DFX Intelligence

S•••• C•••••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 10b 100b

S•••• C•••••• M••••••••• L••

CRD 137610

ARLINGTON, VA

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Search this name across graphsid dfx:ria:39964173-51ab-d3c5-795b-6822d62f2938

Data as of Jul 28, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 36
Dated events: 12
On other graphs: 1
Observed: Mar 29, 2012 to Jul 28, 2026
50 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Independent Sponsorsidentity

S•••• C•••••• M••••••••• L••

Capital provider to sponsors · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: other adviserderivedprivate_client_share=0.01 fund_share=0.58 institutional_share=0.32 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $44B••• Locked
Discretionary RAUM: $44B
Private client RAUM: $587Mderived••• Locked
Private client share: 1%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 182

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•••• C•••••• E••••••• M•••••• G••••• M••••• F•••• L•••	Other Private Fund	$751M	Nov 7, 2024	66	Oct 15, 2014	reported	021-226383
S•••• C•••••• I••••••••• G••••• M••••• F•••• L•••	Other Private Fund	$41.9M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
2••• E•••• H••••••• L••	Member	E	yes	12/2023	Mar 27, 2024	Nov 7, 2024
C••••••••• B••••• A•••	EXECUTIVE MANAGING DIRECTOR, SR. PORTFOLIO MANAGER, RESEARCH ANALYST	Na	yes	07/2018	Jul 10, 2018	Nov 7, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••• C•••••• V•••••••• L••	n/a	Asset manager	$5.4B	N	yes	n/a
S•••• C•••••• E••••••• M•••••• G••••• F•••••• L••••••	n/a	n/a	n/a	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	2	no
SAN JUAN	Pr	United States	1	no
FITZROVIA LONDON	n/a	United Kingdom	1	no
INCLINE VILLAGE	Nv	United States	0	no
NEW YORK	NY	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$44B	$45B	-1.9%	$39B	4.4%	182	177	5	6

Relationships

Affiliated with (2)

→ S•••• C•••••• A••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← S•••• C•••••• A••••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV

Advises (3)

→ S•••• C•••••• T••• F•••• L•••Private fundOther Private Fund, IA
Mar 29, 2021 to presentfactForm ADV
→ S•••• C•••••• I••••••••• G••••• M••••• F•••• L•••

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Apr 23, 2024
Control person joined
Phillip Andrew Giordano (Executive Managing Director, Business Development And Client Relations) appeared on Schedule A of S•••• C•••••• M••••••••• L••
Form ADVobserved 7 days ago
Occurred
Apr 23, 2024
Control person joined
Franz Michael Raab (Executive Managing Director, Director Of Research, Portfolio Manager, Sr. Research Analyst) appeared on Schedule A of S•••• C•••••• M••••••••• L••
Form ADVobserved 7 days ago
Occurred
Mar 27, 2024
Control person left
Campbell Luke Iglehart (Executive Managing Director, Client And Consultant Relations) no longer on Schedule A of S•••• C•••••• M••••••••• L•• (listed 2024-02-06, absent 2024-03-27)
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:39964173-51ab-d3c5-795b-6822d62f2938
First observed: Mar 29, 2012
Last observed: Jul 28, 2026 56 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

Controls (17)

← L•••••••• D••••• E•••••OwnerEXECUTIVE MANAGING DIRECTOR, SR. PORTFOLIO MANAGER, RESEARCH ANALYST, ownership code NA, individual
Mar 31, 2015 to Nov 7, 2024factForm ADV
← S••••• F••••• M•••••••OwnerMANAGER, ownership code F, individual
Mar 29, 2012 to Nov 7, 2024factForm ADV
← M•••••••• D•••• M••••OwnerEXECUTIVE MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER, ownership code NA, individual
Jul 1, 2014 to Nov 7, 2024factForm ADV
← G•••••••• A•••••• P••••••OwnerEXECUTIVE MANAGING DIRECTOR, BUSINESS DEVELOPMENT AND CLIENT RELATIONS, ownership code NA, individual
Apr 23, 2024 to Nov 7, 2024factForm ADV
← G••••••• J•••••••• P•••OwnerGENERAL COUNSEL AND SECRETARY, ownership code NA, individual
Jul 1, 2014 to Nov 7, 2024factForm ADV
← W•••••••• T•••••• P••••OwnerPRESIDENT, ownership code NA, individual
Mar 31, 2015 to Nov 7, 2024factForm ADV
← R•••• M••••••• F••••OwnerEXECUTIVE MANAGING DIRECTOR, DIRECTOR OF RESEARCH, PORTFOLIO MANAGER, SR. RESEARCH ANALYST, ownership code NA, individual
Apr 23, 2024 to Nov 7, 2024factForm ADV
← N••••• S••••••• F•••OwnerEXECUTIVE MANAGING DIRECTOR, BUSINESS DEVELOPMENT AND CLIENT RELATIONS, ownership code NA, individual
Mar 31, 2015 to Nov 7, 2024factForm ADV
← C••••••••• B••••• A•••OwnerEXECUTIVE MANAGING DIRECTOR, SR. PORTFOLIO MANAGER, RESEARCH ANALYST, ownership code NA, individual
Jul 10, 2018 to Nov 7, 2024factForm ADV
← R••••••••• I••• W•OwnerEXECUTIVE MANAGING DIRECTOR, EXECUTIVE MANAGING PARTNER, ownership code NA, individual
Sep 23, 2021 to Nov 7, 2024factForm ADV
← 2••• E•••• H••••••• L••OwnerMEMBER, ownership code E, domestic entity
Mar 27, 2024 to Nov 7, 2024factForm ADV
← F•••• M• S••••• J•• R•••••••• T••••OwnerMEMBER, ownership code C, domestic entity
Dec 20, 2021 to Nov 7, 2024factForm ADV
← S•••• C•••••• M••••••••• L•OwnerMEMBER, ownership code E, domestic entity
Mar 29, 2021 to Nov 7, 2024factForm ADV
← S•••• F••••• T••••• L••OwnerGENERAL PARTNER, ownership code F, domestic entity
Mar 29, 2012 to Nov 7, 2024factForm ADV
← S•••• D••••• T•••• C••••••• L••OwnerTRUSTEE, ownership code F, domestic entity
Mar 27, 2024 to Nov 7, 2024factForm ADV
← X••••••• T••••OwnerMEMBER, ownership code D, domestic entity
Mar 27, 2024 to Nov 7, 2024factForm ADV
← X•••••••• L••OwnerPARTNER, ownership code C, domestic entity
Mar 27, 2024 to Nov 7, 2024factForm ADV