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•••••• I•• L••
Latest filing Mar 31, 2026
First filing on the tape Feb 7, 2012 · 37 filings
SEC status approved since Feb 8, 2010
RAUM
$1.9B
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
24
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
13
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$1.9B as of Mar 31, 2026
Feb 7, 2012$5.8B then
HNW client RAUM$0 as of Mar 31, 2026
Mar 31, 2018$6.4M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Apr 1, 20130 then
Employees (5.A)24 as of Mar 31, 2026
Apr 1, 201349 then
Private funds13 as of Mar 31, 2026
Feb 7, 20128 then
RAUM -25% over the last fiscal year-1.3% 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
- $107MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -25%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-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisers, otherreportedItem 5.G
- Custody
- $241M, 3 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$1.4B74%
- Pooled investment vehicles$496M26%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 18reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $241M for 3 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=14.0derived
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
24 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••••• S••••••••• L•• | Hedge Fund | $188M | 174 | Feb 7, 2012 |
| S•••••••• J•••• S••••••• U••• T•••• | Hedge Fund | $149M | 3 | Mar 31, 2023 |
| S•••••••• H•••• F••• P•••••••• L••no longer reported | Hedge Fund | $85.6M | 274 | Feb 7, 2012 |
| S•••••••• H•••• F••• P•••••••• L•no longer reported | Hedge Fund | $81.2M | 93 | Feb 7, 2012 |
| S•••••••• J•••• S••••••••• S••• S••••••••• P•••••••• S• J•• A• | Hedge Fund | $71.7M | 1 | Mar 31, 2021 |
| S•••••••• J•••• S••••••••• S••• S••••••••• P•••••••• S• J•• C• | Hedge Fund | $51.2M | 1 | Mar 31, 2022 |
| S•••••••• A••••••• F•••• L•••no longer reported | Hedge Fund | $49.8M | 4 | Mar 31, 2022 |
| S•••••••• J•••• S••••••••• S••• S••••••••• P•••••••• S• J•• B• | Hedge Fund | $44.9M | 1 | Mar 31, 2022 |
| S•••••••• C•••••• I• M•••••• L•no longer reported | Hedge Fund | $42.1M | 71 | Feb 7, 2012 |
| S•••••••• C•••• L• | Private Equity Fund | $40.1M | 174 | Mar 31, 2021 |
| S•••••••• C••• M••••• F••• L• | Hedge Fund | $28.3M | 22 | Mar 31, 2023 |
| S•••••••• K••••• L• | Private Equity Fund | $19.7M | 233 | Mar 31, 2022 |
| S•••••••• P••••• L• | Private Equity Fund | $16.2M | 173 | Mar 31, 2022 |
| S•••••••• C•••••• P•••••••• L•no longer reported | Hedge Fund | $10.4M | 119 | Feb 7, 2012 |
| S•••••••• U•••••• R••••••• F••• L• | Private Equity Fund | $7.5M | 30 | Mar 30, 2024 |
| S•••••••• K••••• L• | Private Equity Fund | $5.0M | 125 | Mar 31, 2022 |
| N•••••• A••••••• R••••• L•no longer reported | Hedge Fund | $4.3M | 13 | Feb 7, 2012 |
| S•••••••• O••••••••• F•••• L•no longer reported | Hedge Fund | $3.2M | 2 | Mar 31, 2015 |
| S•••••••• G•••••• L• | Private Equity Fund | $2.5M | 133 | Mar 31, 2022 |
| S•••••••• C•••••• I• ••••••• L••no longer reported | Hedge Fund | $1.3M | 43 | Feb 7, 2012 |
| S•••••••• H••••• L• | Private Equity Fund | $1.2M | 37 | Mar 31, 2023 |
| S•••••••• B•• M••••• L• | Private Equity Fund | $782,000 | 51 | Mar 31, 2023 |
| S•••••••• Q••••••••• E••••• D••••• F•••• L•no longer reported | Hedge Fund | $500,000 | 2 | Feb 7, 2012 |
| S•••••••• F•• L• | Private Equity Fund | $0 | 16 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- M••••••• B••••• S••••• · Manager, President, Co-Chief Investment Officer; Trustee, B•••• M•••••• 2••• L••••• T••••controlsince 07/2021 · owns less than 5%
- N••••• A••••••••• M•••• · Member, Chief Compliance Officer, Chief Legal Officercontrolsince 01/2015 · owns less than 5%
- N••••• R••••••• C••• · Manager, Member, Co-Chief Investment Officercontrolsince 02/2019 · owns 5% to 10%
- P•••••••• R•••••• J••• · Member, Chief Financial Officercontrolsince 07/2010 · owns less than 5%
- S••••••••• A••••••• •••• · Manager, Membercontrolsince 05/2018 · owns 25% to 50%
- B••••••••• S•••••• B••••••• · Shareholdercontrolsince 09/2022 · owns 75% or more of P•••• B••• I••
- D••••••••• M•••••••• D•••••• A•••••• · Shareholdercontrolsince 02/2013 · owns 75% or more of P••••• H•••••• S•••
- M••••••• B••••• S••••• · Trusteecontrolsince 01/2021 · owns F of B•••• M•••••• 2••• L••••• T••••
Entity owners
- P••••• H•••••• S••• · Manager, Memberdirect · owns 5% to 10%
- P•••• B••• I•• · Shareholderindirect · owns 75% or more of I••••• B•• V•••••••• I••
- B•••• M•••••• 2••• L••••• T•••• · Memberdirect · owns 10% to 25%
- I••••• B•• V•••••••• I•• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- D•••••• M•••• G• L••pooled vehicle sponsorn
- H••••••• C•••••• G••••• L••broker-dealern
- S•••••••• B•••••• G• L••pooled vehicle sponsorn
- S•••••••• B•• M••••• G• L••pooled vehicle sponsorn
