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•••• A••••••••• A•••• M••••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Mar 28, 2012 · 37 filings
SEC status approved since May 30, 2007
RAUM
$3.2B
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
25
11 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
11
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$3.2B as of Mar 31, 2026
Mar 28, 2012$3.8B then
HNW client RAUM$0 as of Mar 31, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20120 then
Employees (5.A)25 as of Mar 31, 2026
Apr 1, 201342 then
Private funds11 as of Mar 31, 2026
Mar 28, 20123 then
RAUM -3.4% over the last fiscal year-2.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- 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
- $106MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.4%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 vehicles, otherreportedItem 5.G
- Custody
- $3.2B, 28 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$3.2B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 30reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.2B for 28 clientsreported
- Compensation
- % of AUM, performancereported
- 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
18 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••• L•••••••• O••••••••• F••• M••••• L• | Hedge Fund | $1.2B | 87 | Feb 26, 2019 |
| S••• L•• | Hedge Fund | $1.1B | 222 | Mar 28, 2012 |
| S•••• C••• O••••••••• M••••• F••• L••no longer reported | Hedge Fund | $809M | 4 | Mar 28, 2012 |
| S•••• O••••••••• F••• 4• L• | Hedge Fund | $243M | 25 | Feb 11, 2015 |
| S•••• O••••••••• F••• 5• L• | Hedge Fund | $190M | 3 | May 19, 2015 |
| S•••• R••••••• F••• O••••••• M••••• L•no longer reported | Hedge Fund | $188M | 86 | Feb 26, 2013 |
| S•••• C••• O••••••••• L• | Hedge Fund | $147M | 2 | Mar 31, 2021 |
| S•••• R••••••• F••• I• M••••• L•no longer reported | Hedge Fund | $130M | 131 | Feb 26, 2013 |
| S•••• R••••••• F••• L•no longer reported | Hedge Fund | $73.9M | 83 | Feb 26, 2013 |
| U•••• N• L•• | Hedge Fund | $68.8M | 2 | Mar 29, 2018 |
| S•••• O••••••••• F••• 3• L• | Hedge Fund | $67.6M | 3 | May 28, 2014 |
| S•••• O••••••••• F••• 1• L• | Hedge Fund | $66.5M | 3 | Nov 21, 2013 |
| S•••• R••••••• F••• I•• M••••• L•no longer reported | Hedge Fund | $61.7M | 24 | May 28, 2014 |
| S•••• S••••• H••• I••••• F••• L• | Hedge Fund | $61.6M | 6 | Aug 26, 2013 |
| S•••• R••••••• L• F••• L•no longer reported | Hedge Fund | $48.6M | 2 | Feb 26, 2013 |
| S•••• O••••••••• F••• 2• L• | Hedge Fund | $44.8M | 1 | Nov 21, 2013 |
| U•••• M••••• L•• | Hedge Fund | $42.4M | 16 | Mar 28, 2012 |
| S•••• S•• M••••• F••• L•• | Hedge Fund | $3.6M | 4 | Mar 1, 2018 |
Owners and control persons
Schedule A and B, latest filing
- C•••••••• R••••••• T• · Chief Compliance Officer And General Counselcontrolsince 03/2012 · owns less than 5%
- F••••• G•••••• J••••• · Chief Financial Officercontrolsince 01/2024 · owns less than 5%
- M•••••• S•••• · Limited Partner, Evp And Portfolio Managercontrolsince 03/2012 · owns 25% to 50%
- M••••••••• W•••• · Limited Partner, Evp And Director Of Business Developmentcontrolsince 03/2012 · owns 5% to 10%
- P••••••• C••••••••• A•••••• · Limited Partner, Chief Executive Officer And Chief Investment Officercontrolsince 04/2007 · owns 25% to 50%
- Y•••••• G••••• · Limited Partner, Evp, Chief Risk Officer And Chief Operating Officercontrolsince 01/2010 · owns less than 5%
- P••••••• C••••••••• A•••••• · Membercontrolsince 04/2007 · owns 25% to 50% of S•••• G• L••
Entity owners
- S•••• G• L•• · General Partnerdirect · owns less than 5%
- A•• P••••••• L••• · Limited Partnerindirect · owns 25% to 50% of B••••••••• S•••••••• C•••••• H••••••• L•••
- B••••••••• S•••••••• C•••••• A••••••••• L••••• · General Partnerindirect · owns F of B••••••••• S•••••••• C•••••• H••••••• ••••••• L•••
- B••••••••• S•••••••• C•••••• A••••••••• L••••• · General Partnerindirect · owns F of B••• M••••• I• S•• •••••••• L•••; B••• M••••• I• L•••; B••••••••• S•••••••• C•••••• H••••••• L•••; B••• A• I••••••••• L•••
- B••••••••• S•••••••• C•••••• H••••••• ••••••• L••• · Sole Memberindirect · owns 75% or more of B••• A• •••••••• L•••••
- B••••••••• S•••••••• C•••••• H••••••• L••• · Limited Partnerindirect · owns 25% to 50% of B••• M••••• I• L•••
- B••• A• •••••••• L••••• · Limited Partnerindirect · owns 25% to 50% of B••• A• I••••••••• L•••
