DFX Intelligence

RIA Intelligence

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SEC-registered adviser

S•• C•••••• M••••••••• L••

Asset manager (funds and pooled vehicles)New York, New YorkCRD 331370SEC 801-130358IAPD

Latest filing May 8, 2026

First filing on the tape Apr 25, 2024 · 6 filings

SEC status approved since May 24, 2024

RAUM

$1.4B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

15 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

6 filings and snapshots on the tape

RAUM$1.4B as of May 8, 2026

Mar 5, 2025$100M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of May 8, 2026

Mar 5, 20250 then

Employees (5.A)20 as of May 8, 2026

Mar 5, 202519 then

Private funds2 as of May 8, 2026

Mar 5, 20252 then

RAUM +1302% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of May 8, 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: $703MderivedRAUM 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: +1209%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-based, otherreportedItem 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$1.4B100%

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: $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=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

Every departure Every arrival

Private funds

2 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
S•• O••••••••• D••• F••• L•	Real Estate Fund	$0	0	Apr 25, 2024
S•• O••••••••• D••• P••••••• F••• L•	Real Estate Fund	$0	0	Apr 25, 2024

Owners and control persons

Schedule A and B, latest filing

D••••••••• M••••••• J••• · Chief Financial Officercontrol
since 01/2015 · owns less than 5%
H•••••••• M•••• A••• · Chief Executive Officercontrol
since 01/2004 · owns less than 5%
L•••••• A•••••• S••••• · General Counsel & Chief Compliance Officercontrol
since 11/2000 · owns less than 5%
S••••••• H•••••••• I•••• · Chief Investment Officercontrol
since 01/2022 · owns less than 5%

Entity owners

S•• D••• F••• T•• C•••• · Sole Managing Member
direct · owns 75% or more
S• G•••• O•••••••• P••••••••• L••• · Sole Shareholder
indirect · owns 75% or more of S•• D••• F••• T•• C••••
S• G•••• R••••• C•••• · General Partner And Sole Limited Partner
indirect · owns 75% or more of S• G•••• O•••••••• P••••••••• L••• · public reporting company

Related persons

Schedule D 7.A

B•••••• I•••••••• C••••••
real estaten
S•• D••• F••• G• L••
pooled vehicle sponsorn
T••••••••• I•••••••• C••••••
real estaten

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

RAUM up 50 %Change between filings · filing Mar 30, 2026
RAUM (Item 5.F) moved from $100,345,215 to $1,313,890,000 (+1209.0%) between the annual amendments of 2025-03-05 and 2026-03-30; the peer median change was +11.0% (1368 comparable advisers, 100.0th percentile of changes)
peers: asset managers, $1B to $5B (1,368) · 100% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Discretionary RAUM · $1.3B to $1.4B
Mar 30, 2026 to May 8, 2026
Pooled vehicle RAUM · $1.3B to $1.4B
Mar 30, 2026 to May 8, 2026
RAUM · $1.3B to $1.4B
Mar 30, 2026 to May 8, 2026
Employees · 19 to 20
Mar 5, 2025 to Mar 30, 2026
Discretionary RAUM · $100M to $1.3B
Mar 5, 2025 to Mar 30, 2026
Pooled vehicle RAUM · $100M to $1.3B
Mar 5, 2025 to Mar 30, 2026
RAUM · $100M to $1.3B
Mar 5, 2025 to Mar 30, 2026
Advisory employees · 20 to 15
Sep 16, 2024 to Mar 5, 2025
Assets in custody · unset to 0.0
Sep 16, 2024 to Mar 5, 2025
Custody of client assets · false to true
Sep 16, 2024 to Mar 5, 2025
Employees · 30 to 19
Sep 16, 2024 to Mar 5, 2025
Financial planning clients · unset to
Sep 16, 2024 to Mar 5, 2025
Discretionary RAUM · $25.0M to $100M
Sep 16, 2024 to Mar 5, 2025
Pooled vehicle RAUM · $25.0M to $100M
Sep 16, 2024 to Mar 5, 2025
RAUM · $25.0M to $100M
Sep 16, 2024 to Mar 5, 2025
Accounts · 0 to 2
May 20, 2024 to Sep 16, 2024
Discretionary RAUM · $0 to $25.0M
May 20, 2024 to Sep 16, 2024
Pooled vehicle RAUM · $0 to $25.0M
May 20, 2024 to Sep 16, 2024
RAUM · $0 to $25.0M
May 20, 2024 to Sep 16, 2024

Signals

2 dated events

S•• C•••••• M••••••••• L•• reported RAUM $1.3B, up 1209% from $100.3M (2025-03-05 to 2026-03-30)
Mar 30, 2026 · RAUM change · derived
S•• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Apr 25, 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

Principal office phone: 212-594-2700reportedpublic record, Form ADV, May 8, 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•• C•••••• M••••••••• 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.

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