- S•••••••• C•••••• •••••••• G••• L••pooled vehicle sponsorn
- S•••••••• C•••• G•• L••pooled vehicle sponsorn
- S•••••••• F•• G• L••pooled vehicle sponsorn
- S•••••••• G•••••• G• L••pooled vehicle sponsorn
- S•••••••• H••••• G• L••pooled vehicle sponsorn
- S•••••••• K••••• G•• L••pooled vehicle sponsorn
- S•••••••• K••••• G• L••pooled vehicle sponsorn
- S•••••••• P•••• G• L••pooled vehicle sponsorn
- S•••••••• U•••••• R••••••• F••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $2,576,543,000 to $1,919,531,000 (-25.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +11.0% (1368 comparable advisers, 4.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 4.4% percentile
What changed
consecutive filings, newest first
- Accounts · 21 to 18Mar 31, 2025 to Mar 31, 2026
- Advisory activities · 5 to 4Mar 31, 2025 to Mar 31, 2026
- Pension plan clients · unset to 0.0Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 17 to 15Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $486M to $241MMar 31, 2025 to Mar 31, 2026
- Employees · 21 to 24Mar 31, 2025 to Mar 31, 2026
- Private funds · 15 to 13Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.6B to $1.9BMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $3.3M to $0Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $682M to $496MMar 31, 2025 to Mar 31, 2026
- RAUM · $2.6B to $1.9BMar 31, 2025 to Mar 31, 2026
- Accounts · 19 to 21Mar 30, 2024 to Mar 31, 2025
- BD registered reps · 13 to 14Mar 30, 2024 to Mar 31, 2025
- Pooled vehicle clients · 15 to 17Mar 30, 2024 to Mar 31, 2025
- Assets in custody · $495M to $486MMar 30, 2024 to Mar 31, 2025
- Employees · 23 to 21Mar 30, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 30, 2024 to Mar 31, 2025
- Private funds · 14 to 15Mar 30, 2024 to Mar 31, 2025
- Discretionary RAUM · $2.0B to $2.6BMar 30, 2024 to Mar 31, 2025
- Pension RAUM · $5.2M to $3.3MMar 30, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $598M to $682MMar 30, 2024 to Mar 31, 2025
- RAUM · $2.0B to $2.6BMar 30, 2024 to Mar 31, 2025
- Accounts · 21 to 19Jan 26, 2024 to Mar 30, 2024
- Advisory employees · 6 to 5Jan 26, 2024 to Mar 30, 2024
- Pooled vehicle clients · 17 to 15Jan 26, 2024 to Mar 30, 2024
- Assets in custody · $473M to $495MJan 26, 2024 to Mar 30, 2024
- Employees · 21 to 23Jan 26, 2024 to Mar 30, 2024
- Other offices · 1 to 0Jan 26, 2024 to Mar 30, 2024
- Discretionary RAUM · $2.0B to $2.0BJan 26, 2024 to Mar 30, 2024
- Pension RAUM · $104M to $5.2MJan 26, 2024 to Mar 30, 2024
- Pooled vehicle RAUM · $584M to $598MJan 26, 2024 to Mar 30, 2024
- RAUM · $2.0B to $2.0BJan 26, 2024 to Mar 30, 2024
- Accounts · 27 to 21Sep 20, 2022 to Mar 31, 2023
- Advisory employees · 8 to 6Sep 20, 2022 to Mar 31, 2023
- Advisory activities · 6 to 5Sep 20, 2022 to Mar 31, 2023
- BD registered reps · 20 to 13Sep 20, 2022 to Mar 31, 2023
- Corporate clients · unset to 0.0Sep 20, 2022 to Mar 31, 2023
- HNW clients · unset to 0.0Sep 20, 2022 to Mar 31, 2023
- Assets in custody · $502M to $473MSep 20, 2022 to Mar 31, 2023
- Employees · 35 to 21Sep 20, 2022 to Mar 31, 2023
Signals
9 dated events
- S•••••••• C•••••• I•• L•• reported RAUM $1.9B, down 25% from $2.6B (2025-03-31 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- S•••••••• C•••••• I•• L•• reported RAUM $2.6B, up 29% from $2.0B (2024-03-30 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- S•••••••• C•••••• I•• L•• reported RAUM $2.0B, down 64% from $5.5B (2022-09-20 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Benjamin Samuel Bankman-Fried (Shareholder) appeared on Schedule A of S•••••••• C•••••• I•• L••Sep 20, 2022 · Control person joined · fact
- Alfonso Danilo Diazgranados Manglano (Shareholder) appeared on Schedule A of S•••••••• C•••••• I•• L••Jul 29, 2022 · Control person joined · fact
- Albert Laurent Roccia (Member) no longer on Schedule A of S•••••••• C•••••• I•• L•• (listed 2022-03-31, absent 2022-07-29)Jul 29, 2022 · Control person left · inference
- Adam Troy Gayeski (Member, Co-Chief Investment Officer) no longer on Schedule A of S•••••••• C•••••• I•• L•• (listed 2020-10-21, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Ralph Jason Wright (Manager, Member) no longer on Schedule A of S•••••••• C•••••• I•• L•• (listed 2018-11-02, absent 2019-02-12)Feb 12, 2019 · Control person left · inference
- Adam Troy Gayeski (Member, Co-Chief Investment Officer) appeared on Schedule A of S•••••••• C•••••• I•• L••Feb 12, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- S•••••••• C•••••• I•• L•• · Independent Sponsorsshared crd · capital_provider
- S•••••••• C•••••• I•• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/S••••••••-CAPITALreportedpublic record, Form ADV, Sep 18, 2026
- Website
- S••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-485-3100reportedpublic 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