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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S••••••••• I••••••••• I••••••••
Legal name S••••••••• I••••••••• I•••••••• L••
Latest filing Jun 16, 2026
First filing on the tape Mar 2, 2012 · 20 filings
SEC status approved since Apr 28, 1995
RAUM
$39B
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
32
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
7
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$39B as of Jun 16, 2026
Apr 27, 2012$26B then
HNW client RAUM$0 as of Jun 16, 2026
May 31, 2018$0 then
State-registered IARs (5.B.3)0 as of Jun 16, 2026
Apr 27, 20120 then
Employees (5.A)32 as of Jun 16, 2026
Jun 21, 201328 then
Private funds7 as of Jun 16, 2026
Apr 27, 20125 then
RAUM -4.2% over the last fiscal year-3.9% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Jun 16, 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
- $5.5BderivedRAUM 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
- -5.7%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$39B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••••• I••••••••• I•••••••• I••••••••• V•••• E••••• T•••• | Other Private Fund | $20B | 358 | Mar 2, 2012 |
| S••••••••• I••••••••• I•••••••• I••••••••• V•••• E••••• G•••• T•••• | Other Private Fund | $8.8B | 72 | Mar 2, 2012 |
| S••••••••• I••••••••• I•••••••• I••••••••• V•••• E••••• T•••••• T•••• | Other Private Fund | $7.1B | 173 | Mar 2, 2012 |
| S••••••••• I••••••••• I•••••••• I••••••••• V•••• E••••• E•••••••• T•••• | Other Private Fund | $2.0B | 68 | May 13, 2022 |
| C•••••• A•••• A••••••••• L••no longer reported | Other Private Fund | $411M | 6 | Mar 2, 2012 |
| S••••••••• I••••••••• I•••••••• T•••••• F••• I••••••••• V•••• E••••• T•••• | Other Private Fund | $0 | 0 | Mar 2, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• R••••••• K• · Business Supervisory Groupcontrolsince 04/2020 · owns less than 5%
- L••••••• T••••••• J••• · Business Supervisory Group And Chief Compliance Officercontrolsince 11/2010 · owns less than 5%
- M••••••••• H•••• I•• · Business Supervisory Groupcontrolsince 10/2023 · owns less than 5%
- P•••••• F••••• · Business Supervisory Groupcontrolsince 04/2022 · owns less than 5%
- B•••• S••••••• C•••••• · Directorcontrolsince 05/2016 · owns F of S••••••••• C••••••••• L••••••
- B•••• S••••••• C•••••• · Director & Shareholdercontrolsince 04/1995 · owns 50% to 75% of S••••••••• P••••••• L••••••
- L• P•• D• L••••• B••••••• · Director & Shareholdercontrolsince 10/2023 · owns F of S••••••••• P••••••• L••••••
- L• P•• D• L••••• B••••••• · Director & Shareholdercontrolsince 10/2023 · owns F of S••••••••• C••••••••• L••••••
- L••••••• T••••••• J••• · Director & Shareholdercontrolsince 04/2011 · owns F of S••••••••• P••••••• L••••••
- L••••••• T••••••• J••• · Director & Shareholdercontrolsince 05/2016 · owns F of S••••••••• C••••••••• L••••••
Entity owners
- S••••••••• C••••••••• L•••••• · L•••••• Partnerdirect · owns 75% or more
- S••••••••• P••••••• L•••••• · Shareholderindirect · owns 75% or more of S••••••••• C••••••••• L••••••
Related persons
Schedule D 7.A
- C••• A•• A•••• M•••••••••investment adviserbankpooled vehicle sponsornRAUM $3.8B
- C••••••••• G••••• I••••••••investment adviserbankpooled vehicle sponsornRAUM $27B
- E•••••••• I••••••••• P•••••••investment adviserbankpooled vehicle sponsornRAUM $944M
- H•••••••••investment adviserbankpooled vehicle sponsornRAUM $935M
- H•••••••• I••••••••• I••••••••investment advisernRAUM $742M
- K••••••• P•••••••investment adviserbankpooled vehicle sponsornRAUM $1.3B
