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•••••• M••••••••• I•••
Latest filing Mar 24, 2026
First filing on the tape Jun 19, 2024 · 4 filings
SEC status approved since Dec 12, 2024
RAUM
$389M
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
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$389M as of Mar 24, 2026
Mar 31, 2025$403M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 31, 20250 then
Employees (5.A)4 as of Mar 24, 2026
Mar 31, 20253 then
Private funds5 as of Mar 24, 2026
Mar 31, 20255 then
RAUM -3.6% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 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
- $77.7MderivedRAUM 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
- -3.6%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
- $389M, 5 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)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$389M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $389M for 5 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• S•••••• F••• L•• | Other Private Fund | $260M | 1,181 | Jun 19, 2024 |
| T•• S•••••• O••••••••• F•••• L•• | Other Private Fund | $79.1M | 341 | Jun 19, 2024 |
| H••••• F•••••••• M••••••• F••• L•• | Other Private Fund | $57.3M | 224 | Jun 19, 2024 |
| H•• F••• I•• L•• | Other Private Fund | $12.2M | 47 | Jun 19, 2024 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• P•••• R•••••• · Chief Operating Officercontrolsince 02/2022 · owns less than 5%
- I•••••••• A••••••• C•••••• · Chief Compliance Officer & Chief Strategy Officercontrolsince 02/2022 · owns less than 5%
- S••••• A••••• R••••• · Chief Executive Officercontrolsince 06/2021 · owns 75% or more
Related persons
Schedule D 7.A
- H••••• F•••••••• S•••••••• I•••investment companyn
- S•••••• C•••••• N•••••• I•••investment companyn
- S•••••• C••••••• I•••investment companyy
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Mar 31, 2025 to Mar 24, 2026
- Assets in custody · $42.0M to $389MMar 31, 2025 to Mar 24, 2026
- Employees · 3 to 4Mar 31, 2025 to Mar 24, 2026
- Discretionary RAUM · $403M to $389MMar 31, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $403M to $389MMar 31, 2025 to Mar 24, 2026
- RAUM · $403M to $389MMar 31, 2025 to Mar 24, 2026
- Accounts · 4 to 5Dec 11, 2024 to Mar 31, 2025
- Pooled vehicle clients · 4 to 5Dec 11, 2024 to Mar 31, 2025
- Assets in custody · $400,000 to $42.0MDec 11, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Dec 11, 2024 to Mar 31, 2025
- Private funds · 4 to 5Dec 11, 2024 to Mar 31, 2025
- Discretionary RAUM · $408M to $403MDec 11, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $408M to $403MDec 11, 2024 to Mar 31, 2025
- RAUM · $408M to $403MDec 11, 2024 to Mar 31, 2025
Signals
1 dated events
- S•••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Jun 19, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••••• M••••••••• I••• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 916-617-2221reportedpublic record, Form ADV, Mar 24, 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