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•• O•••• A••••••• L••
Latest filing Mar 27, 2024
First filing on the tape Aug 4, 2022 · 6 filings
SEC status approved since Sep 8, 2022
RAUM
$125M
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
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$125M gross assets
History
6 filings and snapshots on the tape
RAUM$125M as of Mar 27, 2024
Mar 30, 2023$68.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2024
Mar 30, 20230 then
Employees (5.A)6 as of Mar 27, 2024
Mar 30, 20239 then
Private funds1 as of Mar 27, 2024
Mar 30, 20231 then
RAUM +81% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2024; 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
- $125MderivedRAUM 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
- +81%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $125M, 1 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$125M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $125M for 1 clientsreported
- Compensation
- performancereported
- 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•• O•••• T•••••• L•• | Hedge Fund | $125M | 8 | Aug 4, 2022 |
Owners and control persons
Schedule A and B, latest filing
- F••••• N•••••••• J••• M•••••• · Membercontrolsince 04/2022 · owns 10% to 25%
- R••••••• J•••••• W•••••• · Chief Compliance Officer / Chief Financial Officercontrolsince 02/2024 · owns less than 5%
- S••••• P••••• D•••• · Chief Executive Officer, Membercontrolsince 08/2022 · owns 25% to 50%
- F••••• N•••••••• J••• M•••••• · Directorcontrolsince 08/2022 · owns F of G•••••••• C•••••••••
- S••••• P••••• D•••• · Directorcontrolsince 04/2022 · owns F of G•••••••• C•••••••••
Entity owners
- G•••••••• C••••••••• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- M••••• S••••• C•••••• P•••••••• L••investment advisern
- S•• O•••• G••••• V•••••••investment advisern
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
What changed
consecutive filings, newest first
- Advisory employees · 5 to 4Mar 1, 2024 to Mar 27, 2024
- Assets in custody · $68.8M to $125MMar 1, 2024 to Mar 27, 2024
- HQ city · NEW YORK to MIAMIMar 1, 2024 to Mar 27, 2024
- HQ state · NY to FLMar 1, 2024 to Mar 27, 2024
- Discretionary RAUM · $68.8M to $125MMar 1, 2024 to Mar 27, 2024
- Pooled vehicle RAUM · $68.8M to $125MMar 1, 2024 to Mar 27, 2024
- RAUM · $68.8M to $125MMar 1, 2024 to Mar 27, 2024
- Assets in custody · $0 to $68.8MNov 30, 2023 to Mar 1, 2024
- BD registered reps · 5 to 0May 9, 2023 to Nov 30, 2023
- Employees · 9 to 6May 9, 2023 to Nov 30, 2023
- Related broker-dealer · true to falseMay 9, 2023 to Nov 30, 2023
- BD registered reps · 4 to 5Aug 4, 2022 to Mar 30, 2023
- Employees · 7 to 9Aug 4, 2022 to Mar 30, 2023
- Discretionary RAUM · $269M to $68.8MAug 4, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $269M to $68.8MAug 4, 2022 to Mar 30, 2023
- RAUM · $269M to $68.8MAug 4, 2022 to Mar 30, 2023
Signals
6 dated events
- S•• O•••• A••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $124.7M)May 2, 2025 · Left the SEC roster · derived
- William Joshua Rawlins (Chief Compliance Officer / Chief Financial Officer) appeared on Schedule A of S•• O•••• A••••••• L••Mar 1, 2024 · Control person joined · fact
- Nmn Jeffrey Hwang (Chief Compliance Officer / Chief Financial Officer) no longer on Schedule A of S•• O•••• A••••••• L•• (listed 2023-11-30, absent 2024-03-01)Mar 1, 2024 · Control person left · inference
- John Patrick Kane (Chief Compliance Officer) no longer on Schedule A of S•• O•••• A••••••• L•• (listed 2023-05-09, absent 2023-11-30)Nov 30, 2023 · Control person left · inference
- S•• O•••• A••••••• L•• reported RAUM $68.8M, down 74% from $269.4M (2022-08-04 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- S•• O•••• A••••••• L•• filed its initial SEC registration (Form ADV)Aug 4, 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