- N••••• V•••• I••••••••investment adviserbankpooled vehicle sponsornRAUM $591M
Advisers that list S••••••••• I••••••••• I•••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 33 to 32Apr 11, 2025 to Jun 16, 2026
- Private funds · 4 to 7Apr 11, 2025 to Jun 16, 2026
- Discretionary RAUM · $38B to $39BApr 11, 2025 to Jun 16, 2026
- Pooled vehicle RAUM · $38B to $39BApr 11, 2025 to Jun 16, 2026
- RAUM · $38B to $39BApr 11, 2025 to Jun 16, 2026
- Employees · 30 to 33Jun 17, 2024 to Apr 11, 2025
- Financial planning clients · unset to Jun 17, 2024 to Apr 11, 2025
- HQ state · unset to Jun 17, 2024 to Apr 11, 2025
- Other offices · 0 to 1Jun 17, 2024 to Apr 11, 2025
- Discretionary RAUM · $43B to $38BJun 17, 2024 to Apr 11, 2025
- Pooled vehicle RAUM · $43B to $38BJun 17, 2024 to Apr 11, 2025
- RAUM · $43B to $38BJun 17, 2024 to Apr 11, 2025
- Accounts · 5 to 7Oct 16, 2023 to Jun 17, 2024
- Advisory employees · 10 to 12Oct 16, 2023 to Jun 17, 2024
- Pooled vehicle clients · 5 to 7Oct 16, 2023 to Jun 17, 2024
- Employees · 25 to 30Oct 16, 2023 to Jun 17, 2024
- Private funds · 5 to 4Oct 16, 2023 to Jun 17, 2024
- Discretionary RAUM · $40B to $43BOct 16, 2023 to Jun 17, 2024
- Pooled vehicle RAUM · $40B to $43BOct 16, 2023 to Jun 17, 2024
- RAUM · $40B to $43BOct 16, 2023 to Jun 17, 2024
- Accounts · 6 to 5May 13, 2022 to Jun 12, 2023
- Pooled vehicle clients · 6 to 5May 13, 2022 to Jun 12, 2023
- Discretionary RAUM · $42B to $40BMay 13, 2022 to Jun 12, 2023
- Pooled vehicle RAUM · $42B to $40BMay 13, 2022 to Jun 12, 2023
- RAUM · $42B to $40BMay 13, 2022 to Jun 12, 2023
- Accounts · 5 to 6Apr 20, 2021 to May 13, 2022
- Pooled vehicle clients · 5 to 6Apr 20, 2021 to May 13, 2022
- Employees · 24 to 25Apr 20, 2021 to May 13, 2022
- Private funds · 4 to 5Apr 20, 2021 to May 13, 2022
- Discretionary RAUM · $43B to $42BApr 20, 2021 to May 13, 2022
- Pooled vehicle RAUM · $43B to $42BApr 20, 2021 to May 13, 2022
- RAUM · $43B to $42BApr 20, 2021 to May 13, 2022
- Employees · 25 to 24Apr 21, 2020 to Apr 20, 2021
- Discretionary RAUM · $32B to $43BApr 21, 2020 to Apr 20, 2021
- Pooled vehicle RAUM · $32B to $43BApr 21, 2020 to Apr 20, 2021
- RAUM · $32B to $43BApr 21, 2020 to Apr 20, 2021
- Advisory employees · 8 to 10May 17, 2019 to Apr 21, 2020
- Employees · 23 to 25May 17, 2019 to Apr 21, 2020
- Discretionary RAUM · $39B to $32BMay 17, 2019 to Apr 21, 2020
- Pooled vehicle RAUM · $39B to $32BMay 17, 2019 to Apr 21, 2020
Signals
6 dated events
- Ian Hugh Mccaffrey (Business Supervisory Group) appeared on Schedule A of S••••••••• I••••••••• I••••••••Oct 16, 2023 · Control person joined · fact
- Bertrand Le Pan De Ligny (Director & Shareholder) appeared on Schedule A of S••••••••• I••••••••• I••••••••Oct 16, 2023 · Control person joined · fact
- John Julian Michael Cowan (Director & Shareholder) no longer on Schedule A of S••••••••• I••••••••• I•••••••• (listed 2023-06-12, absent 2023-10-16)Oct 16, 2023 · Control person left · inference
- Farias Parakh (Business Supervisory Group) appeared on Schedule A of S••••••••• I••••••••• I••••••••May 13, 2022 · Control person joined · fact
- S••••••••• I••••••••• I•••••••• reported RAUM $43.5B, up 35% from $32.3B (2020-04-21 to 2021-04-20)Apr 20, 2021 · RAUM change · derived
- K Raymond Cheung (Supervisory Group) appeared on Schedule A of S••••••••• I••••••••• I••••••••Apr 21, 2020 · Control person joined · fact
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
- Website
- S•••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 011-44207-518-7100reportedpublic record, Form ADV, Jun 16, 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