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••••••••• M••••••••• C••••••
Latest filing Apr 23, 2026
First filing on the tape Feb 19, 2021 · 14 filings
SEC status approved since Apr 1, 2021
RAUM
$89B
reported, Item 5.F
Discretionary
72%
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
101
61 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$89B as of Apr 23, 2026
Mar 29, 2022$48B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 23, 2026
Mar 29, 20220 then
Employees (5.A)101 as of Apr 23, 2026
Mar 29, 2022104 then
Private funds: 1
RAUM +13% over the last fiscal year+9.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- 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
- $1.2BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 72%derivedof RAUM
- Institutional
- 69%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
- +13%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 vehicles, selection of other advisersreportedItem 5.G
- Custody
- $64B, 7 clientsreportedItem 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$61B69%
- Other investment advisers$25B28%
- Corporations and businesses$2.4B2.7%
- Pooled investment vehicles$421M0.5%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 76reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $64B for 7 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.28 institutional_share=0.69 related_bd=true 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
- E••••• C••••• M•••••• · Senior Managing Director, Head Of Commercial Mortgage Loanscontrolsince 12/2019 · owns less than 5%
- F••••• J•••• M• · Senior Managing Director, Head Of Business Development And M•••Etingcontrolsince 04/2024 · owns less than 5%
- G••••• A•••••• M••• · Senior Managing Director, General Counselcontrolsince 09/2023 · owns less than 5%
- G•••••••• Y•••••• M•••• · Senior Managing Director, Head Of Private Placements Debtcontrolsince 03/2020 · owns less than 5%
- H••••••• R•••••• S••••• · Managing Director, Chief Compliance Officercontrolsince 01/2021 · owns less than 5%
- H•••• M•••• E••••• · Presidentcontrolsince 12/2019 · owns less than 5%
- M•••••••• N•••••••• P••• · Senior Managing Director, Head Of I•••••••• Managementcontrolsince 12/2019 · owns less than 5%
- M•••••••• E•••• S•••• · Senior Managing Director And Head Of Corporate Fixed Incomecontrolsince 12/2019 · owns less than 5%
- S••••• K••••• A••• · Senior Managing Director, Treasurer & Chief Financial Officercontrolsince 02/2021 · owns less than 5%
- Y•••• E• S••• · Senior Managing Director, Head Of High Yield And Bank Loan Debtcontrolsince 08/2020 · owns less than 5%
Entity owners
- S•••••• F•••••••• C••••••••• · Sole Shareholderdirect · owns 75% or more
- S••••••• L••• I•••••••• C•••••• · Sole Shareholderindirect · owns 75% or more of S•••••• F•••••••• C•••••••••
Related persons
Schedule D 7.A
- S••••••• L••• I•••••••• C••••••real estatey
- S•••••• B•••••• R• L••real estaten
- S•••••• I••••••••• M••••••••• R••• E••••• I•••••••• L••investment companyy
- S•••••• L••• I•••••••• C••••••real estaten
- S•••••• S••••••••• I•••broker-dealern
Offices
Schedule D 1.F, the 25 largest
- Bellevue, WA2 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Apr 23, 2026accounts (Item 5.F.2.f) moved from 543.0 to 76.0 (-86.0%) between the annual amendments of 2025-03-27 and 2026-04-23; the peer median change was +2.0% (61 comparable advisers, 0.0th percentile of changes)peers: other advisers, $20B and over (61) · 0.0% percentile
- business activity changedChange between filings · filing Apr 23, 2026advises private funds (Item 7.B): no on the filing of 2026-03-30, yes on the filing of 2026-04-23peers: other advisers, $20B and over (120)
