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••• M••••••••• M••••••••• L••
Latest filing Apr 24, 2026
First filing on the tape Dec 22, 2021 · 8 filings
SEC status approved since Jan 21, 2022
RAUM
$55.9M
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
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$55.9M as of Apr 24, 2026
Mar 31, 2023$24.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 24, 2026
Mar 31, 20230 then
Employees (5.A)8 as of Apr 24, 2026
Mar 31, 20236 then
Private funds1 as of Apr 24, 2026
Mar 31, 20231 then
RAUM +27% over the last fiscal year+31% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 24, 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
- $55.9MderivedRAUM 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
- +27%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
- yesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$55.9M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••• M••••••••• L• | Hedge Fund | $55.1M | 4 | May 20, 2022 |
Owners and control persons
Schedule A and B, latest filing
- N••••••••• C•••• · Chief Compliance Officercontrolsince 10/2021 · owns less than 5%
- P••••••• K••••• S••• · Managing Membercontrolsince 10/2021 · owns 25% to 50%
- R••••••••• A•••••• · Managing Membercontrolsince 10/2021 · owns 25% to 50%
- L••• Y• · Membersince 10/2021 · owns 5% to 10%
Related persons
Schedule D 7.A
- A•• O••••••••• F••• I• G•• L••pooled vehicle sponsorn
- A•• P••••••• G• I•• L••pooled vehicle sponsorn
- A•• P••••••• G•• L••pooled vehicle sponsorn
- A•• P••••••• L••investment advisernRAUM $1.2B
- A•• P••••••• O••••••••• F••• G• L••pooled vehicle sponsorn
- A•• P••••••• O••••••••• M••••••••• L••investment advisern
- A•• S••• M••••••••• L••investment advisernRAUM $85.4M
- C•••••• C•••••• M•••••• L••broker-dealern
- S••• M••••••••• G• L••pooled vehicle sponsorn
Advisers that list S••• M••••••••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- BD registered reps · 1 to 0Mar 26, 2025 to Mar 31, 2026
- Employees · 7 to 8Mar 26, 2025 to Mar 31, 2026
- Discretionary RAUM · $44.1M to $55.9MMar 26, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $44.1M to $55.9MMar 26, 2025 to Mar 31, 2026
- RAUM · $44.1M to $55.9MMar 26, 2025 to Mar 31, 2026
- Financial planning clients · unset to Jun 17, 2024 to Mar 26, 2025
- Discretionary RAUM · $55.1M to $44.1MJun 17, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $55.1M to $44.1MJun 17, 2024 to Mar 26, 2025
- RAUM · $55.1M to $44.1MJun 17, 2024 to Mar 26, 2025
- Advisory employees · 6 to 4Mar 31, 2023 to Mar 29, 2024
- Employees · 6 to 7Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $24.6M to $55.1MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $24.6M to $55.1MMar 31, 2023 to Mar 29, 2024
- RAUM · $24.6M to $55.1MMar 31, 2023 to Mar 29, 2024
- Advisory employees · 2 to 6May 20, 2022 to Mar 31, 2023
- Employees · 3 to 6May 20, 2022 to Mar 31, 2023
- Discretionary RAUM · $25.0M to $24.6MMay 20, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $25.0M to $24.6MMay 20, 2022 to Mar 31, 2023
- RAUM · $25.0M to $24.6MMay 20, 2022 to Mar 31, 2023
- Accounts · 0 to 1Dec 22, 2021 to May 20, 2022
- BD registered reps · 0 to 1Dec 22, 2021 to May 20, 2022
- Pooled vehicle clients · unset to 1.0Dec 22, 2021 to May 20, 2022
- Assets in custody · unset to 0.0Dec 22, 2021 to May 20, 2022
- Custody of client assets · false to trueDec 22, 2021 to May 20, 2022
- HQ city · MIAMI to NEW YORKDec 22, 2021 to May 20, 2022
- HQ state · FL to NYDec 22, 2021 to May 20, 2022
- Private funds · unset to 1Dec 22, 2021 to May 20, 2022
- Discretionary RAUM · $0 to $25.0MDec 22, 2021 to May 20, 2022
- Pooled vehicle RAUM · unset to 25000000.0Dec 22, 2021 to May 20, 2022
- RAUM · $0 to $25.0MDec 22, 2021 to May 20, 2022
Signals
1 dated events
- S••• M••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Dec 22, 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
- Principal office phone
- 646-975-5548reportedpublic record, Form ADV, Apr 24, 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