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•••••• T••••••••• C•••••• M••••••••• L••
Latest filing Mar 5, 2025
First filing on the tape Mar 30, 2023 · 5 filings
SEC status approved since Apr 28, 2023
RAUM
$129M
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
6
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
10
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$129M as of Mar 5, 2025
Feb 26, 2024$106M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 5, 2025
Feb 26, 20240 then
Employees (5.A)6 as of Mar 5, 2025
Feb 26, 20246 then
Private funds10 as of Mar 5, 2025
Feb 26, 202411 then
RAUM +22% over the last fiscal yearIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Mar 5, 2025; 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
- $18.4MderivedRAUM 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
- +22%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 vehiclesreportedItem 5.G
- Custody
- $129M, 7 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$129M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $129M for 7 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
Private funds
15 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••• D••• F••• L• | Venture Capital Fund | $49.0M | 82 | Apr 20, 2021 |
| S•••••• T••••••••• C•••••• F••• I• L• | Other Private Fund | $34.4M | 53 | Apr 20, 2021 |
| S•••••• D•••••• V•••••• F••• I• L• | Venture Capital Fund | $13.5M | 20 | Oct 13, 2022 |
| S•••••• L••••• F••• L• | Hedge Fund | $5.2M | 2 | Feb 26, 2024 |
| S••• G•••••••• S••• A• S••••• O• S••• S•• S••••• M••••• I• L• | Venture Capital Fund | $1.8M | 41 | Mar 31, 2022 |
| S•••••• B••••• S••• S••••• O• S••• S•• S••••• M••••• I• L• | Venture Capital Fund | $912,864 | 2 | Mar 30, 2023 |
| S••• A•••• S••• A• S••••• O• S••• S•• S••••• M••••• I• L• | Venture Capital Fund | $703,573 | 26 | Mar 31, 2022 |
| S••• V•••••• E••••• F••• I• L• | Venture Capital Fund | $455,997 | 6 | Apr 20, 2021 |
| S••• R••• E••••• I• A• S••••• O• S••• S•• S••••• M••••• I• L• | Venture Capital Fund | $233,000 | 4 | Mar 31, 2022 |
| M••• R••• F•••••• I• L•• | Other Private Fund | $0 | 1 | Mar 30, 2023 |
| S••• T••••••••• F•••••• L•• | Other Private Fund | $0 | 1 | Mar 30, 2023 |
| S••• G•••••••• F•••••• L•• | Other Private Fund | $0 | 1 | Mar 30, 2023 |
| S••• Q•• E•••••• A• S••••• O• S••• S•• S••••• M••••• I• L•no longer reported | Venture Capital Fund | $0 | 0 | Apr 20, 2021 |
| S••• S•• S••••• M••••• I• L•no longer reported | Venture Capital Fund | $0 | 0 | Apr 20, 2021 |
| S••• B••••• F•••••• L•• | Other Private Fund | $0 | 1 | Mar 30, 2023 |
Owners and control persons
Schedule A and B, latest filing
- P•••••• R••••••• B•••• · Principalcontrolsince 11/2016 · owns less than 5%
- P••••••••• L••••••• J••• · Cco & Partner / Membercontrolsince 10/2022 · owns less than 5%
- P•••••• R••••••• B•••• · Principal / Membercontrolsince 11/2016 · owns 75% or more of S•••••• Z•••• I••
Entity owners
- S•••••• Z•••• I•• · Shareholder / Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- S••• D••• F••• G• L••pooled vehicle sponsorn
- S••• F•••••• G• L••pooled vehicle sponsorn
- S••• S•• S••••• M••••• I• L•pooled vehicle sponsorn
- S••• V•••••• E••••• F••• I• G• L••pooled vehicle sponsorn
- S••• V•••••• E••••• S••••• I• G• L••pooled vehicle sponsorn
- S•••••• D•••••• V•••••• F••• I• G• L••pooled vehicle sponsorn
- S•••••• L••••• F••• G•• L••pooled vehicle sponsorn
- S•••••• T••••••••• C•••••• I• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Pooled vehicle RAUM · $106M to $129MApr 23, 2024 to Mar 5, 2025
- RAUM · $106M to $129MApr 23, 2024 to Mar 5, 2025
- Succession · true to falseApr 23, 2024 to Mar 5, 2025
- Assets in custody · $106M to $129MApr 23, 2024 to Mar 5, 2025
- Financial planning clients · unset to Apr 23, 2024 to Mar 5, 2025
- HQ city · NEWPORT BEACH to MIAMIApr 23, 2024 to Mar 5, 2025
- HQ state · CA to FLApr 23, 2024 to Mar 5, 2025
- Other offices · 0 to 1Apr 23, 2024 to Mar 5, 2025
- Private funds · 11 to 10Apr 23, 2024 to Mar 5, 2025
- Discretionary RAUM · $106M to $129MApr 23, 2024 to Mar 5, 2025
- Succession · false to trueFeb 26, 2024 to Apr 23, 2024
- Advisory employees · 5 to 3Oct 26, 2023 to Feb 26, 2024
- Assets in custody · $162M to $106MOct 26, 2023 to Feb 26, 2024
- Employees · 7 to 6Oct 26, 2023 to Feb 26, 2024
- Private funds · 12 to 11Oct 26, 2023 to Feb 26, 2024
- Discretionary RAUM · $162M to $106MOct 26, 2023 to Feb 26, 2024
- Pooled vehicle RAUM · $162M to $106MOct 26, 2023 to Feb 26, 2024
- RAUM · $162M to $106MOct 26, 2023 to Feb 26, 2024
- HQ city · DALLAS to NEWPORT BEACHMar 30, 2023 to Oct 26, 2023
- HQ state · TX to CAMar 30, 2023 to Oct 26, 2023
- Private funds · 24 to 12Mar 30, 2023 to Oct 26, 2023
Signals
3 dated events
- S•••••• T••••••••• C•••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $128.8M)Dec 20, 2025 · Left the SEC roster · derived
- S•••••• T••••••••• C•••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Apr 23, 2024 · Succession (Item 4) · fact
- S•••••• T••••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 30, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••••• T••••••••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
- S•••••• T••••••••• C•••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/stratostecreportedpublic record, Form ADV, Sep 19, 2026
- Website
- s••••••.xyzreportedpublic record, Form ADV, Sep 19, 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
- 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