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••••• A•••• M••••••••• L••
Latest filing Mar 7, 2025
First filing on the tape Jul 14, 2022 · 4 filings
SEC status approved since Aug 12, 2022
RAUM
$15.9M
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
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$15.9M as of Mar 7, 2025
Mar 31, 2023$0 then
HNW client RAUM$0 as of Mar 7, 2025
Mar 31, 2023$0 then
State-registered IARs (5.B.3)6 as of Mar 7, 2025
Mar 31, 20238 then
Employees (5.A)6 as of Mar 7, 2025
Mar 31, 20238 then
Private funds1 as of Mar 7, 2025
Mar 31, 20231 then
RAUM n/a over the last fiscal yearIARs 6 to 6
Practice profile
derived from the filing of Mar 7, 2025; every figure names its basis
- RAUM per advisor
- $2.6MderivedRAUM 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
- $15.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-basedreportedItem 5.E
- Advisory activities
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$15.9M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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••••••••• F••• I• L• | Hedge Fund | $0 | 36 | Jul 14, 2022 |
Owners and control persons
Schedule A and B, latest filing
- S•••••• D••••• C••• · Membercontrolsince 05/2022 · owns 25% to 50%
- S•••••• D••••••• M•••••• · Membercontrolsince 05/2022 · owns 25% to 50%
- S•••••• G••••••• J••• · Membercontrolsince 05/2022 · owns 25% to 50%
- T••••••• C••••••• M•••••• · Ccosince 05/2022 · owns less than 5%
Related persons
Schedule D 7.A
- S••••• F••••• O••••• L••investment advisernRAUM $3.4B
- S••••• O••••••••• F••• I• G•• L••pooled vehicle sponsorn
Advisers that list S••••• A•••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 1Mar 21, 2024 to Mar 7, 2025
- Financial planning clients · unset to Mar 21, 2024 to Mar 7, 2025
- Discretionary RAUM · $0 to $15.9MMar 21, 2024 to Mar 7, 2025
- Pooled vehicle RAUM · $0 to $15.9MMar 21, 2024 to Mar 7, 2025
- RAUM · $0 to $15.9MMar 21, 2024 to Mar 7, 2025
- Advisory employees · 8 to 6Mar 31, 2023 to Mar 21, 2024
- Employees · 8 to 6Mar 31, 2023 to Mar 21, 2024
- Insurance-licensed employees · 8 to 6Mar 31, 2023 to Mar 21, 2024
- State-registered IARs · 8 to 6Mar 31, 2023 to Mar 21, 2024
- Advisory employees · 6 to 8Jul 14, 2022 to Mar 31, 2023
- Employees · 7 to 8Jul 14, 2022 to Mar 31, 2023
- Insurance-licensed employees · 6 to 8Jul 14, 2022 to Mar 31, 2023
- State-registered IARs · 6 to 8Jul 14, 2022 to Mar 31, 2023
Signals
2 dated events
- S••••• A•••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $15.9M)Dec 20, 2025 · Left the SEC roster · derived
- S••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jul 14, 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