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••••••••• P•••••••• M••••••••• L••••

Former SEC-registered adviserStamford, ConnecticutCRD 108756SEC 801-57495IAPD
Latest filing Jan 8, 2019
First filing on the tape Mar 27, 2012 · 18 filings
RAUM
$6.0B
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
31
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
6
$6.0B gross assets
History
18 filings and snapshots on the tape
RAUM$6.0B as of Mar 30, 2018
Mar 27, 2012$3.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2018
Mar 26, 20130 then
Employees (5.A)31 as of Mar 30, 2018
Mar 26, 201341 then
Private funds6 as of Mar 30, 2018
Mar 27, 20128 then
RAUM -17% over the last fiscal year-20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 8, 2019; 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
$351MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-17%derivedbetween 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 vehiclesreportedItem 5.G
Custody
$1.8B, 3 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)
  • 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$6.0B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
17reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.8B for 3 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
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
      Every departureEvery arrival
      Private funds
      11 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M•• A••••• M••••• F•••• L•••Hedge Fund$1.9B15Mar 27, 2012
      S••••••••• S•••••••• H••••••• M••••• F•••• L•••Hedge Fund$1.8B15Mar 27, 2012
      S•• S•••• F•••• L•••••Hedge Fund$999M23Feb 24, 2016
      S•• C••• M••••• F•••• L•••Hedge Fund$706M110Mar 27, 2012
      S• S•• F•••• L•••no longer reportedHedge Fund$647M10Mar 27, 2012
      S• S•• F••• I•• L•••no longer reportedHedge Fund$638M17Mar 27, 2012
      P••••••••• M••••• F•••• L•••no longer reportedHedge Fund$373M8Mar 27, 2012
      S•• M•••• M••••• F••• L• • M••• M••••• S•••••no longer reportedHedge Fund$325M8Mar 27, 2012
      S•• M•••• M••••• F•••• L••• • R••• E••••• R••• T••••••• M••••• S•••••Hedge Fund$303M19Mar 30, 2016
      S•• O••••••••• M••••• F•••• L•••Hedge Fund$297M85Mar 27, 2012
      S•• S••••• L•••no longer reportedHedge Fund$125M1Mar 26, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• D•••••• I•• · Executive Chairman (Spm, Spm III, Spm P•••••••)control
        since 04/2017 · owns less than 5%
      • C•••• K••••••• D••• · Chief Executive Officer (Spm, Spm III, Spm P•••••••)control
        since 04/2017 · owns less than 5%
      • E••••••• S••••••• C•••• · Chief Compliance Officer (Spm, Spm III, Spm P•••••••)control
        since 04/2015 · owns less than 5%
      • H••••• M••• · Chief R••• Officer (Spm, Spm P•••••••, Spm III)control
        since 10/2008 · owns less than 5%
      • M••• W••••••• L•••• · Managing Director/Chief Investment Officer (Spm, Spm P•••••••, Spm III)control
        since 02/2003 · owns less than 5%
      • R••••••• T••••••• J••• Y••• · Managing Director (Spm III)control
        since 03/2011 · owns 5% to 10%
      • W•• A••••• · Chief Financial Officer (Spm, Spm P•••••••, Spm III)control
        since 03/2017 · owns less than 5%
      • B••••••••• D•••••• I•• · Managing Membercontrol
        since 10/1996 · owns 50% to 75% of U•••• S••• A••••••••• L•••••
      • C•••• K••••••• D••• · Manager/Member/Ownercontrol
        since 06/2007 · owns 75% or more of S••••••••• A••••••••• L••
      Entity owners
      • S••••••••• A••••••••• L•• · Owner Of Class B Interest (Spm, Spm III)
