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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

S•••••• M••••• A•••••••• L••

Former SEC-registered adviserCRD 314298SEC 801-121181IAPD
Latest filing Mar 1, 2023
First filing on the tape Apr 9, 2021 · 7 filings
RAUM
$106,253
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$106,253 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$106,253 as of Mar 1, 2023
Mar 15, 2022$0 then
HNW client RAUM: $106,253
State-registered IARs (5.B.3)0 as of Mar 1, 2023
Mar 15, 20220 then
Employees (5.A)2 as of Mar 1, 2023
Mar 15, 20222 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 1, 2023; 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
$35,418derivedHNW RAUM over HNW clients
Average account
$35,418derivedRAUM 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
unknownderivedbetween 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
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$106,253100%
Individual clients
n/areported
HNW clients
3reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L•••• T•••••• F••• · Managing Member, Chief Compliance Officercontrol
        since 05/2021 · owns less than 5%
      • P••••••••• M••••••• R••••• · Managing Membercontrol
        since 05/2021 · owns less than 5%
      • L•••• T•••••• F••• · Managing Membercontrol
        since 04/2017 · owns 50% to 75% of S•••••• M•••••• L••
      • P••••••••• M••••••• R••••• · Managing Membercontrol
        since 04/2017 · owns 50% to 75% of S•••••• M•••••• L••
      Entity owners
      • S•••••• M•••••• L•• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 0 to 3
        Mar 15, 2022 to Mar 1, 2023
      • HNW clients · unset to 3.0
        Mar 15, 2022 to Mar 1, 2023
      • Discretionary RAUM · $0 to $106,253
        Mar 15, 2022 to Mar 1, 2023
      • HNW RAUM · unset to 106253.0
        Mar 15, 2022 to Mar 1, 2023
      • RAUM · $0 to $106,253
        Mar 15, 2022 to Mar 1, 2023
      • Business name · S•••••• M••••• to S•••••• M••••• A•••••••• L••
        Oct 27, 2021 to Mar 15, 2022
      • Legal name · S•••••• M•••••• L•• to S•••••• M••••• A•••••••• L••
        Oct 27, 2021 to Mar 15, 2022
      • Advisory activities · 2 to 1
        May 4, 2021 to May 12, 2021
      Signals
      1 dated events
      • S•••••• M••••• filed its initial SEC registration (Form ADV)
        Apr 9, 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.
      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