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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S••••••••• I••••••••• A••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Feb 14, 2024 · 4 filings
SEC status approved since Mar 15, 2024
RAUM
$788M
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
33
33 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$788M as of Mar 27, 2026
Mar 28, 2025$852M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 28, 20250 then
Employees (5.A)33 as of Mar 27, 2026
Mar 28, 202544 then
Private funds3 as of Mar 27, 2026
Mar 28, 20253 then
RAUM -7.6% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $263MderivedRAUM 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
- -7.6%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
- yesreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$788M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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=true 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••••• R••••• I•••••••• F••••••••• L••• | Real Estate Fund | $404M | 31 | Jul 12, 2024 |
| S••••••••• R••••• I•••••••• F••••••••• L••• | Real Estate Fund | $238M | 24 | Jul 12, 2024 |
| S••••••••• R••••• I•••••••• F••••••••• L••• | Real Estate Fund | $111M | 13 | Jul 12, 2024 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• A••••• A•• · Chief Financial Officercontrolsince 01/2024 · owns less than 5%
- L•••• L•••• D••• · Chief Compliance Officercontrolsince 11/2023 · owns less than 5%
- M••••• C••••••• W•••••• · President And Chief Investments Officercontrolsince 11/2023 · owns less than 5%
- P••••••• M•••• E••••• · Executive Vice President Capital Formationscontrolsince 11/2023 · owns less than 5%
- S••••••••• B••••••• J••• · Chairman And Chief Executive Officercontrolsince 11/2023 · owns less than 5%
Entity owners
- S••••••••• R••••• S•••••••• L••• · Memberdirect · owns 75% or more
- S••••••••• M••••••••• L•• · General Partnerindirect · owns F of S••••••••• R••••• S•••••••• L•••
- S••••••••• M• I••• · General Partnerindirect · owns F of S••••••••• R••••• S•••••••• L•••
- S••••••••• P••••••••• L•• · Limited Partnerindirect · owns 50% to 75% of S••••••••• R••••• S•••••••• L•••
- F•••• R••••••• T•••• C•••••• O• D••••••• L•• · Trusteeindirect · owns F of T•• L•••• P• S••••••••• M•••••• T••••
- T•• L•••• P• S••••••••• M•••••• T•••• · Memberindirect · owns 25% to 50% of S••••••••• P••••••••• L••
Related persons
Schedule D 7.A
- S••••••••• M•• I•••investment companyn
- S•• I•••••••• F••••••• L••bankpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- New York, NY13 employees
What changed
consecutive filings, newest first
- Advisory employees · 44 to 33Mar 28, 2025 to Mar 27, 2026
- Assets in custody · $384M to $0Mar 28, 2025 to Mar 27, 2026
- Employees · 44 to 33Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $852M to $788MMar 28, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $852M to $788MMar 28, 2025 to Mar 27, 2026
- RAUM · $852M to $788MMar 28, 2025 to Mar 27, 2026
- Advisory employees · 45 to 44Jul 12, 2024 to Mar 28, 2025
- Assets in custody · $62.7M to $384MJul 12, 2024 to Mar 28, 2025
- Employees · 45 to 44Jul 12, 2024 to Mar 28, 2025
- Financial planning clients · unset to Jul 12, 2024 to Mar 28, 2025
- Discretionary RAUM · $753M to $852MJul 12, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $753M to $852MJul 12, 2024 to Mar 28, 2025
- RAUM · $753M to $852MJul 12, 2024 to Mar 28, 2025
- Accounts · unset to 3.0Feb 14, 2024 to Jul 12, 2024
- Advisory employees · 47 to 45Feb 14, 2024 to Jul 12, 2024
- Pooled vehicle clients · unset to 3.0Feb 14, 2024 to Jul 12, 2024
- Assets in custody · unset to 62685584.0Feb 14, 2024 to Jul 12, 2024
- Custody of client assets · false to trueFeb 14, 2024 to Jul 12, 2024
- Employees · 47 to 45Feb 14, 2024 to Jul 12, 2024
- Private funds · unset to 3Feb 14, 2024 to Jul 12, 2024
- Discretionary RAUM · unset to 753069521.0Feb 14, 2024 to Jul 12, 2024
- Non-discretionary RAUM · unset to 0.0Feb 14, 2024 to Jul 12, 2024
- Pooled vehicle RAUM · unset to 753069521.0Feb 14, 2024 to Jul 12, 2024
- RAUM · unset to 753069521.0Feb 14, 2024 to Jul 12, 2024
Signals
1 dated events
- S••••••••• I••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Feb 14, 2024 · ria f•••• adv filing · 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
- Website
- shorenstein.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 415-772-7000reportedpublic record, Form ADV, Mar 27, 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
Across the graphs
S••••••••• I••••••••• A••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
Checking your plan…