DFX Intelligence
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S••••• I••••••••• M••••••••• L•
Asset manager (funds and pooled vehicles), based in Boston, Massachusetts, reporting $625M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $625M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- +7.5%
- Private clients
- 0.0% of RAUM
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 2
Every filed figure, and the identifiersCRD 311098 · SEC 801-120856 · 11 filingsShowHide
CRD 311098SEC 801-120856First filing on the tape Mar 19, 2021, latest Jun 10, 2026SEC status approved since Apr 21, 2021IAPD
RAUM
$625M
reported, Item 5.F
Discretionary
98%
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
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$625M as of Jun 10, 2026
Mar 31, 2022$834M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 10, 2026
Mar 31, 20220 then
Employees (5.A)6 as of Jun 10, 2026
Mar 31, 20224 then
Private funds1 as of Mar 28, 2024
Mar 31, 20221 then
RAUM +7.5% over the last fiscal year-8.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 10, 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
- $62.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%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
- +7.5%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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$607M97%
- Corporations and businesses$18.8M3.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.97 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••••• C•••• L• | Hedge Fund | $1.0M | 3 | Mar 31, 2022 |
Owners and control persons
Schedule A and B, latest filing
- B•••• A•••••• G••••••••• · Portfolio Manager And Limited Partnercontrolsince 04/2021 · owns 25% to 50%
- C••••• T•••••• J•••• · Cco, Coo, And Cfocontrolsince 07/2021 · owns 5% to 10%
- S••••••• T••••••• J••• · Founder, Chief Investment Officer, And Limited Partnercontrolsince 09/2020 · owns 50% to 75%
- W•••••• H••••• K• · President And Limited Partnercontrolsince 04/2021 · owns 10% to 25%
Related persons
Schedule D 7.A
- S••••• F•••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Business name · S••••• I••••••••• M•••••••• L• to S••••• I••••••••• M••••••••• L•Mar 31, 2026 to Jun 10, 2026
- Legal name · S••••• I••••••••• M•••••••• L• to S••••• I••••••••• M••••••••• L•Mar 31, 2026 to Jun 10, 2026
- Discretionary RAUM · $563M to $612MFeb 4, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $19.0M to $13.8MFeb 4, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $558M to $607MFeb 4, 2026 to Mar 31, 2026
- RAUM · $582M to $625MFeb 4, 2026 to Mar 31, 2026
- Accounts · 7 to 10Mar 28, 2024 to Mar 31, 2025
- Advisory employees · 3 to 5Mar 28, 2024 to Mar 31, 2025
- Corporate clients · 1 to 2Mar 28, 2024 to Mar 31, 2025
- Pooled vehicle clients · 5 to 8Mar 28, 2024 to Mar 31, 2025
- Assets in custody · 1000000.0 to unsetMar 28, 2024 to Mar 31, 2025
- Custody of client assets · true to falseMar 28, 2024 to Mar 31, 2025
- Employees · 4 to 6Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Private funds · 1 to unsetMar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $600M to $563MMar 28, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $35.4M to $19.0MMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $590M to $558MMar 28, 2024 to Mar 31, 2025
- RAUM · $635M to $582MMar 28, 2024 to Mar 31, 2025
- Related adviser · false to trueMar 28, 2024 to Mar 31, 2025
- Accounts · 6 to 7Mar 31, 2023 to Mar 28, 2024
- Corporate clients · 5 to 1Mar 31, 2023 to Mar 28, 2024
- Pooled vehicle clients · 1 to 5Mar 31, 2023 to Mar 28, 2024
- Assets in custody · $169M to $1.0MMar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $781M to $600MMar 31, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $45.4M to $35.4MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $169M to $590MMar 31, 2023 to Mar 28, 2024
- RAUM · $827M to $635MMar 31, 2023 to Mar 28, 2024
- Business name · S••••• I••••••••• M••••••••• L•• to S••••• I••••••••• M•••••••• L•Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $142M to $169MMar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $790M to $781MMar 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $44.0M to $45.4MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $142M to $169MMar 31, 2022 to Mar 31, 2023
- RAUM · $834M to $827MMar 31, 2022 to Mar 31, 2023
- Accounts · 2 to 6Aug 9, 2021 to Mar 31, 2022
- Advisory employees · 0 to 3Aug 9, 2021 to Mar 31, 2022
- Corporate clients · 1 to 5Aug 9, 2021 to Mar 31, 2022
- Assets in custody · unset to 142375000.0Aug 9, 2021 to Mar 31, 2022
- Custody of client assets · false to trueAug 9, 2021 to Mar 31, 2022
- Employees · 1 to 4Aug 9, 2021 to Mar 31, 2022
Signals
6 dated events
- ••• LockedMar 31, 2022 · RAUM change · derived
- ••• LockedMar 31, 2022 · Control person joined · fact
- ••• LockedMar 31, 2022 · Control person joined · fact
- ••• LockedAug 9, 2021 · Control person joined · fact
- ••• LockedMar 19, 2021 · Succession (Item 4) · fact
- ••• LockedMar 19, 2021 · 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.
How to reach
public business contact points only, each with its source
- Website
- ••• Lockedreportedpublic record, Form ADV, Jun 10, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Jun 10, 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