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•••••••• L••
Latest filing Jul 13, 2026
First filing on the tape Mar 28, 2012 · 38 filings
SEC status approved since Dec 17, 2008
RAUM
$366M
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
18
12 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
22
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$366M as of Jul 13, 2026
Mar 28, 2012$189M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 13, 2026
Mar 28, 20130 then
Employees (5.A)18 as of Jul 13, 2026
Mar 28, 201311 then
Private funds22 as of Jul 13, 2026
Mar 28, 20124 then
RAUM -17% over the last fiscal year+7.3% a year over threeIARs 0 to 0offices 3 to 5
Practice profile
derived from the filing of Jul 13, 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
- $15.3MderivedRAUM 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
- unknownderived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- -17%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, selection of other advisersreportedItem 5.G
- Custody
- $139M, 6 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$366M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 24reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $139M for 6 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true 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
27 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G••••• E••••• A••••• F•••• L••• | Other Private Fund | $52.0M | 7 | Mar 29, 2012 |
| H•••••••• A••••••••• F••• Q•• L• | Other Private Fund | $44.7M | 25 | Mar 28, 2012 |
| L•••••• P••••• E••••• I••••••••• F••• L• | Private Equity Fund | $37.9M | 41 | Apr 1, 2016 |
| C••••••••• P•••••• E••••• F•••• L• | Private Equity Fund | $32.5M | 26 | Mar 27, 2013 |
| H•••••••• A••••••••• F••• L• | Other Private Fund | $26.7M | 32 | Mar 28, 2012 |
| A•••••••• M••••• M••••• O••••••••• F•••• L••• | Private Equity Fund | $23.3M | 7 | Aug 8, 2013 |
| H•••••••• I••••••••• F•••• L• | Other Private Fund | $21.7M | 28 | Mar 28, 2012 |
| L•••••• P••••• E••••• I••••••••• F••• ••••••••• L• | Private Equity Fund | $15.2M | 5 | Apr 1, 2016 |
| O•• T•••• B•••••••• L•• | Private Equity Fund | $10.7M | 73 | Mar 30, 2020 |
| P••••• Q•• F••• I• L•• | Private Equity Fund | $7.2M | 11 | Mar 31, 2021 |
| O•• T•••• C••••••• L•• | Private Equity Fund | $4.9M | 90 | Mar 31, 2019 |
| O•• T•••• G•••••• L••no longer reported | Private Equity Fund | $4.8M | 29 | Mar 30, 2020 |
| O•• T•••• P••••••• L••no longer reported | Private Equity Fund | $4.0M | 52 | Mar 31, 2019 |
| T•• P••••••••• C•••••••• I••••• F•••• L•• | Private Equity Fund | $3.9M | 8 | Mar 31, 2022 |
| O•• T•••• S••••• L••no longer reported | Private Equity Fund | $3.8M | 68 | Mar 31, 2019 |
| O•• T•••• G••••• L•• | Private Equity Fund | $3.4M | 48 | Mar 31, 2021 |
| A•••••••• S•••••• O••••••••• F••• I• L• | Private Equity Fund | $2.1M | 1 | Mar 29, 2012 |
| O•• T•••• M•••••••• L•• | Private Equity Fund | $1.9M | 19 | Mar 30, 2020 |
| O•• T•••• M•••• L•• | Private Equity Fund | $1.9M | 91 | Mar 31, 2019 |
| O•• T•••• A•••••••• L•• | Private Equity Fund | $1.5M | 64 | Mar 30, 2020 |
| O•• T•••• Q•••••• L•• | Private Equity Fund | $1.2M | 39 | Mar 31, 2019 |
| A•••• A••• L••• | Private Equity Fund | $1.0M | 2 | Mar 16, 2017 |
| O•• T•••• K••••• L•• | Private Equity Fund | $880,231 | 75 | Mar 31, 2019 |
| G• E••••• F•••• L•• | Private Equity Fund | $804,370 | 13 | Mar 31, 2022 |
| O•• T•••• H•••••• L••no longer reported | Private Equity Fund | $430,271 | 3 | Mar 31, 2019 |
| P•••••••• L•• V••••••••• F•••• L•no longer reported | Other Private Fund | $316,958 | 13 | Mar 28, 2012 |
| O•• T•••• B••••••• L••no longer reported | Private Equity Fund | $126,850 | 97 | Mar 31, 2021 |
Owners and control persons
Schedule A and B, latest filing
- H•••••• K••••• D•••• · Chief Operations Officercontrolsince 05/2018 · owns less than 5%
- M••••••••• K•••• P•••••• · Presidentcontrolsince 01/2020 · owns less than 5%
- P•••••••• A•••••• I••• · Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
- Q••••••• N•••• L••••••• · Director Of Operationscontrolsince 04/2023 · owns less than 5%
- S•••• R•••••• J••••• · General Counselcontrolsince 09/2020 · owns less than 5%
- S•••• S•••••• C••••••••• · Chief Financial Officercontrolsince 07/2024 · owns less than 5%
- M••••••••• K•••• P•••••• · Managercontrolsince 11/2017 · owns F of C••••• P••••••• E•• L••
Entity owners
- C••••• P••••••• L•• · Managerdirect · owns 75% or more
- C••••• P••••••• E•• L•• · Memberindirect · owns 25% to 50% of C• H••••••• I• L••
- C••••• P••••••• E••••• H•••••• L•• · Memberindirect · owns 75% or more of C••••• P••••••• L••
