DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S•••••• M•••••• L••
Latest filing Mar 31, 2026
First filing on the tape May 3, 2024 · 5 filings
SEC status approved since May 31, 2024
RAUM
$312M
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
28
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$312M as of Mar 31, 2026
Mar 28, 2025$319M then
HNW client RAUM$0 as of Mar 31, 2026
Mar 28, 2025$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20250 then
Employees (5.A)28 as of Mar 31, 2026
Mar 28, 20257 then
Private funds: no history
RAUM -2.2% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $312MderivedRAUM 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
- -2.2%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
- $6.4M, 1 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)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$312M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.4M for 1 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=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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••• A•••• L•• · Chief Compliance Officercontrolsince 02/2024 · owns less than 5%
- T••••••••• L••••••• M••• · M••••••controlsince 02/2024 · owns 75% or more
- T••••••••• R••••• E•••• · Membercontrolsince 02/2024 · owns 10% to 25%
Related persons
Schedule D 7.A
- A•• I••••••••• F••• H••••••• L••pooled vehicle sponsorn
- A•• I••••••••• F••• M•••••• L••investment advisern
- A•• M••••••••• L••investment advisernRAUM $276M
- S•• G•••• L••investment advisernRAUM $206M
Advisers that list S•••••• M•••••• L•• as a related person
- 330219 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 7 to 9May 22, 2025 to Mar 31, 2026
- Assets in custody · $185M to $6.4MMay 22, 2025 to Mar 31, 2026
- Employees · 7 to 28May 22, 2025 to Mar 31, 2026
- Discretionary RAUM · $319M to $312MMay 22, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $319M to $312MMay 22, 2025 to Mar 31, 2026
- RAUM · $319M to $312MMay 22, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 28, 2025 to May 22, 2025
- Advisory employees · 6 to 7Sep 27, 2024 to Mar 28, 2025
- Assets in custody · $115M to $185MSep 27, 2024 to Mar 28, 2025
- Employees · 6 to 7Sep 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $115M to $319MSep 27, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $115M to $319MSep 27, 2024 to Mar 28, 2025
- RAUM · $115M to $319MSep 27, 2024 to Mar 28, 2025
- Accounts · 0 to 1May 3, 2024 to Sep 27, 2024
- Pooled vehicle clients · 0 to 1May 3, 2024 to Sep 27, 2024
- Assets in custody · unset to 115000000.0May 3, 2024 to Sep 27, 2024
- Custody of client assets · false to trueMay 3, 2024 to Sep 27, 2024
- Discretionary RAUM · $0 to $115MMay 3, 2024 to Sep 27, 2024
- Pooled vehicle RAUM · $0 to $115MMay 3, 2024 to Sep 27, 2024
- RAUM · $0 to $115MMay 3, 2024 to Sep 27, 2024
Signals
2 dated events
- S•••••• M•••••• L•• reported RAUM $318.7M, up 177% from $115.0M (2024-09-27 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- S•••••• M•••••• L•• filed its initial SEC registration (Form ADV)May 3, 2024 · 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
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 561-530-3315reportedpublic record, Form ADV, Mar 31, 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 M••••••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