DFX Intelligence

RIA Intelligence

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SEC-registered adviser

S••••••••• L••

Asset manager (funds and pooled vehicles)New York, New YorkCRD 313276SEC 801-126334website IAPD

Latest filing Mar 30, 2026

First filing on the tape Jul 2, 2022 · 11 filings

SEC status approved since Aug 3, 2022

RAUM

$146M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

11 filings and snapshots on the tape

RAUM$146M as of Mar 30, 2026

Mar 28, 2023$324M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 30, 2026

Mar 28, 20230 then

Employees (5.A)4 as of Mar 30, 2026

Mar 28, 20233 then

Private funds3 as of Mar 30, 2026

Mar 28, 20232 then

RAUM -44% over the last fiscal year-23% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 30, 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: $48.6MderivedRAUM 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: -44%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: performance-basedreportedItem 5.E
Advisory activities: portfolio management for pooled vehiclesreportedItem 5.G
Custody: $146M, 3 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
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

Pooled investment vehicles$146M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 3reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $146M for 3 clientsreported
Compensation: performancereported
Class basis: private_client_share=0.0 fund_share=1.0 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

Every departure Every arrival

Private funds

3 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
S••••••••• A••••••••• F•••••• L•	Hedge Fund	$249M	42	Aug 9, 2021
A••••••• F••• L••••••	Hedge Fund	$17.4M	3	Aug 9, 2021
S••••••••• T• F•••• L•	Hedge Fund	$2.8M	8	Mar 29, 2024

Owners and control persons

Schedule A and B, latest filing

D••••••• R•••••• A•••••• · Chief Compliance Officer/Managing Membercontrol
since 06/2021 · owns less than 5%
A••••••••• G•••••• · Ownercontrol
since 12/2021 · owns F of A•••••• G•••• A•
P•••• C•••• E•••••• · Ownercontrol
since 12/2021 · owns 25% to 50% of A•••••• G•••• A•

Entity owners

A•••••• G•••• A• · Owner
direct · owns 75% or more

Related persons

Schedule D 7.A

A•••••• A•
investment advisery

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

RAUM down 25 %Change between filings · filing Mar 30, 2026
RAUM (Item 5.F) moved from $258,890,608 to $145,835,020 (-44.0%) between the annual amendments of 2025-03-27 and 2026-03-30; the peer median change was +4.0% (1145 comparable advisers, 4.0th percentile of changes)
peers: asset managers, $100M to $500M (1,145) · 4.5% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Assets in custody · $259M to $146M
Mar 27, 2025 to Mar 30, 2026
Discretionary RAUM · $259M to $146M
Mar 27, 2025 to Mar 30, 2026
Pooled vehicle RAUM · $259M to $146M
Mar 27, 2025 to Mar 30, 2026
RAUM · $259M to $146M
Mar 27, 2025 to Mar 30, 2026
Assets in custody · $252M to $259M
Jan 27, 2025 to Mar 27, 2025
Financial planning clients · unset to
Jan 27, 2025 to Mar 27, 2025
Discretionary RAUM · $252M to $259M
Jan 27, 2025 to Mar 27, 2025
Pooled vehicle RAUM · $252M to $259M
Jan 27, 2025 to Mar 27, 2025
RAUM · $252M to $259M
Jan 27, 2025 to Mar 27, 2025
HQ city · SUMMIT to NEW YORK
May 28, 2024 to Jan 27, 2025
HQ state · NJ to NY
May 28, 2024 to Jan 27, 2025
Accounts · 2 to 3
Oct 31, 2023 to Mar 29, 2024
Advisory employees · 1 to 2
Oct 31, 2023 to Mar 29, 2024
Pooled vehicle clients · 2 to 3
Oct 31, 2023 to Mar 29, 2024
Assets in custody · $324M to $252M
Oct 31, 2023 to Mar 29, 2024
Employees · 3 to 4
Oct 31, 2023 to Mar 29, 2024
HQ city · NEW YORK to SUMMIT
Oct 31, 2023 to Mar 29, 2024
HQ state · NY to NJ
Oct 31, 2023 to Mar 29, 2024
Private funds · 2 to 3
Oct 31, 2023 to Mar 29, 2024
Discretionary RAUM · $324M to $252M
Oct 31, 2023 to Mar 29, 2024
Pooled vehicle RAUM · $324M to $252M
Oct 31, 2023 to Mar 29, 2024
RAUM · $324M to $252M
Oct 31, 2023 to Mar 29, 2024
Assets in custody · $181M to $324M
Dec 7, 2022 to Mar 28, 2023
Discretionary RAUM · $181M to $324M
Dec 7, 2022 to Mar 28, 2023
Pooled vehicle RAUM · $181M to $324M
Dec 7, 2022 to Mar 28, 2023
RAUM · $181M to $324M
Dec 7, 2022 to Mar 28, 2023
HQ city · SUMMIT to NEW YORK
Sep 26, 2022 to Dec 7, 2022
HQ state · NJ to NY
Sep 26, 2022 to Dec 7, 2022
Employees · 5 to 3
Jul 2, 2022 to Sep 26, 2022
Other offices · 1 to 0
Jul 2, 2022 to Sep 26, 2022
Private funds · 4 to 2
Jul 2, 2022 to Sep 26, 2022

Signals

4 dated events

S••••••••• L•• reported RAUM $145.8M, down 44% from $258.9M (2025-03-27 to 2026-03-30)
Mar 30, 2026 · RAUM change · derived
G•••••• A••••••••• (Owner) appeared on Schedule A of S••••••••• L••
Mar 29, 2024 · Control person joined · fact
S••••••••• L•• reported RAUM $324.1M, up 79% from $181.3M (2022-12-07 to 2023-03-28)
Mar 28, 2023 · RAUM change · derived
S••••••••• L•• filed its initial SEC registration (Form ADV)
Jul 2, 2022 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

S••••••••• L•• · Venture Capital
shared crd · organization

How to reach

public business contact points only, each with its source

Website: s•••••••••.netreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 617-224-6046reportedpublic record, Form ADV, Mar 30, 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