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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Former SEC-registered adviser

S•••••• C•••••• L••

Former SEC-registered adviserCRD 333468SEC 801-131440websiteIAPD
Latest filing Jan 21, 2025
First filing on the tape Oct 9, 2024 · 4 filings
SEC status 120-day approval since Nov 20, 2024
RAUM
$26.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
79%
$20.5M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$13.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$26.0M as of Jan 21, 2025
Oct 9, 2024$26.0M then
HNW client RAUM$18.5M as of Jan 21, 2025
Oct 9, 2024$18.5M then
State-registered IARs (5.B.3)2 as of Jan 21, 2025
Oct 9, 20242 then
Employees (5.A)2 as of Jan 21, 2025
Oct 9, 20242 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 21, 2025; every figure names its basis
RAUM per advisor
$13.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
10derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
21%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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 individuals, portfolio management for businesses and institutionsreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$18.5M71%
  • Charitable organizations$5.5M21%
  • Individuals$2.0M7.7%
Individual clients
6reported
HNW clients
13reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
20reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
C••••••• D•••••Chartered Financial AnalystChicago, IlNov 20, 202412 y2
F•••••• E•••••••• T••••Chartered Financial AnalystChicago, IlDec 8, 202434 y3
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • D•••••• C••••••• · Portfolio Manager, Foundercontrol
      since 05/2024 · owns 50% to 75%
    • T••••• F••••••• E•••••••• · Cco, Portfolio Manager, Foundercontrol
      since 05/2024 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Chicago, Il200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • HQ city · unset to
      Nov 20, 2024 to Jan 21, 2025
    • HQ state · unset to
      Nov 20, 2024 to Jan 21, 2025
    • Related adviser · true to false
      Nov 20, 2024 to Jan 21, 2025
    • Related adviser · false to true
      Oct 9, 2024 to Nov 18, 2024
    Signals
    2 dated events
    • S•••••• C•••••• L•• no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $26.0M)
      Mar 6, 2025 · Left the SEC roster · derived
    • S•••••• C•••••• L•• filed its initial SEC registration (Form ADV)
      Oct 9, 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
    sankotacapital.comreportedpublic record, Form ADV, Sep 18, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $13.0Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026