- B••• A• I••••••••• L••• · Limited Partnerindirect · owns 50% to 75% of B••• M••••• I• L•••
- B••• M••••• I• L••• · Limited Partnerindirect · owns 75% or more of B••• M••••• I• S•• •••••••• L•••
- B••• M••••• I• S•• •••••••• L••• · Limited Partnerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- S•••• A••••••• L••bankpooled vehicle sponsorn
- S•••• A••••••• O••••••••• 3• G• L••bankpooled vehicle sponsorn
- S•••• A••••••• O••••••••• 4• G• L••bankpooled vehicle sponsorn
- S•••• L•••••••• O••••••••• G• L••bankpooled vehicle sponsorn
- S•••• N• A••••••• L••bankpooled vehicle sponsorn
- S•••• N• G• L••bankpooled vehicle sponsorn
- S•••• O••••••••• 1• G• L••bankpooled vehicle sponsorn
- S•••• O••••••••• 2• G• L••bankpooled vehicle sponsorn
- S•••• O••••••••• 5• P• G• L••bankpooled vehicle sponsorn
- S•••• P• G• L••bankpooled vehicle sponsorn
- S•••• S••••• H••• I••••• G• L••bankpooled vehicle sponsorn
- S•••• S•• G• L••bankpooled vehicle sponsorn
- S•••• U•••• G• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Jupiter, FL1 employees
- Ponte Vedra Beach, FL1 employees
What changed
consecutive filings, newest first
- Assets in custody · $3.3B to $3.2BMay 13, 2025 to Mar 31, 2026
- Discretionary RAUM · $3.3B to $3.2BMay 13, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $3.3B to $3.2BMay 13, 2025 to Mar 31, 2026
- RAUM · $3.3B to $3.2BMay 13, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to May 13, 2025
- Private funds · 12 to 11Mar 29, 2024 to Mar 31, 2025
- Accounts · 33 to 30Mar 29, 2024 to Mar 31, 2025
- Pooled vehicle clients · 31 to 28Mar 29, 2024 to Mar 31, 2025
- Assets in custody · $3.1B to $3.3BMar 29, 2024 to Mar 31, 2025
- Employees · 27 to 25Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $3.2B to $3.3BMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $3.1B to $3.3BMar 29, 2024 to Mar 31, 2025
- RAUM · $3.2B to $3.3BMar 29, 2024 to Mar 31, 2025
- Advisory employees · 12 to 11Jan 12, 2024 to Mar 29, 2024
- Assets in custody · $3.4B to $3.1BJan 12, 2024 to Mar 29, 2024
- Employees · 29 to 27Jan 12, 2024 to Mar 29, 2024
- Discretionary RAUM · $3.4B to $3.2BJan 12, 2024 to Mar 29, 2024
- Pooled vehicle RAUM · $3.4B to $3.1BJan 12, 2024 to Mar 29, 2024
- RAUM · $3.4B to $3.2BJan 12, 2024 to Mar 29, 2024
- Advisory employees · 11 to 12Apr 8, 2022 to Mar 31, 2023
- Assets in custody · $4.2B to $3.4BApr 8, 2022 to Mar 31, 2023
- Discretionary RAUM · $4.2B to $3.4BApr 8, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $4.2B to $3.4BApr 8, 2022 to Mar 31, 2023
- RAUM · $4.2B to $3.4BApr 8, 2022 to Mar 31, 2023
- Advisory employees · 16 to 11Apr 6, 2021 to Mar 31, 2022
- Assets in custody · $4.2B to $4.2BApr 6, 2021 to Mar 31, 2022
- Employees · 34 to 29Apr 6, 2021 to Mar 31, 2022
- Discretionary RAUM · $4.2B to $4.2BApr 6, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $4.2B to $4.2BApr 6, 2021 to Mar 31, 2022
- RAUM · $4.2B to $4.2BApr 6, 2021 to Mar 31, 2022
- Accounts · 30 to 33Nov 20, 2020 to Mar 31, 2021
- Advisory employees · 17 to 16Nov 20, 2020 to Mar 31, 2021
- Pooled vehicle clients · 28 to 31Nov 20, 2020 to Mar 31, 2021
- Assets in custody · $4.6B to $4.2BNov 20, 2020 to Mar 31, 2021
- Employees · 54 to 34Nov 20, 2020 to Mar 31, 2021
- HQ city · NEW YORK to SUMMITNov 20, 2020 to Mar 31, 2021
- HQ state · NY to NJNov 20, 2020 to Mar 31, 2021
- Private funds · 11 to 12Nov 20, 2020 to Mar 31, 2021
- Discretionary RAUM · $4.6B to $4.2BNov 20, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $4.6B to $4.2BNov 20, 2020 to Mar 31, 2021
Signals
4 dated events
- Joseph George Farra (Chief Financial Officer) appeared on Schedule A of S•••• A••••••••• A•••• M••••••••• L•Jan 12, 2024 · Control person joined · fact
- Dennis Richard Chase (Chief Financial Officer) no longer on Schedule A of S•••• A••••••••• A•••• M••••••••• L• (listed 2023-04-27, absent 2024-01-12)Jan 12, 2024 · Control person left · inference
- Charles Lanktree (Limited Partner, Evp And Portfolio Manager) no longer on Schedule A of S•••• A••••••••• A•••• M••••••••• L• (listed 2020-04-01, absent 2020-11-20)Nov 20, 2020 · Control person left · inference
- S•••• A••••••••• A•••• M••••••••• L• reported RAUM $4.6B, down 29% from $6.4B (2019-05-01 to 2020-03-30)Mar 30, 2020 · 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
- Website
- S••••LP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-284-4300reportedpublic record, Form ADV, Mar 31, 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