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•••••••• C•••••• M••••••••• ••• I•••
Latest filing Mar 27, 2026
First filing on the tape Mar 30, 2012 · 46 filings
SEC status approved since May 15, 2008
RAUM
$35B
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
0.5%
$185M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
163
90 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
66
reported on Schedule D
History
46 filings and snapshots on the tape
RAUM$35B as of Mar 27, 2026
Mar 30, 2012$4.1B then
HNW client RAUM$185M as of Mar 27, 2026
Mar 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 30, 20120 then
Employees (5.A)163 as of Mar 27, 2026
Mar 27, 201385 then
Private funds66 as of Mar 27, 2026
Mar 30, 201220 then
RAUM +19% over the last fiscal year+20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $234MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 33%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
- +19%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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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)
- 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$20B58%
- Pension and profit-sharing plans$9.6B28%
- Corporations and businesses$2.8B8.1%
- Insurance companies$1.1B3.3%
- State and municipal entities$524M1.5%
- Banks and thrifts$243M0.7%
- High-net-worth individuals$185M0.5%
- Investment companies$126M0.4%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 43reported
- Charitable clients
- n/areported
- Accounts
- 148reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.01 fund_share=0.58 institutional_share=0.33 related_bd=true related_bank=true bd_reps=1.0derived
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
23 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••••• C•••••• P•••••• E••••• E••••• D••••• I•• S••••• | Private Equity Fund | $313M | 12 | Jul 25, 2023 |
| S•••••••• C•••••• P•••••• E••••• G••••• I••••••••• X• S••••• | Private Equity Fund | $305M | 26 | Mar 29, 2023 |
| S••••••• A•••• R••• A••••• H•••••••• R•••••••• L•••no longer reported | Private Equity Fund | $99.5M | 14 | Mar 27, 2013 |
| S•••••••• C•••••• P•••••• E••••• U• V• S••••• | Private Equity Fund | $97.3M | 11 | Mar 29, 2023 |
| S•••••••• C•••••• P•••••• E••••• I•••• S••••• | Private Equity Fund | $95.4M | 3 | Mar 20, 2024 |
| S•••••••• C•••••• P•••••• E••••• E••••• I• S••••• | Private Equity Fund | $88.6M | 6 | Mar 20, 2024 |
| S•••••••• C•••••• T••••••••• V••••••• S••••• | Private Equity Fund | $82.4M | 9 | Mar 29, 2023 |
| S•••••••• C•••••• P•••••• E••••• C•••• I• S••••• | Private Equity Fund | $64.5M | 2 | Mar 29, 2023 |
| S•••••••• C•••••• P•••••• E••••• A••• V• S••••• | Private Equity Fund | $55.1M | 3 | Jul 25, 2023 |
| S•••••••• C•••••• P•••••• E••••• C•••• V• S••••• | Private Equity Fund | $20.0M | 2 | Mar 29, 2023 |
| S••••••• A•••• T••••••••• I• C•••no longer reported | Private Equity Fund | $5.2M | 25 | Mar 30, 2012 |
| S•••••••• C•••••• P•••••• E••••• E•••• 2••• | Private Equity Fund | $5.0M | 0 | Mar 20, 2024 |
| S••••••• A•••• U• I• C•••no longer reported | Private Equity Fund | $3.4M | 12 | Mar 30, 2012 |
| A•••• T••••••••• I• C•••no longer reported | Private Equity Fund | $937,281 | 39 | Mar 30, 2012 |
