DFX Intelligence

S•••••• E••••• P•••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

S•••••• E••••• P•••••••

S•••••• K••••••• M••••••••• C••••••• L••, CRD 156909

MARINA DEL REY, CA

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Search this name across graphsid dfx:ria:80acd597-788c-c344-b0b6-7149d0aea820

Data as of Jul 7, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 35
Dated events: 5
On other graphs: 2
Observed: Feb 9, 2012 to Jul 7, 2026
24 observations

Across DFX

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

Private Equityidentity

S•••••• K••••••• M••••••••• C••••••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

S•••••• E••••• P•••••••

Capital provider to sponsors · shared crd

Facts

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

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $5.9B••• Locked
Discretionary RAUM: $5.9B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 41

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•••••• E••••• P••••••• V•• L•••	Private Equity Fund	$1.1B	Mar 29, 2024	158	Nov 7, 2017	reported	021-298260
S•••••• E••••• P••••••• V••• L•••	Private Equity Fund	$895M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
J••• J••••••• S••••	CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER	Na	yes	06/2007	Feb 9, 2012	Mar 29, 2024
K•••••••• E•••• R•••••	Member	B	yes	12/2003	Feb 9, 2012	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
O•••••• G•• L••	n/a	n/a	n/a	N	yes	n/a
S•••••• A•••••••• I• G•• L•••	n/a	n/a	n/a	N	yes	n/a
S•••••• A•••••••• I• G•• L•••	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Sydney	n/a	Australia	6	no

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	$5.9B	$5.9B	0.7%	$3.6B	18.2%	41	43	1	1

Relationships

Advises (30)

→ L•••••••• H••••••• L•Private fundPrivate Equity Fund, IA
Mar 29, 2023 to presentfactForm ADV
→ S•••••• E••••• A•••••••• I•• L•••Private fundPrivate Equity Fund, IA
Mar 30, 2022 to presentfactForm ADV
→ SEP V HL HOLDINGS II, L.P.Private fundPrivate Equity Fund, IA
Mar 29, 2019 to presentfactForm ADV
→ SEP V HL HOLDINGS, L.P.

Dated events

Occurred
Mar 29, 2024
Regulatory AUM changed
S•••••• E••••• P••••••• reported RAUM $5.1B, up 42% from $3.6B (2023-03-29 to 2024-03-29)
Form ADVobserved 7 days ago
$1.5B
Occurred
Mar 29, 2024
Control person left
Peter S•••••• (Member) no longer on Schedule A of S•••••• E••••• P••••••• (listed 2023-03-29, absent 2024-03-29)
Form ADVobserved 7 days ago
Occurred
Mar 29, 2023
Control person joined
A•••• S••• M•••••••• (Chief Legal Officer) appeared on Schedule A of S•••••• E••••• P•••••••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:80acd597-788c-c344-b0b6-7149d0aea820
First observed: Feb 9, 2012
Last observed: Jul 7, 2026 2 months 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.