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• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 15, 2023 · 9 filings
SEC status approved since May 3, 2023
RAUM
$173M
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
34
24 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
4
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$173M as of Mar 31, 2026
Mar 29, 2024$156M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20240 then
Employees (5.A)34 as of Mar 31, 2026
Mar 29, 202418 then
Private funds4 as of Mar 31, 2026
Mar 29, 20244 then
RAUM +7.3% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $28.8MderivedRAUM 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
- unknownderived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.3%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, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, educational seminarsreportedItem 5.G
- Custody
- $118M, 2 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
- 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)
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$173M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 6reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $118M for 2 clientsreported
- Compensation
- % of AUM, fixedreported
- 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 |
|---|---|---|---|---|
| C••••• C••••••••• F••• T•••• | Other Private Fund | $92.7M | 1 | Mar 15, 2023 |
| U• F•••• L••• | Private Equity Fund | $36.5M | 30 | Sep 23, 2021 |
| T•• D••••••• G••••••• E•••••••• F•••••••• T•••• 2••• | Other Private Fund | $16.5M | 1 | Mar 31, 2022 |
| S••••• F•••••• I••••••••• L••• | Other Private Fund | $10.0M | 3 | Mar 29, 2024 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• J••••••• E••• · Vice President, S• A•••••••• L••controlsince 12/2023 · owns less than 5%
- C•••• A••••• · Vice President, U• F••• G•• L••controlsince 12/2023 · owns less than 5%
- C••••••• L•••••• M••••• · Chief Compliance Officer, S• A•••••••• L••controlsince 12/2024 · owns less than 5%
- E••••••• J••••••• · Secretary, C••••• C••••••••• F••• T••••controlsince 11/2022 · owns less than 5%
- H•••• K••••••• A•••• · President, S••••• Finance I••••••••• Gp, LLCcontrolsince 12/2023 · owns less than 5%
- J••••• H•••• · Authorized Person, T•• D••••••• G••••••• E•••••••• F•••••••• T•••• 2•••controlsince 08/2021 · owns less than 5%
- K••••••• K•• · Approved Officer, C••••• C••••••••• F••• T••••controlsince 11/2022 · owns less than 5%
- M•••••••• A•••• · Approved Officer, C••••• C••••••••• F••• T••••controlsince 11/2022 · owns less than 5%
- P••••••••• T•••• · President, S• A•••••••• L••controlsince 07/2019 · owns less than 5%
- V••••••••• S••••••• G•••••• · Vice President, S••••• Finance I••••••••• Gp, LLCcontrolsince 04/2023 · owns less than 5%
- W••••• J••• · Approved Officer, C••••• C••••••••• F••• T••••controlsince 11/2022 · owns less than 5%
Entity owners
- S••••• F••••••• I••• · Sole Member, S• A•••••••• L•• & U• F••• G•• L••direct · owns 75% or more
Related persons
Schedule D 7.A
- S••••• F•••••• I••••••••• L•••pooled vehicle sponsorn
- U• F••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 31, 2026custody of client assets (Item 9.A): no on the filing of 2025-09-11, yes on the filing of 2026-03-31peers: asset managers, $100M to $500M (1,567)
What changed
consecutive filings, newest first
- Advisory employees · 26 to 24Sep 11, 2025 to Mar 31, 2026
- Business name · S• A•••••••• L•• to S• A•••••••• L••Sep 11, 2025 to Mar 31, 2026
- Charity clients · unset to 0.0Sep 11, 2025 to Mar 31, 2026
- Corporate clients · unset to 0.0Sep 11, 2025 to Mar 31, 2026
- HNW clients · unset to 0.0Sep 11, 2025 to Mar 31, 2026
- Individual clients · unset to 0.0Sep 11, 2025 to Mar 31, 2026