| A•••• E••••• I• C•••no longer reported | Private Equity Fund | $334,482 | 39 | Mar 30, 2012 |
| A•••• T••••••••• I• C•••no longer reported | Private Equity Fund | $27,877 | 61 | Mar 30, 2012 |
| S•••••••• C•••••• P•••••• E••••• G••••• D••••• I• U•• S••••• | Private Equity Fund | $9,053 | 0 | Mar 20, 2024 |
| S•••••••• C•••••• P•••••• E••••• G••••• I•• U•• S••••• | Private Equity Fund | $6,476 | 0 | Jul 25, 2023 |
| A•••• G••••• T••••••••• L•••no longer reported | Private Equity Fund | $0 | 0 | Dec 4, 2013 |
| A•••• R••• A••••• E•••••••• R•••••••• L•••no longer reported | Private Equity Fund | $0 | 2 | Mar 27, 2013 |
| S•••••••• C•••••• P•••••• E••••• G••••• D••••• I• E•• S••••• | Private Equity Fund | $0 | 0 | Mar 20, 2024 |
| S••••••• A•••• T••••••••• I•• C•••no longer reported | Private Equity Fund | $0 | 0 | Mar 30, 2012 |
| A•••• R••• A••••• G•••• P•••• R•••••••• L•••no longer reported | Private Equity Fund | $0 | 0 | Mar 27, 2013 |
Owners and control persons
Schedule A and B, latest filing
- A••••• S••••••••• •••• · General Counsel P•••••• Equity, Chief Operation Officer P•••••• Equitycontrolsince 07/2017 · owns less than 5%
- A••• B•••••••• J•••• · Head Of Global P•••••• Equity Portfolioscontrolsince 03/2024 · owns less than 5%
- A•••••• P••••• C••••••••• · Chief Operating Officer, P•••••• Assetscontrolsince 05/2017 · owns less than 5%
- C••••• T••••••• S•••••••• · Head Of P•••••• Equity'S Investmentscontrolsince 07/2012 · owns less than 5%
- E••••• R•••••• M••••• · Global Head Of P•••••• Equity, Vice Member Of The Boardcontrolsince 01/2006 · owns less than 5%
- G•••••••• L••• A•••••• · Head Of P•••••• Equity N•••• A••••••controlsince 05/2008 · owns less than 5%
- G•••••• S•••• M••• · Head Of Operations P•••••• Equity And Solutions, Chief Operation Officer P•••••• Equitycontrolsince 07/2017 · owns less than 5%
- R•••• N•••• •••• · Chief Investment Officercontrolsince 05/2008 · owns less than 5%
- W••••••••• G••••• F•••• · Global Head Of S•••••••• Capital, Chairman Of The Boardcontrolsince 09/2019 · owns less than 5%
- D••••••••• D•••• N•• · Head Of Financesince 07/2022 · owns less than 5%
- F••••• S•••••• K••• · Membersince 06/2024 · owns less than 5%
- J••••••••• C••••••• B••••••••• · Membersince 06/2024 · owns less than 5%
- R•••••••• A••••••••• N•• · Head Of Compliance, P•••••• Equity (Cco)since 06/2024 · owns less than 5%
- U••••••••• P•••••• N•• · Head Of Risk Managementsince 01/2019 · owns less than 5%
Entity owners
- S•••••••• U• H••••••• I•• · Ownerdirect · owns 75% or more
- S••••••• A••••••••• L•• · Shareholderindirect · owns 75% or more of S••••••• I••••••••• H••••••• L••••••
- S••••••• I••••••••• H••••••• L•••••• · Shareholderindirect · owns 75% or more of S•••••••• U• H••••••• I••
- S•••••••• P•• · Shareholderindirect · owns 75% or more of S••••••• A••••••••• L••
Related persons
Schedule D 7.A
- A•• M••••••••• I• L•••pooled vehicle sponsorn
- A•• M••••••••• I• L•••pooled vehicle sponsorn
- A•• M••••••••• I•• L•••pooled vehicle sponsorn
- A•••• S•• M••••••••• I• L•••pooled vehicle sponsorn
- A•••• S•• M••••••••• I• L•••pooled vehicle sponsorn
- E•• M••••••••• I• L•••pooled vehicle sponsorn
- E•• M••••••••• L•••pooled vehicle sponsorn
