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••••• G••••• P••••••• L••
Latest filing Mar 22, 2024
First filing on the tape May 28, 2021 · 8 filings
RAUM
$85.0M
reported, Item 5.F
Discretionary
0.0%
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$85.0M as of Mar 22, 2024
Mar 21, 2022$429M then
HNW client RAUM$0 as of Mar 22, 2024
Mar 21, 2022$0 then
State-registered IARs (5.B.3)0 as of Mar 22, 2024
Mar 21, 20220 then
Employees (5.A)1 as of Mar 22, 2024
Mar 21, 20222 then
Private funds: no history
RAUM -40% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 22, 2024; 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
- $21.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- -40%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$85.0M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• L•••• M••••••• · Member, Managing Director & Chief Compliance Officercontrolsince 06/2019 · owns 75% or more
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
- Advisory employees · 2 to 1Jan 22, 2024 to Mar 22, 2024
- Employees · 2 to 1Jan 22, 2024 to Mar 22, 2024
- Non-discretionary RAUM · $142M to $85.0MJan 22, 2024 to Mar 22, 2024
- Pooled vehicle RAUM · $142M to $85.0MJan 22, 2024 to Mar 22, 2024
- RAUM · $142M to $85.0MJan 22, 2024 to Mar 22, 2024
- Non-discretionary RAUM · $429M to $142MJan 5, 2023 to Mar 28, 2023
- Pooled vehicle RAUM · $429M to $142MJan 5, 2023 to Mar 28, 2023
- RAUM · $429M to $142MJan 5, 2023 to Mar 28, 2023
- Non-discretionary RAUM · $319M to $429MOct 27, 2021 to Mar 21, 2022
- Pooled vehicle RAUM · $319M to $429MOct 27, 2021 to Mar 21, 2022
- RAUM · $319M to $429MOct 27, 2021 to Mar 21, 2022
- Accounts · unset to 4.0May 28, 2021 to Oct 27, 2021
- Pooled vehicle clients · 0 to 4May 28, 2021 to Oct 27, 2021
- Discretionary RAUM · unset to 0.0May 28, 2021 to Oct 27, 2021
- Non-discretionary RAUM · unset to 319186152.0May 28, 2021 to Oct 27, 2021
- Pooled vehicle RAUM · $0 to $319MMay 28, 2021 to Oct 27, 2021
- RAUM · unset to 319186152.0May 28, 2021 to Oct 27, 2021
Signals
4 dated events
- George Justin Heyman (Member, Managing Director, & Chief Compliance Officer) no longer on Schedule A of S••••• G••••• P••••••• L•• (listed 2023-03-28, absent 2024-01-22)Jan 22, 2024 · Control person left · inference
- S••••• G••••• P••••••• L•• reported RAUM $142.3M, down 67% from $429.2M (2023-01-05 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- S••••• G••••• P••••••• L•• reported RAUM $429.2M, up 34% from $319.2M (2021-10-27 to 2022-03-21)Mar 21, 2022 · RAUM change · derived
- S••••• G••••• P••••••• L•• filed its initial SEC registration (Form ADV)May 28, 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