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••••• S••••• C•••••• L•
Latest filing Mar 2, 2026
First filing on the tape Mar 28, 2025 · 2 filings
SEC status approved since Apr 28, 2025
RAUM
$556M
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
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$556M as of Mar 2, 2026
Mar 28, 2025$293M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 2, 2026
Mar 28, 20250 then
Employees (5.A)4 as of Mar 2, 2026
Mar 28, 20253 then
Private funds3 as of Mar 2, 2026
Mar 28, 20253 then
RAUM +90% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 2, 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
- $139MderivedRAUM 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
- +90%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
- $458M, 3 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)
- 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$556M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $458M for 3 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
- B••••••• S•••• · Managing Partner & Limited Partnercontrolsince 01/2024 · owns 25% to 50%
- C••••• S••••••• L••••• · Chief Compliance Officer And Chief Operating Officercontrolsince 04/2024 · owns less than 5%
- R••••• A•••• R••• · Managing Partner & Limited Partnercontrolsince 01/2024 · owns 25% to 50%
Entity owners
- S••••• S••••• C•••••• G• 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 Mar 2, 2026RAUM (Item 5.F) moved from $293,000,000 to $555,900,000 (+90.0%) between the annual amendments of 2025-03-28 and 2026-03-02; the peer median change was +8.0% (672 comparable advisers, 94.0th percentile of changes)peers: asset managers, $500M to $1B (672) · 94% percentile
What changed
consecutive filings, newest first
- Advisory employees · 2 to 3Mar 28, 2025 to Mar 2, 2026
- Assets in custody · $293M to $458MMar 28, 2025 to Mar 2, 2026
- Employees · 3 to 4Mar 28, 2025 to Mar 2, 2026
- Discretionary RAUM · $293M to $556MMar 28, 2025 to Mar 2, 2026
- Pooled vehicle RAUM · $293M to $556MMar 28, 2025 to Mar 2, 2026
- RAUM · $293M to $556MMar 28, 2025 to Mar 2, 2026
Signals
1 dated events
- S••••• S••••• C•••••• L• reported RAUM $555.9M, up 90% from $293.0M (2025-03-28 to 2026-03-02)Mar 2, 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
- Principal office phone
- (646) 416-9712reportedpublic record, Form ADV, Mar 2, 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