- E•• O••••••••• M••••••••• L•••pooled vehicle sponsorn
- S••••••• A•••• E••••• M••••••••• I• L•••pooled vehicle sponsorn
- S••••••• A•••• E••••• M••••••••• I•• L•••pooled vehicle sponsorn
- S••••••• A•••• T••••••••• M••••••••• V• L•••pooled vehicle sponsorn
- S••••••• A•••• T••••••••• M••••••••• V• L•••pooled vehicle sponsorn
- S••••••• A•••• U• M••••••••• I• L•••pooled vehicle sponsorn
- S••••••• F••• A••••••• L••broker-dealern
- S••••••• I••••••••• M••••••••• ••••••• S•••investment adviserpooled vehicle sponsorn
- S••••••• I••••••••• M••••••••• •••••• L••••••investment advisernRAUM $11B
- S••••••• I••••••••• M••••••••• A•••••••• L•••investment advisern
- S••••••• I••••••••• M••••••••• L•••investment advisern
- S••••••• I••••••••• M••••••••• N•••• A•••••• I••investment adviserbankpooled vehicle sponsornRAUM $150B
- S••••••• I••••••••• M••••••••• N•••• A•••••• L••investment adviserbanknRAUM $83B
- S•••••••• C•••••• M••••••••• •••••••• N•••pooled vehicle sponsorn
- S•••••••• C•••••• M••••••••• ••••••• L•••investment adviserpooled vehicle sponsorn
- S•••••••• C•••••• M••••••••• ••••••••• S•• R••investment adviserpooled vehicle sponsorn
- S•••••••• C•••••• P•••••• E••••• A••• M••••••••• I• L•••pooled vehicle sponsorn
- S•••••••• C•••••• P•••••• E••••• A••• M••••••••• I• L•••pooled vehicle sponsorn
- S•••••••• C•••••• P•••••• E••••• A••• M••••••••• I•• L•••pooled vehicle sponsorn
- S•••••••• C•••••• P•••••• E••••• A••• M••••••••• I• L•••pooled vehicle sponsorn
- S•••••••• C•••••• P•••••• E••••• A••• M••••••••• V• S•• R•••pooled vehicle sponsorn
- S•••••••• C•••••• P•••••• E••••• E••••• D••••• M••••••••• L•••pooled vehicle sponsorn
- S•••••••• C•••••• P•••••• E••••• E••••• M••••••••• I• A• L•••pooled vehicle sponsorn
Advisers that list S•••••••• C•••••• M••••••••• ••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
- 8050 Zurich, Switzerland24 employees
- Beijing, China2 employees
- Beijing, China2 employees
- Shanghai, China1 employees
What changed
consecutive filings, newest first
- Accounts · 144 to 148Jun 29, 2025 to Mar 27, 2026
- BD registered reps · 2 to 1Jun 29, 2025 to Mar 27, 2026
- Pension plan clients · 38 to 43Jun 29, 2025 to Mar 27, 2026
- Private funds · 65 to 66Jun 29, 2025 to Mar 27, 2026
- Discretionary RAUM · $28B to $32BJun 29, 2025 to Mar 27, 2026
- HNW RAUM · $159M to $185MJun 29, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $2.0B to $2.1BJun 29, 2025 to Mar 27, 2026
- Pension RAUM · $7.8B to $9.6BJun 29, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $17B to $20BJun 29, 2025 to Mar 27, 2026
- RAUM · $29B to $35BJun 29, 2025 to Mar 27, 2026
- Charity clients · 0.0 to unsetMar 28, 2025 to Jun 29, 2025
- HNW clients · 3.0 to unsetMar 28, 2025 to Jun 29, 2025
- Individual clients · 0.0 to unsetMar 28, 2025 to Jun 29, 2025
- Financial planning clients · unset to Mar 28, 2025 to Jun 29, 2025
- Discretionary RAUM · $27B to $28BMar 28, 2025 to Jun 29, 2025
- HNW RAUM · $160M to $159MMar 28, 2025 to Jun 29, 2025
- Individual RAUM · 0.0 to unsetMar 28, 2025 to Jun 29, 2025
- Non-discretionary RAUM · $1.9B to $2.0BMar 28, 2025 to Jun 29, 2025
- Pension RAUM · $7.7B to $7.8BMar 28, 2025 to Jun 29, 2025
- Pooled vehicle RAUM · $17B to $17BMar 28, 2025 to Jun 29, 2025
