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•••• H••••• M••••••••• L••
Latest filing Mar 29, 2024
First filing on the tape Dec 9, 2020 · 7 filings
RAUM
$55.7M
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
4
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$55.7M gross assets
History
7 filings and snapshots on the tape
RAUM$55.7M as of Mar 29, 2024
Mar 21, 2022$231M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2024
Mar 21, 20220 then
Employees (5.A)4 as of Mar 29, 2024
Mar 21, 20221 then
Private funds1 as of Mar 29, 2024
Mar 21, 20221 then
RAUM -61% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 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
- $55.7MderivedRAUM 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
- -61%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
- 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$55.7M100%
- 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
- noreported
- 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••••••• L• | Private Equity Fund | $55.7M | 1 | Apr 16, 2021 |
Owners and control persons
Schedule A and B, latest filing
- R••••••• T•••••• P•••••• · Chief Executive Officer & Chief Compliance Officercontrolsince 11/2020 · owns 75% or more
Related persons
Schedule D 7.A
- S•••• H••••• G• I• L••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Pine Bluff, AR1 employees
What changed
consecutive filings, newest first
- Employees · 3 to 4Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $142M to $55.7MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $142M to $55.7MMar 31, 2023 to Mar 29, 2024
- RAUM · $142M to $55.7MMar 31, 2023 to Mar 29, 2024
- Assets in custody · 141532278.0 to unsetOct 20, 2022 to Mar 31, 2023
- Custody of client assets · true to falseOct 20, 2022 to Mar 31, 2023
- Employees · 1 to 3Oct 20, 2022 to Mar 31, 2023
- Assets in custody · $231M to $142MMar 21, 2022 to Oct 20, 2022
- Discretionary RAUM · $231M to $142MMar 21, 2022 to Oct 20, 2022
- Pooled vehicle RAUM · $231M to $142MMar 21, 2022 to Oct 20, 2022
- RAUM · $231M to $142MMar 21, 2022 to Oct 20, 2022
- Accounts · unset to 1.0Dec 9, 2020 to Apr 16, 2021
- Pooled vehicle clients · unset to 1.0Dec 9, 2020 to Apr 16, 2021
- Assets in custody · unset to 230911213.0Dec 9, 2020 to Apr 16, 2021
- Custody of client assets · false to trueDec 9, 2020 to Apr 16, 2021
- HQ city · unset to PORTSMOUTHDec 9, 2020 to Apr 16, 2021
- HQ state · unset to NHDec 9, 2020 to Apr 16, 2021
- Private funds · unset to 1Dec 9, 2020 to Apr 16, 2021
- Discretionary RAUM · unset to 230911213.0Dec 9, 2020 to Apr 16, 2021
- Non-discretionary RAUM · unset to 0.0Dec 9, 2020 to Apr 16, 2021
- Pooled vehicle RAUM · unset to 230911213.0Dec 9, 2020 to Apr 16, 2021
- RAUM · unset to 230911213.0Dec 9, 2020 to Apr 16, 2021
Signals
1 dated events
- S•••• H••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Dec 9, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••• H••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- southharbormgmt.comreportedpublic 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