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•••• G• L••
Latest filing Mar 25, 2026
First filing on the tape Aug 30, 2022 · 5 filings
SEC status approved since Sep 29, 2022
RAUM
$110M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$110M as of Mar 25, 2026
Mar 31, 2023$190M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 31, 20230 then
Employees (5.A)1 as of Mar 25, 2026
Mar 31, 20231 then
Private funds1 as of Mar 25, 2026
Mar 31, 20231 then
RAUM -9.3% over the last fiscal year-17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 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
- $110MderivedRAUM 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
- -9.3%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
- $110M, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$110M100%
- 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
- $110M for 1 clientsreported
- 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• S•••• F••• I•• L••• | Hedge Fund | $164M | 6 | Aug 30, 2022 |
Owners and control persons
Schedule A and B, latest filing
- K••• L•••••••• W•• · Managing Member And Chief Compliance Officercontrolsince 07/2022 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $121M to $110MMar 28, 2025 to Mar 25, 2026
- Discretionary RAUM · $121M to $110MMar 28, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $121M to $110MMar 28, 2025 to Mar 25, 2026
- RAUM · $121M to $110MMar 28, 2025 to Mar 25, 2026
- Assets in custody · $164M to $121MMar 29, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $164M to $121MMar 29, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $164M to $121MMar 29, 2024 to Mar 28, 2025
- RAUM · $164M to $121MMar 29, 2024 to Mar 28, 2025
- Assets in custody · $190M to $164MMar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $190M to $164MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $190M to $164MMar 31, 2023 to Mar 29, 2024
- RAUM · $190M to $164MMar 31, 2023 to Mar 29, 2024
- Charity clients · 0.0 to unsetAug 30, 2022 to Mar 31, 2023
- Corporate clients · 0.0 to unsetAug 30, 2022 to Mar 31, 2023
- HNW clients · 0.0 to unsetAug 30, 2022 to Mar 31, 2023
- Individual clients · 0.0 to unsetAug 30, 2022 to Mar 31, 2023
- Pension plan clients · 0.0 to unsetAug 30, 2022 to Mar 31, 2023
- Assets in custody · $188M to $190MAug 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $188M to $190MAug 30, 2022 to Mar 31, 2023
- HNW RAUM · 0.0 to unsetAug 30, 2022 to Mar 31, 2023
- Individual RAUM · 0.0 to unsetAug 30, 2022 to Mar 31, 2023
- Pension RAUM · 0.0 to unsetAug 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $188M to $190MAug 30, 2022 to Mar 31, 2023
- RAUM · $188M to $190MAug 30, 2022 to Mar 31, 2023
Signals
1 dated events
- S•••• G• L•• filed its initial SEC registration (Form ADV)Aug 30, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 808-649-3381reportedpublic record, Form ADV, Mar 25, 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