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SEC-registered adviser

S••••••• A•••• M•••••••••

Asset manager (funds and pooled vehicles)New York, New YorkCRD 328895SEC 801-133932websiteIAPD
Legal name S••••••• A•••• M••••••••• L•
Latest filing Mar 23, 2026
First filing on the tape Jun 23, 2025 · 2 filings
SEC status approved since Jul 23, 2025
RAUM
$220M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$220M as of Mar 23, 2026
Jun 23, 2025$181M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2026
Jun 23, 20250 then
Employees (5.A)4 as of Mar 23, 2026
Jun 23, 20254 then
Private funds1 as of Mar 23, 2026
Jun 23, 20251 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 23, 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
$55.1MderivedRAUM 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
unknownderivedbetween 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
$74.0M, 3 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)
  • 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)
  • 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$220M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
4reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$74.0M for 3 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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••••• M••••• F•••• L•••Hedge Fund$5.8M7Aug 12, 2024
      Owners and control persons
      Schedule A and B, latest filing
        Entity owners
        • S••••••• A•••• M••••••• L•• · General Partner Limited Partner Chief Compliance Officer
          direct · owns less than 5%
        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 · $45.2M to $74.0M
          Jun 23, 2025 to Mar 23, 2026
        • Discretionary RAUM · $181M to $220M
          Jun 23, 2025 to Mar 23, 2026
        • Pooled vehicle RAUM · $181M to $220M
          Jun 23, 2025 to Mar 23, 2026
        • RAUM · $181M to $220M
          Jun 23, 2025 to Mar 23, 2026
        Signals
        No event on the tape.
        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
        s•••••••••.comreportedpublic record, Form ADV, Mar 23, 2026
        Principal office phone
        212-554-3110reportedpublic 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
        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