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••••••• C•••••• M••••••••• I•••
Latest filing Jul 15, 2026
First filing on the tape Mar 29, 2012 · 28 filings
SEC status approved since Sep 6, 1985
RAUM
$35B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.2%
$74.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
146
50 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
14
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$35B as of Jul 15, 2026
Sep 27, 2012$22B then
HNW client RAUM$74.8M as of Jul 15, 2026
Sep 28, 2018$251M then
State-registered IARs (5.B.3)0 as of Jul 15, 2026
Sep 26, 20130 then
Employees (5.A)146 as of Jul 15, 2026
Sep 26, 201397 then
Private funds14 as of Jul 15, 2026
Sep 27, 201211 then
RAUM +14% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 15, 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
- $18.7MderivedHNW RAUM over HNW clients
- Average account
- $203MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 54%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -69%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, publicationsreportedItem 5.G
- Custody
- $7.1B, 29 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$9.0B26%
- State and municipal entities$8.2B23%
- Insurance companies$6.5B19%
- Corporations and businesses$4.9B14%
- Pension and profit-sharing plans$3.2B9.0%
- Investment companies$2.1B6.0%
- Charitable organizations$1.1B3.2%
- High-net-worth individuals$74.8M0.2%
- Sovereign wealth funds$16.3M0.0%
- Individual clients
- 0reported
- HNW clients
- 4reported
- Pension plan clients
- 25reported
- Charitable clients
- 17reported
- Accounts
- 173reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $7.1B for 29 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.32 institutional_share=0.54 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
26 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F••• P••••• M••••••••• M••••• F•••• I••• | Hedge Fund | $1.4B | 25 | Mar 29, 2012 |
| P••••• H••• Y•••• B••• F•••• L••• | Other Private Fund | $1.1B | 40 | Mar 29, 2012 |
| S••••••• M••••••••• C••••• M••••• F••• | Other Private Fund | $930M | 24 | Feb 24, 2022 |
| S••••••• O••••••••• C••••• M••••• F••• L• | Hedge Fund | $496M | 81 | Sep 28, 2018 |
| W••••••••• M••• C•• L••no longer reported | Other Private Fund | $488M | 3 | Sep 26, 2014 |
| S••••••• T••••••• C••••• M••••• F••• L• | Hedge Fund | $444M | 105 | Sep 27, 2019 |
| J•••••••• M••• C•• L••• | Securitized Asset Fund | $372M | 3 | Sep 28, 2015 |
| S••••••• C•• O••••••••• M••••• F••• I• L• | Other Private Fund | $232M | 42 | Sep 28, 2023 |
| P••••• S•• L•••••••• L••• F••• L•••no longer reported | Hedge Fund | $219M | 1 | Mar 29, 2012 |
| G•••• C••••••••• F•••• L•••no longer reported | Hedge Fund | $64.0M | 11 | Mar 29, 2012 |
| P••••• S•• H••• Y•••• F••• L•••no longer reported | Hedge Fund | $54.4M | 2 | Mar 29, 2012 |
| C••••• F••••••• R••• F•••• L••• | Other Private Fund | $35.2M | 6 | Mar 29, 2012 |
| P••••• S•• D••••••••• D••• F••• L••no longer reported | Hedge Fund | $25.7M | 1 | Mar 29, 2012 |
| B••••• H••• I••••• F•••• L•••no longer reported | Other Private Fund | $18.4M | 8 | Mar 29, 2012 |
| F•••••• R••••••• M••••• F•••• I•••no longer reported | Hedge Fund | $17.4M | 12 | Mar 29, 2012 |
| P• S•• E••••• H• L••• | Hedge Fund | $9.7M | 3 | Sep 28, 2015 |
| S••••••• S••••••••• C••••• M••••• F••• L•••no longer reported | Hedge Fund | $6.9M | 8 | Sep 27, 2016 |
