DFX Intelligence
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SEC-registered adviser
S•••• M••••••••• L••
Latest filing Mar 23, 2026
First filing on the tape May 8, 2023 · 6 filings
SEC status approved since Jun 6, 2023
RAUM
$309M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
40%
$123M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$309M as of Mar 23, 2026
Mar 27, 2024$340M then
HNW client RAUM$123M as of Mar 23, 2026
Mar 27, 2024$126M then
State-registered IARs (5.B.3)0 as of Mar 23, 2026
Mar 27, 20240 then
Employees (5.A)3 as of Mar 23, 2026
Mar 27, 20243 then
Private funds2 as of Mar 23, 2026
Mar 27, 20242 then
RAUM -11% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 23%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
- -11%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -14%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $116M, 2 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)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$123M40%
- Pooled investment vehicles$116M37%
- Pension and profit-sharing plans$66.6M22%
- Charitable organizations$3.0M1.0%
- Individual clients
- 0reported
- HNW clients
- 103reported
- Pension plan clients
- 76reported
- Charitable clients
- 6reported
- Accounts
- 189reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $116M for 2 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.4 fund_share=0.37 institutional_share=0.23 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••• P•••••••• L••• | Hedge Fund | $71.0M | 31 | Mar 29, 2012 |
| S•••• P••••••• L• | Hedge Fund | $62.0M | 29 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• D••••• J• · Membercontrolsince 05/2023 · owns 25% to 50%
- W•••••• A•••••• N•••• · Managing Member And Chief Compliance Officercontrolsince 05/2023 · owns 25% to 50%
- W•••••• A••••••• S• · Membersince 05/2023 · owns 25% to 50%
Related persons
Schedule D 7.A
- S•••• C••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 209 to 189Mar 17, 2025 to Mar 23, 2026
- HNW clients · 120 to 103Mar 17, 2025 to Mar 23, 2026
- Pension plan clients · 77 to 76Mar 17, 2025 to Mar 23, 2026
- Assets in custody · $131M to $116MMar 17, 2025 to Mar 23, 2026
- Discretionary RAUM · $347M to $309MMar 17, 2025 to Mar 23, 2026
- HNW RAUM · $133M to $123MMar 17, 2025 to Mar 23, 2026
- Pension RAUM · $72.3M to $66.6MMar 17, 2025 to Mar 23, 2026
- Pooled vehicle RAUM · $131M to $116MMar 17, 2025 to Mar 23, 2026
- RAUM · $347M to $309MMar 17, 2025 to Mar 23, 2026
- Accounts · 216 to 209Mar 27, 2024 to Mar 17, 2025
- Charity clients · 7 to 6Mar 27, 2024 to Mar 17, 2025
- HNW clients · 128 to 120Mar 27, 2024 to Mar 17, 2025
- Pension plan clients · 75 to 77Mar 27, 2024 to Mar 17, 2025
- Assets in custody · $133M to $131MMar 27, 2024 to Mar 17, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 17, 2025
- Discretionary RAUM · $340M to $347MMar 27, 2024 to Mar 17, 2025
- HNW RAUM · $126M to $133MMar 27, 2024 to Mar 17, 2025
- Pension RAUM · $68.3M to $72.3MMar 27, 2024 to Mar 17, 2025
- Pooled vehicle RAUM · $133M to $131MMar 27, 2024 to Mar 17, 2025
- RAUM · $340M to $347MMar 27, 2024 to Mar 17, 2025
- Charity clients · unset to 7.0Sep 21, 2023 to Mar 27, 2024
- Pension plan clients · 78 to 75Sep 21, 2023 to Mar 27, 2024
- Assets in custody · $124M to $133MSep 21, 2023 to Mar 27, 2024
- Discretionary RAUM · $321M to $340MSep 21, 2023 to Mar 27, 2024
- HNW RAUM · $119M to $126MSep 21, 2023 to Mar 27, 2024
- Pension RAUM · $66.0M to $68.3MSep 21, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $124M to $133MSep 21, 2023 to Mar 27, 2024
- RAUM · $321M to $340MSep 21, 2023 to Mar 27, 2024
- Accounts · 0 to 216May 9, 2023 to Sep 21, 2023
- BD registered reps · 2 to 0May 9, 2023 to Sep 21, 2023
- Corporate clients · unset to 0.0May 9, 2023 to Sep 21, 2023
- HNW clients · unset to 128.0May 9, 2023 to Sep 21, 2023
- Individual clients · unset to 0.0May 9, 2023 to Sep 21, 2023
- Pension plan clients · unset to 78.0May 9, 2023 to Sep 21, 2023
- Pooled vehicle clients · unset to 2.0May 9, 2023 to Sep 21, 2023
- Assets in custody · $0 to $124MMay 9, 2023 to Sep 21, 2023
- Custody of client assets · false to trueMay 9, 2023 to Sep 21, 2023
- Private funds · unset to 2May 9, 2023 to Sep 21, 2023
- Discretionary RAUM · $0 to $321MMay 9, 2023 to Sep 21, 2023
- HNW RAUM · unset to 119000000.0May 9, 2023 to Sep 21, 2023
Signals
1 dated events
- S•••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 8, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••• M••••••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-419-3924reportedpublic record, Form ADV, Mar 23, 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
- Wealth manager with institutional or fund businessderiveda 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