- RAUM · $29B to $29BMar 28, 2025 to Jun 29, 2025
- Employees · 157 to 163Aug 19, 2024 to Mar 28, 2025
- Accounts · 140 to 144Aug 19, 2024 to Mar 28, 2025
- Advisory employees · 67 to 90Aug 19, 2024 to Mar 28, 2025
- BD registered reps · 1 to 2Aug 19, 2024 to Mar 28, 2025
- Corporate clients · 12 to 14Aug 19, 2024 to Mar 28, 2025
- HNW clients · 2 to 3Aug 19, 2024 to Mar 28, 2025
- Pension plan clients · 36 to 38Aug 19, 2024 to Mar 28, 2025
- Other offices · 4 to 0Aug 19, 2024 to Mar 28, 2025
- Private funds · 68 to 65Aug 19, 2024 to Mar 28, 2025
- Discretionary RAUM · $21B to $27BAug 19, 2024 to Mar 28, 2025
- HNW RAUM · $63.9M to $160MAug 19, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $2.4B to $1.9BAug 19, 2024 to Mar 28, 2025
- Pension RAUM · $6.3B to $7.7BAug 19, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $13B to $17BAug 19, 2024 to Mar 28, 2025
- RAUM · $23B to $29BAug 19, 2024 to Mar 28, 2025
- Accounts · 143 to 140May 30, 2024 to Jul 17, 2024
- Pooled vehicle clients · 66 to 69May 30, 2024 to Jul 17, 2024
- Discretionary RAUM · $20B to $21BMay 30, 2024 to Jul 17, 2024
- HNW RAUM · $61.8M to $63.9MMay 30, 2024 to Jul 17, 2024
Signals
10 dated events
- S•••••••• C•••••• M••••••••• ••• I••• reported RAUM $29.1B, up 25% from $23.2B (2024-08-19 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- Eduard Bruno Raschle (Vice Chairman Of The Board) no longer on Schedule A of S•••••••• C•••••• M••••••••• ••• I••• (listed 2024-05-30, absent 2024-07-17)Jul 17, 2024 · Control person left · inference
- Jonathan Stephen Mills (Executive Chairman Of The Board) no longer on Schedule A of S•••••••• C•••••• M••••••••• ••• I••• (listed 2024-05-30, absent 2024-07-17)Jul 17, 2024 · Control person left · inference
- J•••• B••••••• Alt (Head Of Global Private Equity Portfolios) appeared on Schedule A of S•••••••• C•••••• M••••••••• ••• I•••May 30, 2024 · Control person joined · fact
- Marc Sven Gasser (Head Of Operations Private Equity And Solutions) appeared on Schedule A of S•••••••• C•••••• M••••••••• ••• I•••Nov 8, 2023 · Control person joined · fact
- (Nmn) Stephanie Aldag (General Counsel Private Equity) appeared on Schedule A of S•••••••• C•••••• M••••••••• ••• I•••Nov 8, 2023 · Control person joined · fact
- D••• D•••••••• (Head Of Finance) appeared on Schedule A of S•••••••• C•••••• M••••••••• ••• I•••Mar 29, 2023 · Control person joined · fact
- William Martyn Bott (Head Of Finance) no longer on Schedule A of S•••••••• C•••••• M••••••••• ••• I••• (listed 2022-07-21, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Pascal Untersander (Head Of Risk Management) appeared on Schedule A of S•••••••• C•••••• M••••••••• ••• I•••Jan 4, 2019 · Control person joined · fact
- S•••••••• C•••••• M••••••••• ••• I••• reported RAUM $9.0B, up 31% from $6.9B (2017-09-20 to 2018-03-28)Mar 28, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- S•••••••• C•••••• M••••••••• ••• I••• · Independent Sponsorsshared crd · capital_provider
- S•••••••• C•••••• M••••••••• ••• I••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/38395reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 1-212-488-5330reportedpublic record, Form ADV, Mar 27, 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