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••••••••• I•••••••••
Legal name S••••••••• I••
Latest filing Mar 12, 2026
First filing on the tape Dec 23, 2020 · 12 filings
SEC status approved since Jan 25, 2020
RAUM
$914,547
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$914,547 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$914,547 as of Mar 12, 2026
Jun 29, 2021$0 then
HNW client RAUM: $402,033
State-registered IARs (5.B.3)0 as of Mar 12, 2026
Jun 29, 20210 then
Employees (5.A)16 as of Mar 12, 2026
Jun 29, 20213 then
Private funds: no history
RAUM +86% over the last fiscal year+91% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 12, 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
- $30,926derivedHNW RAUM over HNW clients
- Average account
- $15,242derivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +86%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, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $1.8MreportedItem 5.I
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$512,51456%
- High-net-worth individuals$402,03344%
- Individual clients
- 47reported
- HNW clients
- 13reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 60reported
- Financial planning clients
- reported
- Wrap fee programs
- $914,547 sponsored, $914,547 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- I••••••••• D•••••• P••••••••• · Chief Executive Officercontrolsince 06/2020 · owns 25% to 50%
- M••••••• A•••• M••••• · Chief Product Officercontrolsince 06/2020 · owns 10% to 25%
- S••••••••• S••••••• · Chief Technology Officercontrolsince 11/2020 · owns 10% to 25%
- M••••••• P•••• M• · Chief Compliance Officersince 07/2022 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 123 to 60Feb 5, 2026 to Mar 12, 2026
- HNW clients · unset to 13.0Feb 5, 2026 to Mar 12, 2026
- Individual clients · 123 to 47Feb 5, 2026 to Mar 12, 2026
- Discretionary RAUM · $492,303 to $914,547Feb 5, 2026 to Mar 12, 2026
- HNW RAUM · unset to 402033.0Feb 5, 2026 to Mar 12, 2026
- Individual RAUM · $492,303 to $512,514Feb 5, 2026 to Mar 12, 2026
- RAUM · $492,303 to $914,547Feb 5, 2026 to Mar 12, 2026
- Wrap assets (manager) · $492,303 to $914,547Feb 5, 2026 to Mar 12, 2026
- Wrap assets (sponsor) · $492,303 to $914,547Feb 5, 2026 to Mar 12, 2026
- Accounts · 77 to 123Mar 13, 2024 to Mar 25, 2025
- Advisory employees · 2 to 3Mar 13, 2024 to Mar 25, 2025
- Individual clients · 49 to 123Mar 13, 2024 to Mar 25, 2025
- Employees · 15 to 16Mar 13, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 13, 2024 to Mar 25, 2025
- Discretionary RAUM · $132,065 to $492,303Mar 13, 2024 to Mar 25, 2025
- Individual RAUM · $132,065 to $492,303Mar 13, 2024 to Mar 25, 2025
- RAUM · $132,065 to $492,303Mar 13, 2024 to Mar 25, 2025
- Wrap assets (manager) · $132,065 to $492,303Mar 13, 2024 to Mar 25, 2025
- Wrap assets (sponsor) · $132,065 to $492,303Mar 13, 2024 to Mar 25, 2025
- Accounts · 36 to 77Apr 11, 2023 to Mar 13, 2024
- Individual clients · 51 to 49Apr 11, 2023 to Mar 13, 2024
- HQ city · unset to SAN FRANCISCOApr 11, 2023 to Mar 13, 2024
- HQ state · unset to CAApr 11, 2023 to Mar 13, 2024
- Discretionary RAUM · $130,400 to $132,065Apr 11, 2023 to Mar 13, 2024
- Individual RAUM · $130,400 to $132,065Apr 11, 2023 to Mar 13, 2024
- RAUM · $130,400 to $132,065Apr 11, 2023 to Mar 13, 2024
- Wrap assets (manager) · $130,400 to $132,065Apr 11, 2023 to Mar 13, 2024
- Wrap assets (sponsor) · $130,400 to $132,065Apr 11, 2023 to Mar 13, 2024
- Legal name · S••••••••• CORP to S••••••••• I••Mar 14, 2023 to Apr 11, 2023
- Accounts · 0 to 36Aug 17, 2022 to Mar 14, 2023
- Individual clients · unset to 51.0Aug 17, 2022 to Mar 14, 2023
- Employees · 3 to 15Aug 17, 2022 to Mar 14, 2023
- Discretionary RAUM · $0 to $130,400Aug 17, 2022 to Mar 14, 2023
- Individual RAUM · unset to 130400.0Aug 17, 2022 to Mar 14, 2023
- RAUM · $0 to $130,400Aug 17, 2022 to Mar 14, 2023
- Wrap assets (manager) · $0 to $130,400Aug 17, 2022 to Mar 14, 2023
- Wrap assets (sponsor) · $0 to $130,400Aug 17, 2022 to Mar 14, 2023
- Legal name · S••••••••• I••••••••• to S••••••••• CORPAug 1, 2022 to Aug 17, 2022
- Wrap assets (manager) · unset to 0.0Jun 29, 2021 to May 25, 2022
- Wrap assets (sponsor) · unset to 0.0Jun 29, 2021 to May 25, 2022
Signals
1 dated events
- S••••••••• I••••••••• filed its initial SEC registration (Form ADV)Dec 23, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/sidepocketinvestreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/sidepocketfinancialreportedpublic record, Form ADV, Sep 18, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-490-2188reportedpublic record, Form ADV, Mar 12, 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
- Independent wealth managerderiveda 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