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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

S••••••••• P••••••••• L••

CRD 323132

NEW YORK, NY

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Search this name across graphsid dfx:ria:ac4ad0d6-0297-6d65-99de-8fcdb45f514a

Data as of Mar 29, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 1
Observed: Jun 30, 2023 to Mar 29, 2024
3 observations

Across DFX

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

Private Equityidentity

S••••••••• P••••••••• L••

Intermediary · shared crd

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $102MItem 5.F on the latest filing (2024-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $102M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•••• A•••• B• P•••••••• L•	Hedge Fund	$10.0M	Jun 30, 2023	1	Jun 30, 2023	reported	021-465535
F••••••••• S••••• A••••••• A•••• L•• L•	Hedge Fund	$5.4M

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••••• A•••••	MAJORITY MEMBER	E	yes	03/2022	Jun 30, 2023	Mar 29, 2024
F•••••••• A•••••	MANAGER & CHIEF EXECUTIVE OFFICER	Na	yes	03/2022	Jun 30, 2023

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••••••• P••••••••• C•••••• P••••••• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Mar 29, 2024	$102M	$102M	2	1	0	1	$5.4M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$102M	n/a	n/a	n/a	n/a	2	n/a	0	n/a

Relationships

Advises (2)

→ F••••••••• S••••• A••••••• A•••• L•• L•Private fundHedge Fund, IA
Jun 30, 2023 to presentfactForm ADV
→ C•••• A•••• B• P•••••••• L•Private fundHedge Fund, IA
Jun 30, 2023 to presentfactForm ADV

Controls (3)

← F•••••••• A•••••OwnerMAJORITY MEMBER, ownership code E, individual
Jun 30, 2023 to presentfactForm ADV
← O••• D••••• E••••••Owner

Dated events

Occurred
May 2, 2025
Left the SEC roster
S••••••••• P••••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $102.3M)
Form ADVobserved 7 days ago
$102M
Occurred
Jun 30, 2023
First Form ADV filing
S••••••••• P••••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ac4ad0d6-0297-6d65-99de-8fcdb45f514a
First observed: Jun 30, 2023
Last observed: Mar 29, 2024 30 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.