••• R••• E••••• O••••••••• F••• I• G• L•••pooled vehicle sponsorn
- S•••• C••••••• R••• E••••• O••••••••• F••• I• G• I•••pooled vehicle sponsorn
- S•••• E••••••• E•••••••• R••• E••••• I••••• F••• G• S•• R•••pooled vehicle sponsorn
- S•••• E••••••• R••• E••••• F••• I•• F••••• G• I•••pooled vehicle sponsorn
- S•••• E••••••• R••• E••••• F••• I•• G•• S•••••••pooled vehicle sponsorn
- S•••• E••••••• R••• E••••• G• I•••pooled vehicle sponsorn
- S•••• E••••••• R••• E••••• H••••••• I• • I• G• I•••pooled vehicle sponsorn
- S•••• E••••••• R••• E••••• I• G• I•••pooled vehicle sponsorn
- S•••• N•••• A••••••• E•••••••• R••• E••••• I••••• F••• G• L••pooled vehicle sponsorn
- S•••• R••• E••••• C•••••• G• L••pooled vehicle sponsorn
Advisers that list S•••• A••••••• S•••••• ••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Toronto, Canada50 employees
- New York, NY12 employees
- London, United Kingdom8 employees
- Dublin 2, Ireland7 employees
- Frankfurt Am Main, Germany1 employees
- Dallas, TX1 employees
- Halifax, Canada
- Calgary, Canada
- Columbus, GA
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $3,848,584,000 to $1,714,566,000 (-55.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +11.0% (1368 comparable advisers, 1.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 0.9% percentile
What changed
consecutive filings, newest first
- Private funds · 5 to 6Mar 31, 2026 to Aug 28, 2026
- Accounts · 14 to 11Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 78 to 65Mar 31, 2025 to Mar 31, 2026
- BD registered reps · 4 to 3Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 9 to 8Mar 31, 2025 to Mar 31, 2026
- Employees · 103 to 80Mar 31, 2025 to Mar 31, 2026
- Other offices · 6 to 4Mar 31, 2025 to Mar 31, 2026
- Private funds · 4 to 5Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $3.8B to $1.7BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $3.8B to $1.7BMar 31, 2025 to Mar 31, 2026
- RAUM · $3.8B to $1.7BMar 31, 2025 to Mar 31, 2026
- Related broker-dealer · false to trueMar 31, 2025 to Mar 31, 2026
- Advisory employees · 98 to 78Mar 28, 2024 to Mar 31, 2025
- Employees · 143 to 103Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Other offices · 11 to 6Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $4.3B to $3.8BMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $4.3B to $3.8BMar 28, 2024 to Mar 31, 2025
- RAUM · $4.3B to $3.8BMar 28, 2024 to Mar 31, 2025
- Advisory employees · 95 to 98Jul 31, 2023 to Mar 28, 2024
- BD registered reps · 5 to 4Jul 31, 2023 to Mar 28, 2024
- Employees · 157 to 143Jul 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $4.1B to $4.3BJul 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $4.1B to $4.3BJul 31, 2023 to Mar 28, 2024
- RAUM · $4.1B to $4.3BJul 31, 2023 to Mar 28, 2024
- Related broker-dealer · true to falseJul 31, 2023 to Mar 28, 2024
- Accounts · 8 to 14Sep 9, 2022 to Mar 31, 2023
- Advisory employees · 72 to 95Sep 9, 2022 to Mar 31, 2023
- BD registered reps · 2 to 5Sep 9, 2022 to Mar 31, 2023
- Pooled vehicle clients · 8 to 9Sep 9, 2022 to Mar 31, 2023
- Employees · 120 to 157Sep 9, 2022 to Mar 31, 2023
- Other offices · 10 to 11Sep 9, 2022 to Mar 31, 2023
- Private funds · 3 to 4Sep 9, 2022 to Mar 31, 2023
- Discretionary RAUM · $3.3B to $4.1BSep 9, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $3.3B to $4.1BSep 9, 2022 to Mar 31, 2023
- RAUM · $3.3B to $4.1BSep 9, 2022 to Mar 31, 2023
- Other offices · 9 to 10May 16, 2022 to Sep 9, 2022
- Related adviser · false to trueMay 16, 2022 to Sep 9, 2022
- Discretionary RAUM · $3.5B to $3.3BMar 31, 2022 to May 16, 2022
- Pooled vehicle RAUM · $3.5B to $3.3BMar 31, 2022 to May 16, 2022
Signals
7 dated events
- S•••• A••••••• S•••••• ••• L•• reported RAUM $1.7B, down 55% from $3.8B (2025-03-31 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- S•••• A••••••• S•••••• ••• L•• reported 6 offices beyond its principal office, down from 11 (2024-03-28 to 2025-03-31)Mar 31, 2025 · Office count change · derived
- Mizushima Michael Sullivan (Chief Compliance Officer) appeared on Schedule A of S•••• A••••••• S•••••• ••• L••Jul 31, 2023 · Control person joined · fact
- Allen Joseph Robert Armstrong (Chief Operating Officer) appeared on Schedule A of S•••• A••••••• S•••••• ••• L••Mar 31, 2023 · Control person joined · fact
- S•••• A••••••• S•••••• ••• L•• reported RAUM $3.5B, up 69% from $2.1B (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Antonia Erisa Mara (Chief Compliance Officer) no longer on Schedule A of S•••• A••••••• S•••••• ••• L•• (listed 2021-03-31, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- S•••• A••••••• S•••••• ••• L•• filed its initial SEC registration (Form ADV)Sep 2, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••• A••••••• S•••••• ••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- slateam.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-847-1480reportedpublic record, Form ADV, Aug 28, 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
Across the graphs
S•••• A••••••• S•••••• ••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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