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••••• R••• A•••••••• L•
Latest filing Mar 27, 2026
First filing on the tape Mar 29, 2012 · 38 filings
SEC status approved since May 29, 2007
RAUM
$26B
reported, Item 5.F
Discretionary
58%
of RAUM
Private clients
27%
$7.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
74
41 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
21
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$26B as of Mar 27, 2026
Mar 29, 2012$6.6B then
HNW client RAUM$7.1B as of Mar 27, 2026
Mar 28, 2018$4.5B then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 29, 20120 then
Employees (5.A)74 as of Mar 27, 2026
Apr 1, 201340 then
Private funds21 as of Mar 27, 2026
Mar 29, 201213 then
RAUM +11% over the last fiscal year+9.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- $197MderivedHNW RAUM over HNW clients
- Average account
- $116MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 58%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%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, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $253M, 50 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)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$15B57%
- High-net-worth individuals$7.1B27%
- Charitable organizations$4.1B15%
- Individual clients
- n/areported
- HNW clients
- 36reported
- Pension plan clients
- n/areported
- Charitable clients
- 15reported
- Accounts
- 226reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $253M for 50 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.27 fund_share=0.57 institutional_share=0.15 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
25 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- D••••••• D••••• A•••• · Chief Executive Officer And Limited Partner Partnercontrolsince 03/2007 · owns 50% to 75%
- D••••••• A•••• •••••• · Chief Investment Strategist And Limited Partnercontrolsince 03/2007 · owns 25% to 50%
- F••••••• R•••••• W•••••• · Chief Compliance Officer & Counselcontrolsince 06/2024 · owns less than 5%
- H•••••• W••••••• R•••••• · Chief Operating Officercontrolsince 01/2011 · owns less than 5%
- P•••••• R•••• A•••• · Chief Compliance Officer & General Counselcontrolsince 09/2025 · owns less than 5%
- S••••••••• T•••••• C•••••• · Chief Financial Officercontrolsince 04/2023 · owns less than 5%
- D••••••• D••••• A•••• · Directorcontrolsince 06/2015 · owns 50% to 75% of S••••• R••• A•••••••• I•••
- D••••••• A•••• •••••• · Directorcontrolsince 06/2015 · owns 25% to 50% of S••••• R••• A•••••••• I•••
Entity owners
- S••••• R••• A••••••• · General Partner Ofdirect · owns less than 5%
- S••••• R••• A••••••• M••••••••• G•• L•• · General Partner Of S••••• R••• A•••••••• L•direct · owns less than 5%
- S••••• R••• A•••••••• I••• · Member Of S••••• R••• A••••••• M••••••••• G•• L••indirect · owns 75% or more of S••••• R••• A••••••• M••••••••• G•• L••
Related persons
Schedule D 7.A
- D••••••••• S••••••••• •••• L•investment adviserbankpooled vehicle sponsory
- D••••••••• S••••••••• G• L••investment adviserbankpooled vehicle sponsorn
- H••••• E••••• •••• L•investment adviserbankpooled vehicle sponsory
- H••••• E••••• G• L••investment adviserbankpooled vehicle sponsorn
- P•••••• E••••• •••• L•investment adviserbankpooled vehicle sponsory
- P•••••• E••••• I• G• L••investment adviserbankpooled vehicle sponsorn
- P•••••• E••••• I• •••• G• L••investment adviserbankpooled vehicle sponsorn
- P•••••• E••••• I• G• L••investment adviserbankpooled vehicle sponsorn
- P•••••• E••••• I•• •••• G• L••investment adviserbankpooled vehicle sponsorn
- P•••••• E••••• I•• G• L••investment adviserbankpooled vehicle sponsorn
- P•••••• E••••• I• •••• G• L••investment adviserbankpooled vehicle sponsorn
- P•••••• E••••• I• G• L••investment adviserbankpooled vehicle sponsorn
- P•••••• E••••• V• •••• G• L••investment adviserbankpooled vehicle sponsorn
- P•••••• E••••• V• G• L••investment adviserbankpooled vehicle sponsorn
- P•••••• E••••• V• •••• G• L••investment adviserbankpooled vehicle sponsorn
- P•••••• E••••• V• G• L••investment adviserbankpooled vehicle sponsorn
- R••• A••••• G• L••investment adviserbankpooled vehicle sponsorn
- S• G• L••investment adviserbankpooled vehicle sponsorn
- S••••• E••••• •••• L•investment adviserbankpooled vehicle sponsory
- S•••••••• F•••• I••••• •••• L•investment adviserbankpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 27, 2026P•••••• R•••• A•••• (CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL) appeared on Schedule A between the filings of 2024-06-27 and 2026-03-27peers: independent wealth managers, $20B and over (84)