What changed
consecutive filings, newest first
- Private funds · unset to 1Mar 30, 2026 to Apr 23, 2026
- Accounts · 543 to 76Feb 5, 2026 to Mar 30, 2026
- Advisory employees · 51 to 61Feb 5, 2026 to Mar 30, 2026
- Pooled vehicle clients · 1 to 2Feb 5, 2026 to Mar 30, 2026
- Assets in custody · $2.5B to $64BFeb 5, 2026 to Mar 30, 2026
- Employees · 87 to 101Feb 5, 2026 to Mar 30, 2026
- Discretionary RAUM · $67B to $64BFeb 5, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $12B to $25BFeb 5, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $46.2M to $421MFeb 5, 2026 to Mar 30, 2026
- RAUM · $79B to $89BFeb 5, 2026 to Mar 30, 2026
- Financial planning clients · unset to Mar 27, 2025 to Jul 8, 2025
- Accounts · 8 to 543Apr 26, 2024 to Mar 27, 2025
- Advisory employees · 48 to 51Apr 26, 2024 to Mar 27, 2025
- Advisory activities · 2 to 3Apr 26, 2024 to Mar 27, 2025
- Pooled vehicle clients · unset to 1.0Apr 26, 2024 to Mar 27, 2025
- Assets in custody · $2.2B to $2.5BApr 26, 2024 to Mar 27, 2025
- Employees · 79 to 87Apr 26, 2024 to Mar 27, 2025
- Discretionary RAUM · $65B to $67BApr 26, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $10B to $12BApr 26, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · unset to 46217126.0Apr 26, 2024 to Mar 27, 2025
- RAUM · $75B to $79BApr 26, 2024 to Mar 27, 2025
- Advisory employees · 40 to 48Sep 15, 2023 to Mar 26, 2024
- Assets in custody · $2.0B to $2.2BSep 15, 2023 to Mar 26, 2024
- Employees · 69 to 79Sep 15, 2023 to Mar 26, 2024
- Discretionary RAUM · $61B to $65BSep 15, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $7.1B to $10BSep 15, 2023 to Mar 26, 2024
- RAUM · $68B to $75BSep 15, 2023 to Mar 26, 2024
- Related adviser · false to trueSep 15, 2023 to Mar 26, 2024
- Accounts · 6 to 8Jul 8, 2022 to Mar 29, 2023
- Advisory employees · 35 to 40Jul 8, 2022 to Mar 29, 2023
- Assets in custody · unset to 2031931336.0Jul 8, 2022 to Mar 29, 2023
- Custody of client assets · false to trueJul 8, 2022 to Mar 29, 2023
- Employees · 104 to 69Jul 8, 2022 to Mar 29, 2023
- Discretionary RAUM · $48B to $61BJul 8, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $0 to $7.1BJul 8, 2022 to Mar 29, 2023
- RAUM · $48B to $68BJul 8, 2022 to Mar 29, 2023
- Advisory employees · 26 to 35Feb 19, 2021 to Mar 29, 2022
- Employees · 88 to 104Feb 19, 2021 to Mar 29, 2022
- Discretionary RAUM · $44B to $48BFeb 19, 2021 to Mar 29, 2022
- RAUM · $44B to $48BFeb 19, 2021 to Mar 29, 2022
Signals
5 dated events
- M J••• F•••• (Senior Managing Director, Head Of Business Development And Marketing) appeared on Schedule A of S•••••• I••••••••• M••••••••• C••••••Apr 26, 2024 · Control person joined · fact
- M.A. Andrew Gould (Senior Managing Director, General Counsel) appeared on Schedule A of S•••••• I••••••••• M••••••••• C••••••Sep 15, 2023 · Control person joined · fact
- S•••••• I••••••••• M••••••••• C•••••• reported RAUM $68.2B, up 42% from $47.9B (2022-07-08 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- Jay Richard Wirth (General Counsel, Secretary) no longer on Schedule A of S•••••• I••••••••• M••••••••• C•••••• (listed 2022-07-08, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- S•••••• I••••••••• M••••••••• C•••••• filed its initial SEC registration (Form ADV)Feb 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
- S••••••.COM/SIMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 860-370-7812reportedpublic record, Form ADV, Apr 23, 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
- Other 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