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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SEC-registered adviser
S••••••• P•••••••• L••
Latest filing Jan 22, 2026
First filing on the tape Jan 3, 2012 · 38 filings
SEC status approved since Oct 29, 2004
RAUM
$2.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
8.8%
$208M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$590M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$2.4B as of Jan 22, 2026
Feb 22, 2012$260M then
HNW client RAUM$204M as of Jan 22, 2026
Jan 31, 2018$144M then
State-registered IARs (5.B.3)4 as of Jan 22, 2026
Feb 22, 20120 then
Employees (5.A)5 as of Jan 22, 2026
Mar 20, 20134 then
Private funds: no history
RAUM +16% over the last fiscal year+29% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jan 22, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $590MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 13derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $23.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 91%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$2.1B91%
- High-net-worth individuals$204M8.7%
- Individuals$3.8M0.2%
- Charitable organizations$3.2M0.1%
- Individual clients
- 7reported
- HNW clients
- 45reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 100reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.09 fund_share=0.0 institutional_share=0.91 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• T••••••Chartered Financial Analyst | Minneapolis, Mn | Apr 6, 2017 | 17 y | 0 |
| A•••• C••••••••• B•••••Chartered Financial Analyst | Minneapolis, Mn | Jul 31, 2024 | 15 y | 1 |
| S•••••• J•••• R••••• | Minneapolis, Mn | Jan 1, 2026 | 42 y | 0 |
| J•••• C•••••• J••••••Chartered Financial Analyst | Minneapolis, Mn | Jan 1, 2026 | 22 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- A•••• C••••••••• B••••• from W•••••• B•••• • C•••••• L•••••Jul 31, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••••• J••••• C•••••• · Manager/Membercontrolsince 08/2009 · owns 25% to 50%
- R••••• P•••• R••• · Cto/Membercontrolsince 09/2004 · owns 5% to 10%
- R•••••• S••••••• J•••• · Manager/Membercontrolsince 04/2013 · owns 25% to 50%
- T••••••• K•••• · Manager/Member/Chief Compliance Officercontrolsince 07/2023 · owns 5% to 10%
- B•••••• A••••• C••••••••• · Membersince 06/2024 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Minneapolis, Mn · principal | 4 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Minneapolis, MN2 employees
What changed
consecutive filings, newest first
- Accounts · 102 to 100Apr 22, 2025 to Jan 22, 2026
- Individual clients · 9 to 7Apr 22, 2025 to Jan 22, 2026
- Discretionary RAUM · $2.0B to $2.4BApr 22, 2025 to Jan 22, 2026
- HNW RAUM · $182M to $204MApr 22, 2025 to Jan 22, 2026
- Individual RAUM · $4.5M to $3.8MApr 22, 2025 to Jan 22, 2026
- Pension RAUM · $1.8B to $2.1BApr 22, 2025 to Jan 22, 2026
- RAUM · $2.0B to $2.4BApr 22, 2025 to Jan 22, 2026
- Financial planning clients · unset to Feb 6, 2025 to Apr 22, 2025
- HQ city · CHICAGO to MINNEAPOLISFeb 6, 2025 to Apr 22, 2025
- HQ state · IL to MNFeb 6, 2025 to Apr 22, 2025
- Other offices · 1 to 0Feb 6, 2025 to Apr 22, 2025
- Accounts · 99 to 102Jul 31, 2024 to Feb 6, 2025
- Individual clients · 8 to 9Jul 31, 2024 to Feb 6, 2025
- Discretionary RAUM · $2.0B to $2.0BJul 31, 2024 to Feb 6, 2025
- HNW RAUM · $182M to $182MJul 31, 2024 to Feb 6, 2025
- Individual RAUM · $3.1M to $4.5MJul 31, 2024 to Feb 6, 2025
- Pension RAUM · $1.8B to $1.8BJul 31, 2024 to Feb 6, 2025
- RAUM · $2.0B to $2.0BJul 31, 2024 to Feb 6, 2025
- Accounts · 102 to 99Jan 30, 2024 to Jul 31, 2024
- Advisory employees · 3 to 4Jan 30, 2024 to Jul 31, 2024
- Charity clients · 3.0 to unsetJan 30, 2024 to Jul 31, 2024
- Individual clients · 10 to 8Jan 30, 2024 to Jul 31, 2024
- Employees · 4 to 5Jan 30, 2024 to Jul 31, 2024
- State-registered IARs · 3 to 4Jan 30, 2024 to Jul 31, 2024
- Discretionary RAUM · $1.0B to $2.0BJan 30, 2024 to Jul 31, 2024
- HNW RAUM · $181M to $182MJan 30, 2024 to Jul 31, 2024
- Individual RAUM · $3.7M to $3.1MJan 30, 2024 to Jul 31, 2024
- Pension RAUM · $855M to $1.8BJan 30, 2024 to Jul 31, 2024
- RAUM · $1.0B to $2.0BJan 30, 2024 to Jul 31, 2024
- Accounts · 104 to 102Jul 24, 2023 to Jan 30, 2024
- Advisory activities · 3 to 4Jul 24, 2023 to Jan 30, 2024
- Charity clients · 4 to 3Jul 24, 2023 to Jan 30, 2024
- HNW clients · 44 to 45Jul 24, 2023 to Jan 30, 2024
- Individual clients · 11 to 10Jul 24, 2023 to Jan 30, 2024
- Pension plan clients · 7 to 6Jul 24, 2023 to Jan 30, 2024
- Employees · 5 to 4Jul 24, 2023 to Jan 30, 2024
- Discretionary RAUM · $1.2B to $1.0BJul 24, 2023 to Jan 30, 2024
- HNW RAUM · $171M to $181MJul 24, 2023 to Jan 30, 2024
- Individual RAUM · $4.2M to $3.7MJul 24, 2023 to Jan 30, 2024
- Pension RAUM · $1.0B to $855MJul 24, 2023 to Jan 30, 2024
Signals
5 dated events
- S••••••• P•••••••• L•• reported RAUM $2.0B, up 90% from $1.0B (2024-01-30 to 2024-07-31)Jul 31, 2024 · RAUM change · derived
- Marie Theresa Hickman (Chief Compliance Officer/Member) no longer on Schedule A of S••••••• P•••••••• L•• (listed 2023-02-14, absent 2023-07-24)Jul 24, 2023 · Control person left · inference
- Marie Theresa Hickman (Chief Compliance Officer/Member) appeared on Schedule A of S••••••• P•••••••• L••Feb 11, 2021 · Control person joined · fact
- Lynn Patricia Hyman (Chief Compliance Officer/Member) no longer on Schedule A of S••••••• P•••••••• L•• (listed 2020-06-30, absent 2021-02-11)Feb 11, 2021 · Control person left · inference
- S••••••• P•••••••• L•• reported RAUM $1.1B, up 41% from $765.6M (2020-06-30 to 2021-02-11)Feb 11, 2021 · RAUM change · derived
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
- Firm profile
- LINKEDIN.COM/COMPANY/S•••••••-PARTNERS/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- S•••••••PARTNERS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 630-371-2626reportedpublic record, Form ADV, Jan 22, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $590Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026