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••• I••••••••
Legal name S••• I•••••••• L••
Latest filing Jan 28, 2026
First filing on the tape Oct 15, 2021 · 8 filings
SEC status approved since Nov 12, 2021
RAUM
$2.6B
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
13
11 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$2.6B as of Jan 28, 2026
Mar 11, 2022$393M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 28, 2026
Mar 11, 20220 then
Employees (5.A)13 as of Jan 28, 2026
Mar 11, 20224 then
Private funds: no history
RAUM +12% over the last fiscal year+84% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 28, 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
- $651MderivedRAUM 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
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.6B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• K•••• K• · Chief Investment Officer And Managing Partnercontrolsince 09/2021 · owns less than 5%
- W•••••• J•••••• K•• · Chief Compliance Officer And Head Of Operationscontrolsince 09/2021 · owns less than 5%
- R••••••• K•••• K• · Managercontrolsince 09/2021 · owns 75% or more of S••• I••••••••• M••••••••• G• L••
- R••••••• K•••• K• · Managing Partnercontrolsince 09/2021 · owns 75% or more of S••• I••••••••• M••••••••• L•
- G•• L••••• Y•••• · Portfolio Manager And Partnersince 09/2021 · owns less than 5%
- S•••• S•••• · Portfolio Manager And Partnersince 11/2022 · owns less than 5%
- G•• L••••• Y•••• · Partnersince 09/2021 · owns F of S••• I••••••••• M••••••••• L•
- S•••• S•••• · Partnersince 11/2022 · owns F of S••• I••••••••• M••••••••• L•
Entity owners
- S••• I••••••••• M••••••••• L• · Sole Ownerdirect · owns 75% or more
- S••• I••••••••• M••••••••• G• L•• · General Partnerindirect · owns F of S••• I••••••••• M••••••••• L•
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL3 employees
- New York, NY1 employees
- San Mateo, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 3 to 4Mar 31, 2025 to Jan 28, 2026
- Advisory employees · 10 to 11Mar 31, 2025 to Jan 28, 2026
- Pooled vehicle clients · 3 to 4Mar 31, 2025 to Jan 28, 2026
- Employees · 12 to 13Mar 31, 2025 to Jan 28, 2026
- Discretionary RAUM · $2.3B to $2.6BMar 31, 2025 to Jan 28, 2026
- Pooled vehicle RAUM · $2.3B to $2.6BMar 31, 2025 to Jan 28, 2026
- RAUM · $2.3B to $2.6BMar 31, 2025 to Jan 28, 2026
- Accounts · 2 to 3Mar 26, 2024 to Mar 31, 2025
- Advisory employees · 7 to 10Mar 26, 2024 to Mar 31, 2025
- Pooled vehicle clients · 2 to 3Mar 26, 2024 to Mar 31, 2025
- Employees · 8 to 12Mar 26, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 31, 2025
- Discretionary RAUM · $673M to $2.3BMar 26, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $673M to $2.3BMar 26, 2024 to Mar 31, 2025
- RAUM · $673M to $2.3BMar 26, 2024 to Mar 31, 2025
- Accounts · 3 to 2Sep 6, 2023 to Mar 26, 2024
- Advisory employees · 4 to 7Sep 6, 2023 to Mar 26, 2024
- Pooled vehicle clients · 3 to 2Sep 6, 2023 to Mar 26, 2024
- Employees · 5 to 8Sep 6, 2023 to Mar 26, 2024
- Other offices · 2 to 3Sep 6, 2023 to Mar 26, 2024
- Discretionary RAUM · $421M to $673MSep 6, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $421M to $673MSep 6, 2023 to Mar 26, 2024
- RAUM · $421M to $673MSep 6, 2023 to Mar 26, 2024
- Advisory employees · 3 to 4Mar 11, 2022 to Mar 29, 2023
- Employees · 4 to 5Mar 11, 2022 to Mar 29, 2023
- Discretionary RAUM · $393M to $421MMar 11, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $393M to $421MMar 11, 2022 to Mar 29, 2023
- RAUM · $393M to $421MMar 11, 2022 to Mar 29, 2023
- Accounts · 0 to 3Oct 15, 2021 to Mar 11, 2022
- Pooled vehicle clients · unset to 3.0Oct 15, 2021 to Mar 11, 2022
- Discretionary RAUM · $0 to $393MOct 15, 2021 to Mar 11, 2022
- Pooled vehicle RAUM · unset to 392852000.0Oct 15, 2021 to Mar 11, 2022
- RAUM · $0 to $393MOct 15, 2021 to Mar 11, 2022
Signals
3 dated events
- S••• I•••••••• reported RAUM $2.3B, up 244% from $673.1M (2024-03-26 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- S••• I•••••••• reported RAUM $673.1M, up 60% from $420.8M (2023-09-06 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- S••• I•••••••• filed its initial SEC registration (Form ADV)Oct 15, 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.
How to reach
public business contact points only, each with its source
- Website
- sorainvestors.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 610-801-2000reportedpublic record, Form ADV, Jan 28, 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