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••••••• T••• C•• A•••••••• L•••

Former SEC-registered adviserDallas, TexasCRD 314626SEC 801-121643IAPD
Latest filing Mar 31, 2022
First filing on the tape May 28, 2021 · 3 filings
RAUM
$744M
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
17
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$526M gross assets
History
3 filings and snapshots on the tape
RAUM$744M as of Mar 31, 2022
Oct 27, 2021$302M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2022
May 28, 20211 then
Employees (5.A)17 as of Mar 31, 2022
May 28, 202114 then
Private funds2 as of Mar 31, 2022
Oct 27, 20212 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 2022; every figure names its basis
RAUM per advisor
$744MderivedRAUM 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
$248MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
17.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, otherreportedItem 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
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$744M100%
Individual clients
n/areported
HNW clients
n/areported
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, 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• B•••••••• K•••• · Chief Compliance Officercontrol
        since 04/2021 · owns less than 5%
      • O••••• M•••• K•••••• · Chief Executive Officercontrol
        since 04/2021 · owns less than 5%
      • P•••••• L••• B•••••••• · Chief Investment Officercontrol
        since 04/2021 · owns less than 5%
      • W•••• C••••••••• A•••• · Director Of Financecontrol
        since 04/2021 · owns less than 5%
      • Y•••• J•••• F• · Presidentcontrol
        since 04/2021 · owns less than 5%
      • O••••• M•••• K•••••• · Member/President/Secretary/Treasurercontrol
        since 03/2020 · owns 75% or more of O•••• F••••• S•••••••• L••
      Entity owners
      • S••••••• T••• C•••••• P•••••••• L••• · Limited Partner
        direct · owns 75% or more
      • S••••••• T••• G• H•••••••• L•• · General Partner
        direct · owns less than 5%
      • O•••• F••••• S•••••••• L•• · Limited Partner
        indirect · owns 25% to 50% of S••••••• T••• C•••••• P•••••••• L•••
      • O•••• F••••• S•••••••• L•• · Member
        indirect · owns 50% to 75% of S••••••• T••• G• H•••••••• L••
      • S••••••• T••• G• H•••••••• L•• · General Partner
        indirect · owns F of S••••••• T••• C•••••• P•••••••• L•••
      Related persons
      Schedule D 7.A
      Advisers that list S••••••• T••• C•• A•••••••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY2 employees
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 3
        Oct 27, 2021 to Mar 31, 2022
      • Pooled vehicle clients · 2 to 3
        Oct 27, 2021 to Mar 31, 2022
      • Discretionary RAUM · $302M to $744M
        Oct 27, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $302M to $744M
        Oct 27, 2021 to Mar 31, 2022
      • RAUM · $302M to $744M
        Oct 27, 2021 to Mar 31, 2022
      • Accounts · unset to 2.0
        May 28, 2021 to Oct 27, 2021
      • Advisory employees · 10 to 12
        May 28, 2021 to Oct 27, 2021
      • Advisory activities · 1 to 2
        May 28, 2021 to Oct 27, 2021
      • Pooled vehicle clients · unset to 2.0
        May 28, 2021 to Oct 27, 2021
      • Employees · 14 to 17
        May 28, 2021 to Oct 27, 2021
      • Other offices · 0 to 1
        May 28, 2021 to Oct 27, 2021
      • Private funds · unset to 2
        May 28, 2021 to Oct 27, 2021
      • Discretionary RAUM · unset to 302366177.0
        May 28, 2021 to Oct 27, 2021
      • Non-discretionary RAUM · unset to 0.0
        May 28, 2021 to Oct 27, 2021
      • Pooled vehicle RAUM · unset to 302366177.0
        May 28, 2021 to Oct 27, 2021
      • RAUM · unset to 302366177.0
        May 28, 2021 to Oct 27, 2021
      Signals
      2 dated events
      • S••••••• T••• C•• A•••••••• L••• reported RAUM $743.8M, up 146% from $302.4M (2021-10-27 to 2022-03-31)
        Mar 31, 2022 · RAUM change · derived
      • S••••••• T••• C•• A•••••••• L••• filed its initial SEC registration (Form ADV)
        May 28, 2021 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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