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.
SEC-registered adviser
Universa Investments L.P.
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 33 filings
SEC status approved since Jan 17, 2008
RAUM
$21B
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
20
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
45
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$21B as of Mar 31, 2026
Mar 30, 2012$41.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20130 then
Employees (5.A)20 as of Mar 31, 2026
Mar 28, 201312 then
Private funds45 as of Mar 31, 2026
Mar 30, 20129 then
RAUM +24% over the last fiscal year+9.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $474MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$21B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 45reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
80 reported on Schedule D 7.B.(1)
All funds of Universa Investments L.P.
Owners and control persons
Schedule A and B, latest filing
- Sanjay Nirendran Kathirithamby · Chief Compliance Officercontrolsince 03/2018 · owns less than 5%
- D Eric Spencer · Chief Financial Officercontrolsince 04/2007 · owns less than 5%
- William Mark Spitznagel · President; Chief Investment Officer; Limited Partner;controlsince 01/2007 · owns 75% or more
- Scott Brandon Yarckin · Chief Operating Officercontrolsince 03/2019 · owns less than 5%
- William Mark Spitznagel · Member; Managercontrolsince 10/2021 · owns 75% or more of Universality Inc.
- William Mark Spitznagel · Member; Managercontrolsince 01/2007 · owns 75% or more of Universa LLC
Entity owners
- Universa LLC · General Partnerdirect · owns less than 5%
- Universality Inc. · Limited Partnerdirect · owns 75% or more
Related persons
Schedule D 7.A
- Universa Safe Haven Cayman Gp 1 LLCbankpooled vehicle sponsorn
- Universa Safe Haven Cayman Gp 2 LLCbankpooled vehicle sponsorn
- Universa Safe Haven Delaware Gp 1 LLCbankpooled vehicle sponsorn
- Universa Safe Haven Delaware Gp 2 LLCbankpooled vehicle sponsorn
- Universa Safe Haven Delaware Gp 3 LLCbankpooled vehicle sponsorn
- Universa Safe Haven Delaware Gp 4 LLCbankpooled vehicle sponsorn
- Universa Safe Haven Delaware Gp 5 LLCbankpooled vehicle sponsorn
- Universa Safe Haven Delaware Gp 6 LLCbankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 35 to 45Apr 4, 2025 to Mar 31, 2026
- Pooled vehicle clients · 35 to 45Apr 4, 2025 to Mar 31, 2026
- Employees · 21 to 20Apr 4, 2025 to Mar 31, 2026
- Private funds · 35 to 45Apr 4, 2025 to Mar 31, 2026
- Discretionary RAUM · $17B to $21BApr 4, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $17B to $21BApr 4, 2025 to Mar 31, 2026
- RAUM · $17B to $21BApr 4, 2025 to Mar 31, 2026
- Accounts · 37 to 35Jul 9, 2024 to Apr 4, 2025
- Pooled vehicle clients · 37 to 35Jul 9, 2024 to Apr 4, 2025
- Employees · 20 to 21Jul 9, 2024 to Apr 4, 2025
- Financial planning clients · unset to Jul 9, 2024 to Apr 4, 2025
- Private funds · 37 to 35Jul 9, 2024 to Apr 4, 2025
- Discretionary RAUM · $16B to $17BJul 9, 2024 to Apr 4, 2025
- Pooled vehicle RAUM · $16B to $17BJul 9, 2024 to Apr 4, 2025
- RAUM · $16B to $17BJul 9, 2024 to Apr 4, 2025
- Accounts · 41 to 37Mar 31, 2023 to Mar 29, 2024
- Pooled vehicle clients · 41 to 37Mar 31, 2023 to Mar 29, 2024
- Private funds · 41 to 37Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $16B to $16BMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $16B to $16BMar 31, 2023 to Mar 29, 2024
- RAUM · $16B to $16BMar 31, 2023 to Mar 29, 2024
- Accounts · 38 to 41Jul 5, 2022 to Mar 31, 2023
- Pooled vehicle clients · 38 to 41Jul 5, 2022 to Mar 31, 2023
- Employees · 18 to 20Jul 5, 2022 to Mar 31, 2023
- Private funds · 38 to 41Jul 5, 2022 to Mar 31, 2023
- Discretionary RAUM · $16B to $16BJul 5, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $16B to $16BJul 5, 2022 to Mar 31, 2023
- RAUM · $16B to $16BJul 5, 2022 to Mar 31, 2023
- Accounts · 32 to 38May 28, 2021 to Mar 31, 2022
- Pooled vehicle clients · 32 to 38May 28, 2021 to Mar 31, 2022
- Employees · 17 to 18May 28, 2021 to Mar 31, 2022
- Private funds · 32 to 38May 28, 2021 to Mar 31, 2022
- Discretionary RAUM · $11B to $16BMay 28, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $11B to $16BMay 28, 2021 to Mar 31, 2022
- RAUM · $11B to $16BMay 28, 2021 to Mar 31, 2022
- Accounts · 29 to 32Mar 31, 2021 to May 28, 2021
- Pooled vehicle clients · 29 to 32Mar 31, 2021 to May 28, 2021
- Private funds · 29 to 32Mar 31, 2021 to May 28, 2021
- Discretionary RAUM · $7.7B to $11BMar 31, 2021 to May 28, 2021
- Pooled vehicle RAUM · $7.7B to $11BMar 31, 2021 to May 28, 2021
Signals
6 dated events
- Universa Investments L.P. reported RAUM $15.5B, up 44% from $10.8B (2021-05-28 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Universa Investments L.P. reported RAUM $10.8B, up 41% from $7.7B (2021-03-31 to 2021-05-28)May 28, 2021 · RAUM change · derived
- Universa Investments L.P. reported RAUM $7.7B, up 75% from $4.4B (2020-11-23 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Scott Brandon Yarckin (Chief Operating Officer) appeared on Schedule A of Universa Investments L.P.Mar 29, 2019 · Control person joined · fact
- Universa Investments L.P. reported RAUM $4.0B, up 37% from $2.9B (2018-11-29 to 2018-12-03)Dec 3, 2018 · RAUM change · derived
- Universa Investments L.P. reported RAUM $2.9B, up 35% from $2.2B (2017-03-31 to 2018-03-27)Mar 27, 2018 · 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/UNIVERSA-INVESTMENTS-L.P.reportedpublic record, Form ADV, Sep 17, 2026
- Website
- UNIVERSA.NETreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 786-483-3140reportedpublic 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