- Pension plan clients · unset to 0.0Sep 11, 2025 to Mar 31, 2026
- Assets in custody · unset to 118318245.0Sep 11, 2025 to Mar 31, 2026
- Custody of client assets · false to trueSep 11, 2025 to Mar 31, 2026
- Employees · 33 to 34Sep 11, 2025 to Mar 31, 2026
- Legal name · S• A•••••••• L•• to S• A•••••••• L••Sep 11, 2025 to Mar 31, 2026
- Discretionary RAUM · $162M to $173MSep 11, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $162M to $173MSep 11, 2025 to Mar 31, 2026
- RAUM · $162M to $173MSep 11, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0May 15, 2025 to Sep 11, 2025
- Discretionary RAUM · $161M to $162MMay 15, 2025 to Sep 11, 2025
- Pooled vehicle RAUM · $161M to $162MMay 15, 2025 to Sep 11, 2025
- RAUM · $161M to $162MMay 15, 2025 to Sep 11, 2025
- Accounts · 4 to 6Dec 10, 2024 to Apr 3, 2025
- Advisory employees · 18 to 26Dec 10, 2024 to Apr 3, 2025
- Advisory activities · 4 to 3Dec 10, 2024 to Apr 3, 2025
- Pooled vehicle clients · 4 to 6Dec 10, 2024 to Apr 3, 2025
- Employees · 23 to 33Dec 10, 2024 to Apr 3, 2025
- Other offices · 0 to 4Dec 10, 2024 to Apr 3, 2025
- Discretionary RAUM · $156M to $161MDec 10, 2024 to Apr 3, 2025
- Pooled vehicle RAUM · $156M to $161MDec 10, 2024 to Apr 3, 2025
- RAUM · $156M to $161MDec 10, 2024 to Apr 3, 2025
- Employees · 18 to 23Mar 29, 2024 to Aug 29, 2024
- Accounts · 3 to 4Mar 15, 2023 to Mar 29, 2024
- Advisory employees · 21 to 18Mar 15, 2023 to Mar 29, 2024
- Advisory activities · 1 to 4Mar 15, 2023 to Mar 29, 2024
- Pooled vehicle clients · 3 to 4Mar 15, 2023 to Mar 29, 2024
- Employees · 21 to 18Mar 15, 2023 to Mar 29, 2024
- Private funds · 6 to 4Mar 15, 2023 to Mar 29, 2024
- Discretionary RAUM · $154M to $156MMar 15, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $154M to $156MMar 15, 2023 to Mar 29, 2024
- RAUM · $154M to $156MMar 15, 2023 to Mar 29, 2024
Signals
9 dated events
- M••••• L••••• C•••••• (Chief Compliance Officer, S• A•••••••• L••) appeared on Schedule A of S• A•••••••• L••Dec 10, 2024 · Control person joined · fact
- N•••••• Bal (Secretary, S• A•••••••• L•• & U• F••• G•• L••) no longer on Schedule A of S• A•••••••• L•• (listed 2024-09-20, absent 2024-12-10)Dec 10, 2024 · Control person left · inference
- M•••••• G••••••• (Approved Officer, C••••• C••••••••• F••• T••••) no longer on Schedule A of S• A•••••••• L•• (listed 2024-09-20, absent 2024-12-10)Dec 10, 2024 · Control person left · inference
- J•••• R••••• D••••••• (Vice President, Social Finance Impact-First Gp, Llc) no longer on Schedule A of S• A•••••••• L•• (listed 2024-09-20, absent 2024-12-10)Dec 10, 2024 · Control person left · inference
- Gaetano Stephen Vicinelli (Vice President, Social Finance Impact-First Gp, Llc) appeared on Schedule A of S• A•••••••• L••Mar 29, 2024 · Control person joined · fact
- Aimee Kirsten Hill (President, Social Finance Impact-First Gp, Llc) appeared on Schedule A of S• A•••••••• L••Mar 29, 2024 · Control person joined · fact
- Eddy Jessica Brooks (Vice President, S• A•••••••• L••) appeared on Schedule A of S• A•••••••• L••Mar 29, 2024 · Control person joined · fact
- J•••• R••••• D••••••• (Vice President, Social Finance Impact-First Gp, Llc) appeared on Schedule A of S• A•••••••• L••Mar 29, 2024 · Control person joined · fact
- S• A•••••••• L•• filed its initial SEC registration (Form ADV)Mar 15, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- S• A•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/socialfinancereportedpublic record, Form ADV, Sep 18, 2026
- Website
- socialfinance.orgreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 617-939-9900reportedpublic record, Form ADV, Mar 31, 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