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••••• A•••• L•
Latest filing Mar 29, 2026
First filing on the tape Nov 29, 2023 · 4 filings
SEC status approved since Jan 2, 2024
RAUM
$5.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$5.3M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$5.3M as of Mar 29, 2026
Mar 29, 2024$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2026
Mar 29, 20240 then
Employees (5.A)6 as of Mar 29, 2026
Mar 29, 20246 then
Private funds: no history
RAUM +433% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $5.3MderivedRAUM 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
- $2.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +433%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$5.3M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••• A••••• W•••• | Houston, Tx | Jan 2, 2024 | 28 y | 3 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- L••• A••••• W•••• from S•••••• C•••••• L•Jan 2, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••••• A••••••• P•••• · Chief Compliance Officercontrolsince 11/2023 · owns less than 5%
- W••••• L•••• A••••• · Chief Investment Officercontrolsince 11/2023 · owns less than 5%
- K•••••• N•••• E••••• · Sole Shareholdercontrolsince 04/2009 · owns 75% or more of N•• I•••••••• I•••
- K•••••• N•••• E••••• · Chief Executive Officercontrolsince 01/2005 · owns F of S•••••• E••••• A•••••••• L•
- K•••••• N•••• E••••• · Membercontrolsince 01/2005 · owns 50% to 75% of S•••••• L••
- K•••••• N•••• E••••• · Limited Partnercontrolsince 09/2010 · owns 75% or more of C• I••••••••• L•
- K•••••• N•••• E••••• · Membercontrolsince 09/2010 · owns 50% to 75% of C• I••••••••• G• L••
- W••••• L•••• A••••• · Ownercontrolsince 12/2016 · owns 75% or more of C•••••••• C••••• L••
- K•••••• N•••• E••••• · Membersince 11/2023 · owns 25% to 50% of S••••• M••••••••• L••
Entity owners
- C•••••••• C••••• L•• · Limited Partnerdirect · owns 25% to 50%
- S••••• M••••••••• L•• · General Partnerdirect · owns less than 5%
- S•••••• E••••• A•••••••• L• · Limited Partnerdirect · owns 50% to 75%
- C• I••••••••• G• L•• · General Partnerindirect · owns F of C• I••••••••• L•
- C• I••••••••• L• · Limited Partnerindirect · owns 75% or more of S•••••• E••••• A•••••••• L•
- N•• I•••••••• I••• · Memberindirect · owns 25% to 50% of S•••••• L••
- N•• I•••••••• I••• · Memberindirect · owns 50% to 75% of C• I••••••••• G• L••
- S•••••• E••••• A•••••••• L• · Memberindirect · owns 75% or more of S••••• M••••••••• L••
- S•••••• L•• · General Partnerindirect · owns F of S•••••• E••••• A•••••••• L•
Related persons
Schedule D 7.A
- S•••••• E••••• T•••••• L•bankn
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $993,432 to $5.3MMar 28, 2025 to Mar 29, 2026
- RAUM · $993,432 to $5.3MMar 28, 2025 to Mar 29, 2026
- Accounts · 0 to 2Mar 29, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $0 to $993,432Mar 29, 2024 to Mar 28, 2025
- RAUM · $0 to $993,432Mar 29, 2024 to Mar 28, 2025
- Accounts · unset to 0.0Nov 29, 2023 to Mar 29, 2024
- Advisory employees · 1 to 2Nov 29, 2023 to Mar 29, 2024
- Employees · 5 to 6Nov 29, 2023 to Mar 29, 2024
- Other offices · 0 to 1Nov 29, 2023 to Mar 29, 2024
- Discretionary RAUM · unset to 0.0Nov 29, 2023 to Mar 29, 2024
- Non-discretionary RAUM · unset to 0.0Nov 29, 2023 to Mar 29, 2024
- RAUM · unset to 0.0Nov 29, 2023 to Mar 29, 2024
Signals
1 dated events
- S••••• A•••• L• filed its initial SEC registration (Form ADV)Nov 29, 2023 · 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
- Firm profile
- linkedin.com/company/sanjac-alphareportedpublic record, Form ADV, Sep 18, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 713-366-7059reportedpublic record, Form ADV, Mar 29, 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
- $5.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026