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•••••• C•••••• M••••••••• L•
Latest filing May 26, 2026
First filing on the tape Dec 26, 2025 · 3 filings
SEC status approved since Jan 26, 2026
RAUM
$4.3B
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
13
10 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
2
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$4.3B as of May 26, 2026
Dec 26, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 26, 2026
Dec 26, 20250 then
Employees (5.A)13 as of May 26, 2026
Dec 26, 20252 then
Private funds: 2
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 26, 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
- $1.4BderivedRAUM 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
- unknownderived3 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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $107M, 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
- 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)
- 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$3.5B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $107M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.82 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
- L•••• K••••• K••••• · Chief Compliance Counselcontrolsince 03/2026 · owns less than 5%
- M•••••• J•••• A••••• · Chief Operating Officercontrolsince 12/2025 · owns less than 5%
- S••••••••• A•••• J••••• · Chief Investmentcontrolsince 10/2025 · owns less than 5%
Entity owners
- S•••••• C•••••• M••••••••• G• · 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
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing May 26, 2026advises private funds (Item 7.B): no on the filing of 2026-04-01, yes on the filing of 2026-05-26peers: asset managers, $1B to $5B (1,506)
- custody status changedChange between filings · filing May 26, 2026custody of client assets (Item 9.A): no on the filing of 2026-04-01, yes on the filing of 2026-05-26peers: asset managers, $1B to $5B (1,506)
What changed
consecutive filings, newest first
- Accounts · 0 to 3Apr 1, 2026 to May 26, 2026
- Advisory employees · 1 to 10Apr 1, 2026 to May 26, 2026
- Advisory activities · 1 to 2Apr 1, 2026 to May 26, 2026
- Pooled vehicle clients · unset to 2.0Apr 1, 2026 to May 26, 2026
- Assets in custody · unset to 106567265.0Apr 1, 2026 to May 26, 2026
- Custody of client assets · false to trueApr 1, 2026 to May 26, 2026
- Employees · 2 to 13Apr 1, 2026 to May 26, 2026
- Other offices · 0 to 2Apr 1, 2026 to May 26, 2026
- Private funds · unset to 2Apr 1, 2026 to May 26, 2026
- Discretionary RAUM · $0 to $4.3BApr 1, 2026 to May 26, 2026
- Pooled vehicle RAUM · unset to 3490262577.0Apr 1, 2026 to May 26, 2026
- RAUM · $0 to $4.3BApr 1, 2026 to May 26, 2026
- Related adviser · false to trueApr 1, 2026 to May 26, 2026
Signals
No event on the tape.
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
- 212-516-4765reportedpublic record, Form ADV, May 26, 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