- control person changedChange between filings · filing Mar 27, 2026D••••••• A•••• •••••• (DIRECTOR) left Schedule A between the filings of 2024-06-27 and 2026-03-27peers: independent wealth managers, $20B and over (84)
- control person changedChange between filings · filing Mar 27, 2026F••••••• R•••••• W•••••• (CHIEF COMPLIANCE OFFICER & COUNSEL) left Schedule A between the filings of 2024-06-27 and 2026-03-27peers: independent wealth managers, $20B and over (84)
What changed
consecutive filings, newest first
- Accounts · 219 to 226Sep 8, 2025 to Mar 27, 2026
- Advisory employees · 40 to 41Sep 8, 2025 to Mar 27, 2026
- Charity clients · 14 to 15Sep 8, 2025 to Mar 27, 2026
- HNW clients · 35 to 36Sep 8, 2025 to Mar 27, 2026
- Pooled vehicle clients · 19 to 21Sep 8, 2025 to Mar 27, 2026
- Assets in custody · $203M to $253MSep 8, 2025 to Mar 27, 2026
- Financial planning clients · 26-50 to 51-100Sep 8, 2025 to Mar 27, 2026
- Private funds · 19 to 21Sep 8, 2025 to Mar 27, 2026
- Discretionary RAUM · $13B to $15BSep 8, 2025 to Mar 27, 2026
- HNW RAUM · $6.6B to $7.1BSep 8, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $10B to $11BSep 8, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $13B to $15BSep 8, 2025 to Mar 27, 2026
- RAUM · $24B to $26BSep 8, 2025 to Mar 27, 2026
- Employees · 73 to 74May 30, 2025 to Sep 8, 2025
- Financial planning clients · 26-50 to 26-50Mar 31, 2025 to May 30, 2025
- Accounts · 204 to 219Jun 27, 2024 to Mar 31, 2025
- Advisory employees · 42 to 40Jun 27, 2024 to Mar 31, 2025
- Pooled vehicle clients · 20 to 19Jun 27, 2024 to Mar 31, 2025
- Assets in custody · $164M to $203MJun 27, 2024 to Mar 31, 2025
- Employees · 84 to 73Jun 27, 2024 to Mar 31, 2025
- Financial planning clients · 51-100 to 26-50Jun 27, 2024 to Mar 31, 2025
- Private funds · 20 to 19Jun 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $12B to $13BJun 27, 2024 to Mar 31, 2025
- HNW RAUM · $6.3B to $6.6BJun 27, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $9.3B to $10BJun 27, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $12B to $13BJun 27, 2024 to Mar 31, 2025
- RAUM · $21B to $24BJun 27, 2024 to Mar 31, 2025
- Accounts · 193 to 204May 18, 2023 to Mar 26, 2024
- Advisory employees · 39 to 42May 18, 2023 to Mar 26, 2024
- Charity clients · 13 to 14May 18, 2023 to Mar 26, 2024
- HNW clients · 33 to 35May 18, 2023 to Mar 26, 2024
- Pooled vehicle clients · 19 to 20May 18, 2023 to Mar 26, 2024
- Assets in custody · $205M to $164MMay 18, 2023 to Mar 26, 2024
- Employees · 83 to 84May 18, 2023 to Mar 26, 2024
- Private funds · 19 to 20May 18, 2023 to Mar 26, 2024
- Discretionary RAUM · $10B to $12BMay 18, 2023 to Mar 26, 2024
- HNW RAUM · $6.2B to $6.3BMay 18, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $9.4B to $9.3BMay 18, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $10B to $12BMay 18, 2023 to Mar 26, 2024
- RAUM · $20B to $21BMay 18, 2023 to Mar 26, 2024
Signals
7 dated events
- W•••••• R••••• F•••••• (Chief Compliance Officer & Counsel) appeared on Schedule A of S••••• R••• A•••••••• L•Jun 27, 2024 · Control person joined · fact
- Kamali Asher Ailey (Chief Compliance Officer; General Counsel) no longer on Schedule A of S••••• R••• A•••••••• L• (listed 2024-05-29, absent 2024-06-27)Jun 27, 2024 · Control person left · inference
- Andrew Charles O'Neill (Chief Financial Officer) no longer on Schedule A of S••••• R••• A•••••••• L• (listed 2023-03-30, absent 2023-05-18)May 18, 2023 · Control person left · inference
- Charles Thomas Schroeder (Chief Financial Officer) appeared on Schedule A of S••••• R••• A•••••••• L•May 18, 2023 · Control person joined · fact
- Ann Emily Locher (General Counsel) no longer on Schedule A of S••••• R••• A•••••••• L• (listed 2021-10-19, absent 2022-03-28)Mar 28, 2022 · Control person left · inference
- Kamali Asher Ailey (Chief Compliance Officer) appeared on Schedule A of S••••• R••• A•••••••• L•Oct 14, 2021 · Control person joined · fact
- S••••• R••• A•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jul 27, 2015 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
- S••••• R••• A•••••••• L• · Independent Sponsorsshared crd · capital_provider
- S••••• R••• A•••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/summit-rock-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-993-7150reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- SUMMIT-ROCK.COM/contact.htmlreportedpublished by the firm, firm site, Sep 17, 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
- Wealth manager with institutional or fund businessderiveda 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