| F••• P•••• C••••••••• F•••• L•••no longer reported | Hedge Fund | $6.0M | 11 | Sep 26, 2014 |
| V••••• A•••••••• F•••• L•••no longer reported | Hedge Fund | $5.1M | 18 | Sep 27, 2012 |
| S••••••• E••••• O••••••••• M••••• F••• L•••no longer reported | Hedge Fund | $2.3M | 22 | Sep 28, 2015 |
| A•••• M••• C•• L••• | Securitized Asset Fund | $280,508 | 4 | Sep 26, 2014 |
| W•••••••• C•• L••no longer reported | Other Private Fund | $273,147 | 9 | Mar 29, 2012 |
| S•••••• M••• C•• L••• | Securitized Asset Fund | $247,874 | 4 | Sep 26, 2014 |
| J•••••• M••• C•• L••• | Securitized Asset Fund | $231,900 | 4 | Sep 28, 2015 |
| S••••• M••• L••• F•••• L•••no longer reported | Securitized Asset Fund | $58,482 | 20 | Sep 27, 2012 |
| S••••••• M••••••••• C••••• V••••• S•••••••• M••••• F••• | Other Private Fund | $0 | 0 | Sep 26, 2024 |
Owners and control persons
Schedule A and B, latest filing
- K•••••• A•••• S•••• · Vice Chairmancontrolsince 09/2013 · owns less than 5%
- M•••••••• D•••••• J•••• · Chief Operating Officercontrolsince 03/2022 · owns less than 5%
- R••••••••• V•••••• M•• · Directorcontrolsince 01/1990 · owns less than 5%
- S••••••• N•••• A•••••• · Chief Financial Officercontrolsince 07/2020 · owns less than 5%
- S•••••••• M•••• R••••• · President; Director; Trusteecontrolsince 07/1985 · owns 50% to 75%
- S•••••• J•••••• W••••• · Executive Vice President; Trusteecontrolsince 06/2015 · owns 10% to 25%
- T•••••• G•••••• P••• · Directorcontrolsince 12/2022 · owns less than 5%
- T••••••••• S••••• N•• · General Counsel; Chief Compliance Officercontrolsince 02/2017 · owns less than 5%
- W•••••••• J••••• D•••• · Directorcontrolsince 12/2023 · owns less than 5%
- S•••••••• M•••• R••••• · Trusteecontrolsince 08/2003 · owns F of M••• R• S••••••• R•••••••• T••••
- S•••••••• M•••• R••••• · Trusteecontrolsince 12/2012 · owns F of S••••••• F••••• 2••• T••••
- S•••••• J•••••• W••••• · Trusteecontrolsince 12/2012 · owns F of S••••••• F••••• 2••• T••••
Entity owners
- M••• R• S••••••• R•••••••• T•••• · Shareholderdirect · owns 50% to 75%
- S••••••• F••••• 2••• T•••• · Shareholderdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- R••••• C•• A••••••• L••investment advisern
- R••••• C•• V••••••• L••pooled vehicle sponsorn
- R••••• C••••• A••••••• L•investment advisern
- S•• I••••••••• I• L••pooled vehicle sponsorn
- S••••••• C•••••• M••••••••• L••investment advisery
- S••••••• C•••••• M••••••••• L•••••pooled vehicle sponsorn
- S••••••• C•• O••••••••• G• L••pooled vehicle sponsorn
- S••••••• C•• E••••• O••••••••• F••• I• G•• L••bankn
- S••••••• M••••••••• C••••• G• L••bankpooled vehicle sponsorn
- S••••••• M••••••••• C••••• S••••• G• L••bankn
- S••••••• T••••••• C••••• G• L••bankpooled vehicle sponsorn
- S••••••• W••••••••• G• L••bankpooled vehicle sponsorn
- V••••• M• R•••••••••n
Advisers that list S••••••• C•••••• M••••••••• I••• as a related person
- 298909 n
Offices
Schedule D 1.F, the 25 largest
- Stamford, CT3 employees
- London, United Kingdom2 employees
- Boca Raton, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 155 to 173Sep 26, 2024 to Sep 26, 2025
- Advisory employees · 47 to 50Sep 26, 2024 to Sep 26, 2025
- Charity clients · 16 to 17Sep 26, 2024 to Sep 26, 2025
- Corporate clients · 11 to 10Sep 26, 2024 to Sep 26, 2025
- HNW clients · 8 to 4Sep 26, 2024 to Sep 26, 2025
- Individual clients · 5 to 0Sep 26, 2024 to Sep 26, 2025
- Pension plan clients · 27 to 25Sep 26, 2024 to Sep 26, 2025
- Pooled vehicle clients · 27 to 47Sep 26, 2024 to Sep 26, 2025
