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••• A•• N•••••••• I••••••••• L••
Latest filing Sep 14, 2026
First filing on the tape Mar 19, 2024 · 9 filings
SEC status approved since Apr 18, 2024
RAUM
$613M
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
5
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$613M as of Aug 10, 2026
May 1, 2025$358M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 10, 2026
May 1, 20250 then
Employees (5.A)5 as of Aug 10, 2026
May 1, 20255 then
Private funds10 as of Aug 10, 2026
May 1, 20258 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 14, 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
- $68.1MderivedRAUM 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
- unknownderived3 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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, otherreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$613M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- n/areported
- 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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••• F••• A•• N•••••••• S•• V• L• | Private Equity Fund | $54.1M | 22 | Mar 19, 2024 |
| S•••••• F••• A•• N•••••••• I••••••••• S••• L••• | Private Equity Fund | $26.8M | 25 | Dec 10, 2021 |
| S•••••• F••• A•• N•••••••• I••••••••• S•• I•• L••• | Private Equity Fund | $26.8M | 2 | Dec 10, 2021 |
| S•••••• F••• A•• N•••••••• F•••• L••• | Private Equity Fund | $19.5M | 13 | Jan 14, 2024 |
| S•••••• F••• A•• N•••••••• S•• I•• L• | Private Equity Fund | $10.8M | 15 | Feb 17, 2023 |
| S•••••• F••• A•• N•••••••• S•• I••• L• | Private Equity Fund | $10.7M | 2 | Mar 9, 2022 |
| S•••••• F••• A•• N•••••••• S•• V•• L• | Private Equity Fund | $10.0M | 26 | Mar 19, 2024 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• W•••••• W•••• · Co-Chief Investment Officercontrolsince 06/2021 · owns less than 5%
- G•••• R•••••• L•••••• · Managing Partner, Global Distributioncontrolsince 01/2021 · owns less than 5%
- H•••••• J•••• F•••••••• · Managing Partnercontrolsince 07/2021 · owns 10% to 25%
- M••••••• B••••• F•••••• · General Counsel And Chief Compliance Officercontrolsince 06/2021 · owns less than 5%
- M•••••• R••••••• K••• · Chief Financial Officercontrolsince 08/2021 · owns less than 5%
- N•••••• R•••• C••••••••• · Partnercontrolsince 07/2021 · owns 10% to 25%
- S•••••• C•••••••• · Partnercontrolsince 07/2021 · owns 10% to 25%
- V••••••••• C••••• K••••• · Co-Chief Investment Officercontrolsince 06/2021 · owns less than 5%
- B••••••• W••••• · Membercontrolsince 06/2021 · owns 25% to 50% of S•••••• C•••••• H•••••••• L••
- V••••••••• C•••• · Membercontrolsince 06/2021 · owns 25% to 50% of S•••••• C•••••• H•••••••• L••
Entity owners
- S•••••• C•••••• H•••••••• L•• · Majority Ownerdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- S•••••• C•••••• I••••••••• L••investment advisern
- S•••••• E••••••••• I••••••••• L••investment advisern
- S•••••• F••• A•• N•••••••• F••• G•• L••pooled vehicle sponsorn
Advisers that list S•••••• F••• A•• N•••••••• I••••••••• L•• as a related person
- 314884 n
Offices
Schedule D 1.F, the 25 largest
- Vancouver, Canada1 employees
What changed
consecutive filings, newest first
- Financial planning clients · to unsetAug 10, 2026 to Sep 14, 2026
- Private funds · 10 to unsetAug 10, 2026 to Sep 14, 2026
- Succession · false to unsetAug 10, 2026 to Sep 14, 2026
- Private funds · 9 to 10Jul 9, 2026 to Aug 10, 2026
- Private funds · 8 to 9Oct 23, 2025 to Mar 17, 2026
- Discretionary RAUM · $411M to $613MOct 23, 2025 to Mar 17, 2026
- Pooled vehicle RAUM · $411M to $613MOct 23, 2025 to Mar 17, 2026
- RAUM · $411M to $613MOct 23, 2025 to Mar 17, 2026
- Discretionary RAUM · $358M to $411MJul 1, 2025 to Oct 23, 2025
- Pooled vehicle RAUM · $358M to $411MJul 1, 2025 to Oct 23, 2025
- RAUM · $358M to $411MJul 1, 2025 to Oct 23, 2025
- Financial planning clients · unset to May 1, 2025 to Jul 1, 2025
- Accounts · 7 to 9Jun 30, 2024 to May 1, 2025
- Advisory employees · 3 to 5Jun 30, 2024 to May 1, 2025
- Pooled vehicle clients · 7 to 9Jun 30, 2024 to May 1, 2025
- Employees · 3 to 5Jun 30, 2024 to May 1, 2025
- Other offices · 1 to 2Jun 30, 2024 to May 1, 2025
- Private funds · 7 to 8Jun 30, 2024 to May 1, 2025
- Discretionary RAUM · $167M to $358MJun 30, 2024 to May 1, 2025
- Pooled vehicle RAUM · $167M to $358MJun 30, 2024 to May 1, 2025
- RAUM · $167M to $358MJun 30, 2024 to May 1, 2025
- Private funds · 14 to 7Mar 19, 2024 to Jun 30, 2024
Signals
3 dated events
- S•••••• F••• A•• N•••••••• I••••••••• L•• reported RAUM $613.2M, up 49% from $411.0M (2025-10-23 to 2026-03-17)Mar 17, 2026 · RAUM change · derived
- S•••••• F••• A•• N•••••••• I••••••••• L•• reported RAUM $358.4M, up 114% from $167.5M (2024-06-30 to 2025-05-01)May 1, 2025 · RAUM change · derived
- S•••••• F••• A•• N•••••••• I••••••••• L•• filed its initial SEC registration (Form ADV)Mar 19, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••••• F••• a•• N•••••••• I••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- S•••••• F••• a•• N•••••••• I••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- s•••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 267-778-4045reportedpublic record, Form ADV, Sep 14, 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