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••••• F••• M••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Dec 20, 2021 · 10 filings
SEC status approved since Jan 19, 2022
RAUM
$202M
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
9
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$202M as of Mar 30, 2026
Feb 15, 2023$189M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Feb 15, 20230 then
Employees (5.A)9 as of Mar 30, 2026
Feb 15, 202313 then
Private funds4 as of Mar 30, 2026
Feb 15, 20234 then
RAUM +4.2% over the last fiscal year+2.3% 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
- $33.7MderivedRAUM 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
- +4.2%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 pooled vehiclesreportedItem 5.G
- Custody
- $202M, 6 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
- Pooled investment vehicles$202M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $202M for 6 clientsreported
- Compensation
- % of AUM, 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
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••• R••••• F•••• L•• | Private Equity Fund | $10.3M | 145 | Dec 20, 2021 |
| S••••• O• T••••••• L•• | Real Estate Fund | $5.3M | 12 | Dec 20, 2021 |
| S••••• O• N••• L•• | Real Estate Fund | $4.4M | 8 | Dec 20, 2021 |
| S••••• O••••••••• Z••• F••• I• L•• | Real Estate Fund | $2.9M | 26 | Dec 20, 2021 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• A••••••• P••• · Foundercontrolsince 03/2017 · owns less than 5%
- B•••••••• A••••••• P••• · Beneficiarycontrolsince 11/2004 · owns 75% or more of C••••••• I• T••••
- K•••••• R•••••• J••• · Chief Compliance Officersince 09/2024 · owns less than 5%
Entity owners
- S••••• O••••••••• L•• · Sole Memberdirect · owns 75% or more
- C••••••• I• T•••• · Ownerindirect · owns 75% or more of C••••••• L••
- C••••••• L•• · Ownerindirect · owns 75% or more of S•••••• L••
- P•••••• T••••• I••• · Trusteeindirect · owns F of C••••••• I• T••••
- S•••••• L•• · Sole Memberindirect · owns 75% or more of S••••• O••••••••• L••
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
- Assets in custody · $194M to $202MMar 21, 2025 to Mar 30, 2026
- Discretionary RAUM · $194M to $202MMar 21, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $194M to $202MMar 21, 2025 to Mar 30, 2026
- RAUM · $194M to $202MMar 21, 2025 to Mar 30, 2026
- Related adviser · false to trueMar 21, 2025 to Mar 30, 2026
- Advisory employees · 4 to 2Sep 20, 2024 to Mar 21, 2025
- Pooled vehicle clients · 4 to 6Sep 20, 2024 to Mar 21, 2025
- Assets in custody · unset to 193813124.0Sep 20, 2024 to Mar 21, 2025
- Custody of client assets · false to trueSep 20, 2024 to Mar 21, 2025
- Employees · 12 to 9Sep 20, 2024 to Mar 21, 2025
- Financial planning clients · unset to Sep 20, 2024 to Mar 21, 2025
- Discretionary RAUM · $196M to $194MSep 20, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · $22.9M to $194MSep 20, 2024 to Mar 21, 2025
- RAUM · $196M to $194MSep 20, 2024 to Mar 21, 2025
- Assets in custody · 188907325.0 to unsetFeb 15, 2023 to Mar 28, 2024
- Custody of client assets · true to falseFeb 15, 2023 to Mar 28, 2024
- Employees · 13 to 12Feb 15, 2023 to Mar 28, 2024
- Discretionary RAUM · $189M to $196MFeb 15, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $24.1M to $22.9MFeb 15, 2023 to Mar 28, 2024
- RAUM · $189M to $196MFeb 15, 2023 to Mar 28, 2024
- Accounts · 5 to 6Jan 30, 2023 to Feb 15, 2023
- Pooled vehicle clients · 5 to 4Jan 30, 2023 to Feb 15, 2023
- Assets in custody · $130M to $189MJan 30, 2023 to Feb 15, 2023
- Employees · 11 to 13Jan 30, 2023 to Feb 15, 2023
- Discretionary RAUM · $130M to $189MJan 30, 2023 to Feb 15, 2023
- Pooled vehicle RAUM · $130M to $24.1MJan 30, 2023 to Feb 15, 2023
- RAUM · $130M to $189MJan 30, 2023 to Feb 15, 2023
- Advisory employees · 2 to 4Feb 24, 2022 to Jan 30, 2023
- Employees · 2 to 11Feb 24, 2022 to Jan 30, 2023
Signals
3 dated events
- Paul Anthony Brenneke (Founder) appeared on Schedule A of S••••• F••• M••••••• L••Sep 6, 2024 · Control person joined · fact
- A••• J•••• B•••• (Managing Director, Chief Compliance Officer) no longer on Schedule A of S••••• F••• M••••••• L•• (listed 2024-03-28, absent 2024-05-06)May 6, 2024 · Control person left · inference
- S••••• F••• M••••••• L•• filed its initial SEC registration (Form ADV)Dec 20, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••• F••• M••••••• L•• · Independent Sponsorsshared crd · capital_provider
- S••••• F••• M••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/sohireportedpublic record, Form ADV, Sep 18, 2026
- Website
- s•••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 503-512-5432reportedpublic 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 M••••••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
Across the graphs
S••••• F••• M••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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