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••••••••• L•••••• I••••••••• M••••••••• L••
Latest filing Mar 29, 2023
First filing on the tape Jan 7, 2022 · 5 filings
RAUM
$79.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$79.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$79.9M as of Mar 29, 2023
Jan 7, 2022$2.7M then
HNW client RAUM$79.9M as of Mar 29, 2023
Jan 7, 2022$2.7M then
State-registered IARs (5.B.3)0 as of Mar 29, 2023
Jan 7, 20220 then
Employees (5.A)3 as of Mar 29, 2023
Jan 7, 20223 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 29, 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
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $5.3MderivedRAUM 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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$79.9M100%
- Individual clients
- n/areported
- HNW clients
- 15reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 15reported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••• G•••••• · Membercontrolsince 09/2021 · owns 25% to 50%
- L•••••••• J•••• J••••• · Managing Member Or Ccocontrolsince 09/2021 · owns 50% to 75%
Related persons
Schedule D 7.A
- P•••••••• C••••••• L••investment advisernRAUM $1.3B
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 13 to 15Jun 17, 2022 to Mar 29, 2023
- Advisory activities · 4 to 5Jun 17, 2022 to Mar 29, 2023
- HNW clients · 13 to 15Jun 17, 2022 to Mar 29, 2023
- Other offices · 2 to 1Jun 17, 2022 to Mar 29, 2023
- Discretionary RAUM · $75.4M to $79.9MJun 17, 2022 to Mar 29, 2023
- HNW RAUM · $75.4M to $79.9MJun 17, 2022 to Mar 29, 2023
- RAUM · $75.4M to $79.9MJun 17, 2022 to Mar 29, 2023
- Accounts · 5 to 13Feb 8, 2022 to Jun 17, 2022
- HNW clients · 3 to 13Feb 8, 2022 to Jun 17, 2022
- HQ city · BOSTON to WHITE PLAINSFeb 8, 2022 to Jun 17, 2022
- HQ state · MA to NYFeb 8, 2022 to Jun 17, 2022
- Other offices · 1 to 2Feb 8, 2022 to Jun 17, 2022
- Discretionary RAUM · $1.5M to $75.4MFeb 8, 2022 to Jun 17, 2022
- HNW RAUM · $2.7M to $75.4MFeb 8, 2022 to Jun 17, 2022
- Non-discretionary RAUM · $1.2M to $0Feb 8, 2022 to Jun 17, 2022
- RAUM · $2.7M to $75.4MFeb 8, 2022 to Jun 17, 2022
- Business name · S••••••••• L•••••• I••••••••• M••••••••• to S••••••••• L•••••• I••••••••• M••••••••• L••Jan 7, 2022 to Jan 19, 2022
- Legal name · S••••••••• L•••••• I••••••••• M••••••••• to S••••••••• L•••••• I••••••••• M••••••••• L••Jan 7, 2022 to Jan 19, 2022
Signals
1 dated events
- S••••••••• L•••••• I••••••••• M••••••••• filed its initial SEC registration (Form ADV)Jan 7, 2022 · 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