- Assets in custody · $4.1B to $7.1BSep 26, 2024 to Sep 26, 2025
- Employees · 142 to 146Sep 26, 2024 to Sep 26, 2025
- Financial planning clients · unset to Sep 26, 2024 to Sep 26, 2025
- Private funds · 13 to 14Sep 26, 2024 to Sep 26, 2025
- Discretionary RAUM · $31B to $35BSep 26, 2024 to Sep 26, 2025
- HNW RAUM · $87.4M to $74.8MSep 26, 2024 to Sep 26, 2025
- Individual RAUM · $3.0M to $0Sep 26, 2024 to Sep 26, 2025
- Pension RAUM · $2.6B to $3.2BSep 26, 2024 to Sep 26, 2025
- Pooled vehicle RAUM · $7.2B to $9.0BSep 26, 2024 to Sep 26, 2025
- RAUM · $31B to $35BSep 26, 2024 to Sep 26, 2025
- Wrap assets (manager) · 8532649.0 to unsetSep 26, 2024 to Sep 26, 2025
- Wrap assets (sponsor) · 0.0 to unsetSep 26, 2024 to Sep 26, 2025
- Accounts · 215 to 155Sep 28, 2023 to Sep 26, 2024
- Advisory employees · 44 to 47Sep 28, 2023 to Sep 26, 2024
- Charity clients · 19 to 16Sep 28, 2023 to Sep 26, 2024
- Corporate clients · 9 to 11Sep 28, 2023 to Sep 26, 2024
- HNW clients · 34 to 8Sep 28, 2023 to Sep 26, 2024
- Individual clients · 42 to 5Sep 28, 2023 to Sep 26, 2024
- Pension plan clients · 25 to 27Sep 28, 2023 to Sep 26, 2024
- Pooled vehicle clients · 25 to 27Sep 28, 2023 to Sep 26, 2024
- Assets in custody · $4.1B to $4.1BSep 28, 2023 to Sep 26, 2024
- Employees · 136 to 142Sep 28, 2023 to Sep 26, 2024
- Private funds · 12 to 13Sep 28, 2023 to Sep 26, 2024
- Discretionary RAUM · $27B to $31BSep 28, 2023 to Sep 26, 2024
- HNW RAUM · $400M to $87.4MSep 28, 2023 to Sep 26, 2024
- Individual RAUM · $23.9M to $3.0MSep 28, 2023 to Sep 26, 2024
- Pension RAUM · $2.0B to $2.6BSep 28, 2023 to Sep 26, 2024
- Pooled vehicle RAUM · $6.6B to $7.2BSep 28, 2023 to Sep 26, 2024
- RAUM · $27B to $31BSep 28, 2023 to Sep 26, 2024
- Wrap assets (manager) · $55.5M to $8.5MSep 28, 2023 to Sep 26, 2024
- Accounts · 252 to 215Oct 3, 2022 to Sep 28, 2023
- Advisory employees · 46 to 44Oct 3, 2022 to Sep 28, 2023
Signals
8 dated events
- David Jason Williams (Director) appeared on Schedule A of S••••••• C•••••• M••••••••• I•••Sep 26, 2024 · Control person joined · fact
- P••• G••••• T••••• (Director) appeared on Schedule A of S••••••• C•••••• M••••••••• I•••Sep 28, 2023 · Control person joined · fact
- Robert Mark Mitchell (Director) no longer on Schedule A of S••••••• C•••••• M••••••••• I••• (listed 2022-10-03, absent 2023-09-28)Sep 28, 2023 · Control person left · inference
- J Daniel Mangiero (Chief Operating Officer) appeared on Schedule A of S••••••• C•••••• M••••••••• I•••Sep 28, 2022 · Control person joined · fact
- Berish Dov Braun (Chief Financial Officer) no longer on Schedule A of S••••••• C•••••• M••••••••• I••• (listed 2019-10-25, absent 2020-06-30)Jun 30, 2020 · Control person left · inference
- Anthony Neil Scanlon (Chief Financial Officer) appeared on Schedule A of S••••••• C•••••• M••••••••• I•••Jun 30, 2020 · Control person joined · fact
- Deck Bradley Belt (Director) no longer on Schedule A of S••••••• C•••••• M••••••••• I••• (listed 2019-04-25, absent 2019-09-27)Sep 27, 2019 · Control person left · inference
- Robert Mark Mitchell (Director) appeared on Schedule A of S••••••• C•••••• M••••••••• I•••Sep 27, 2019 · 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
- shenkmancapital.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (212) 867-9090reportedpublic record, Form ADV, Jul 15, 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
- Other 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