        direct · owns 75% or more
      • S••••••••• P•••••••• L••••• · Member/Manager (Spm)
        direct · owns 25% to 50%
      • S••••••••• P•••••••• M••••••••• L•••• · Owner/Member/Manager (Spm III, Spm P•••••••)
        direct · owns 75% or more
      • U•••• S••• A••••••••• L••••• · Member/Manager (Spm)
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • S•• I••• L•••••
        investment adviserbanky
      • S•• P•••••••• L•••••
        investment adviserbanky
      • S••••••••• S•••••••• T••••••••• G••••• L•••••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 18 to 17
        Jul 11, 2017 to Mar 30, 2018
      • Advisory employees · 11 to 9
        Jul 11, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 17.0
        Jul 11, 2017 to Mar 30, 2018
      • Assets in custody · $2.1B to $1.8B
        Jul 11, 2017 to Mar 30, 2018
      • Employees · 35 to 31
        Jul 11, 2017 to Mar 30, 2018
      • Other offices · unset to 1.0
        Jul 11, 2017 to Mar 30, 2018
      • Private funds · 7 to 6
        Jul 11, 2017 to Mar 30, 2018
      • Discretionary RAUM · $7.2B to $6.0B
        Jul 11, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 5972530042.0
        Jul 11, 2017 to Mar 30, 2018
      • RAUM · $7.2B to $6.0B
        Jul 11, 2017 to Mar 30, 2018
      • Accounts · 16 to 18
        Mar 30, 2016 to Mar 31, 2017
      • Advisory employees · 15 to 11
        Mar 30, 2016 to Mar 31, 2017
      • Assets in custody · $3.2B to $2.1B
        Mar 30, 2016 to Mar 31, 2017
      • Employees · 44 to 35
        Mar 30, 2016 to Mar 31, 2017
      • Private funds · 8 to 7
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $8.9B to $7.2B
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $8.9B to $7.2B
        Mar 30, 2016 to Mar 31, 2017
      • Accounts · 17 to 16
        Feb 24, 2016 to Mar 30, 2016
      • Assets in custody · $4.2B to $3.2B
        Feb 24, 2016 to Mar 30, 2016
      • Employees · 45 to 44
        Feb 24, 2016 to Mar 30, 2016
      • Private funds · 7 to 8
        Feb 24, 2016 to Mar 30, 2016
      • Discretionary RAUM · $11B to $8.9B
        Feb 24, 2016 to Mar 30, 2016
      • RAUM · $11B to $8.9B
        Feb 24, 2016 to Mar 30, 2016
      • Private funds · 6 to 7
        Jun 16, 2015 to Feb 24, 2016
      • Private funds · 7 to 6
        May 8, 2015 to Jun 16, 2015
      • Accounts · 18 to 17
        Feb 26, 2015 to Mar 27, 2015
      • Advisory employees · 12 to 15
        Feb 26, 2015 to Mar 27, 2015
      • Assets in custody · $3.8B to $4.2B
        Feb 26, 2015 to Mar 27, 2015
      • Employees · 44 to 45
        Feb 26, 2015 to Mar 27, 2015
      • Private funds · 8 to 7
        Feb 26, 2015 to Mar 27, 2015
      • Discretionary RAUM · $10B to $11B
        Feb 26, 2015 to Mar 27, 2015
      • RAUM · $10B to $11B
        Feb 26, 2015 to Mar 27, 2015
      • Accounts · 21 to 18
        Jul 15, 2013 to Mar 28, 2014
      • Advisory employees · 11 to 12
        Jul 15, 2013 to Mar 28, 2014
      • Assets in custody · $5.1B to $3.8B
        Jul 15, 2013 to Mar 28, 2014
      • Employees · 41 to 44
        Jul 15, 2013 to Mar 28, 2014
      • Discretionary RAUM · $12B to $10B
        Jul 15, 2013 to Mar 28, 2014
      • RAUM · $12B to $10B
        Jul 15, 2013 to Mar 28, 2014
      • Advisory employees · 7 to 11
        Nov 21, 2012 to Mar 26, 2013
      • Assets in custody · $3.0B to $5.1B
        Nov 21, 2012 to Mar 26, 2013
      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.
      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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026