DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S••••••••• A•••••••• L•
Latest filing Jun 11, 2026
First filing on the tape Jan 25, 2025 · 5 filings
SEC status approved since Feb 24, 2025
RAUM
$9.3B
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
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$9.3B as of Jun 11, 2026
Jan 25, 2025$383M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 11, 2026
Jan 25, 20250 then
Employees (5.A)8 as of Jun 11, 2026
Jan 25, 20254 then
Private funds1 as of Jun 11, 2026
Jan 25, 20251 then
RAUM +2322% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 11, 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
- $4.6BderivedRAUM 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
- +2322%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
- $9.3B, 2 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$9.3B100%
- 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
- $9.3B for 2 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• L••••••• N•• · Chief Investment Partnercontrolsince 05/2024 · owns 50% to 75%
- D••••••• P••••••• L••••• · Chief Financial Officercontrolsince 01/2026 · owns less than 5%
- G••••••••• N•••••••• · Chief Operating Partnercontrolsince 08/2024 · owns 5% to 10%
- S••••••• C•••• M•••••• · Director Of Partnercontrolsince 10/2024 · owns 25% to 50%
- S••••• K•••••••• A••• · Chief Compliance Officercontrolsince 06/2026 · owns less than 5%
Entity owners
- S••••••••• A•••••••• L•• · General Partnerdirect · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Apr 27, 2026RAUM (Item 5.F) moved from $383,018,150 to $9,278,344,000 (+2322.0%) between the annual amendments of 2025-01-25 and 2026-04-27; the peer median change was +13.0% (631 comparable advisers, 100.0th percentile of changes)peers: asset managers, $5B to $20B (631) · 100% percentile
What changed
consecutive filings, newest first
- Advisory activities · 2 to 1Mar 30, 2026 to Apr 27, 2026
- Advisory employees · 2 to 4Feb 18, 2026 to Mar 30, 2026
- Assets in custody · $383M to $9.3BFeb 18, 2026 to Mar 30, 2026
- Employees · 4 to 8Feb 18, 2026 to Mar 30, 2026
- Discretionary RAUM · $383M to $9.3BFeb 18, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $383M to $9.3BFeb 18, 2026 to Mar 30, 2026
- RAUM · $383M to $9.3BFeb 18, 2026 to Mar 30, 2026
Signals
1 dated events
- S••••••••• A•••••••• L• reported RAUM $9.3B, up 2322% from $383.0M (2026-02-18 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
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
- (415) 530-8524reportedpublic record, Form ADV, Jun 11, 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