- C• H••••••• I• L•• · Memberindirect · owns 75% or more of C••••• L••
- C• I••••••••• I• L•• · Memberindirect · owns 75% or more of C• I••••••••• I• L••
- C• I••••••••• I• L•• · Memberindirect · owns 75% or more of C• M••••• I• L••
- C• M••••• I• L•• · Memberindirect · owns 75% or more of C• M••••• I• L••
- C• M••••• I• L•• · Memberindirect · owns 75% or more of C••••• P••••••• E••••• H•••••• L••
- C••••• L•• · Memberindirect · owns 75% or more of C••••• L••
- C••••• L•• · Memberindirect · owns 75% or more of C••••• L••
- C••••• L•• · Memberindirect · owns 75% or more of C• I••••••••• I• L••
- G•••••• C•••••• P••••••• X• L••• · Memberindirect · owns 25% to 50% of C• H••••••• I• L••
- G•••••• C•••••• X• L••• · General Partnerindirect · owns F of G•••••• C•••••• P••••••• X• L•••
- G•••••• X• G• L•• · General Partnerindirect · owns F of G•••••• C•••••• X• L•••
Related persons
Schedule D 7.A
- A••• A••••••••• I••••••••• M••••••••• C••••••• L••pooled vehicle sponsorn
- B••• W••••• A••••••• L••investment advisernRAUM $72.6M
- C••••• P••••••• L••investment adviserpooled vehicle sponsorLP sponsoryRAUM $162B
- C••••• P••••••• O••• L••investment advisernRAUM $21B
- C••••• Partners Retirement P••• Consultantsinvestment adviserLP sponsornRAUM $40B
- C• R••• M••••••••• S••••••• L••real estaten
- P••• H•••••••pooled vehicle sponsorn
Advisers that list S••• A•••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- West Conshohoken, PA3 employees
- Westfield, NJ
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 31, 2026discretionary share of RAUM moved from 68.0% to 100.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: asset managers, $100M to $500M (1,567)
- office count surgeChange between filings · filing Mar 31, 2026offices other than the principal office (Item 1.F.5) moved from 3.0 to 5.0 (+67.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (43 comparable advisers, 100.0th percentile of changes)peers: asset managers, $100M to $500M (43) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 22 to 24Sep 18, 2025 to Mar 31, 2026
- Advisory employees · 9 to 12Sep 18, 2025 to Mar 31, 2026
- Pooled vehicle clients · 22 to 25Sep 18, 2025 to Mar 31, 2026
- Assets in custody · $135M to $139MSep 18, 2025 to Mar 31, 2026
- Employees · 15 to 18Sep 18, 2025 to Mar 31, 2026
- Insurance-licensed employees · 9 to 12Sep 18, 2025 to Mar 31, 2026
- Other offices · 3 to 5Sep 18, 2025 to Mar 31, 2026
- Discretionary RAUM · $301M to $366MSep 18, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $141M to $0Sep 18, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $442M to $366MSep 18, 2025 to Mar 31, 2026
- RAUM · $442M to $366MSep 18, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0May 20, 2025 to Sep 18, 2025
- Private funds · 17 to 22May 20, 2025 to Sep 18, 2025
- Accounts · 24 to 22Sep 17, 2024 to Mar 31, 2025
- Advisory employees · 14 to 9Sep 17, 2024 to Mar 31, 2025
- Pooled vehicle clients · 24 to 22Sep 17, 2024 to Mar 31, 2025
- Assets in custody · $93.0M to $135MSep 17, 2024 to Mar 31, 2025
- Employees · 19 to 15Sep 17, 2024 to Mar 31, 2025
- Insurance-licensed employees · 0 to 9Sep 17, 2024 to Mar 31, 2025
- Other offices · 2 to 3Sep 17, 2024 to Mar 31, 2025
- Private funds · 21 to 17Sep 17, 2024 to Mar 31, 2025
- Discretionary RAUM · $296M to $301MSep 17, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $242M to $141MSep 17, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $538M to $442MSep 17, 2024 to Mar 31, 2025
- RAUM · $538M to $442MSep 17, 2024 to Mar 31, 2025
- Related bank · false to trueSep 17, 2024 to Mar 31, 2025
- Related broker-dealer · false to trueSep 17, 2024 to Mar 31, 2025
- Related insurance company · false to trueSep 17, 2024 to Mar 31, 2025
- Accounts · 26 to 24Jul 13, 2023 to Mar 28, 2024
- Pooled vehicle clients · 26 to 24Jul 13, 2023 to Mar 28, 2024
- Assets in custody · $93.8M to $93.0MJul 13, 2023 to Mar 28, 2024
- Other offices · 0 to 2Jul 13, 2023 to Mar 28, 2024
- Private funds · 26 to 21Jul 13, 2023 to Mar 28, 2024
- Discretionary RAUM · $296M to $296MJul 13, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $0 to $242MJul 13, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $296M to $538MJul 13, 2023 to Mar 28, 2024
- RAUM · $296M to $538MJul 13, 2023 to Mar 28, 2024
- Accounts · 10 to 26Feb 15, 2023 to Mar 31, 2023
- Advisory employees · 12 to 14Feb 15, 2023 to Mar 31, 2023
- Pooled vehicle clients · 10 to 26Feb 15, 2023 to Mar 31, 2023
Signals
22 dated events
- A Benjamin Pace (Chief Investment Officer) no longer on Schedule A of S••• A•••••••• L•• (listed 2024-03-28, absent 2024-08-16)Aug 16, 2024 · Control person left · inference
- George C••••••••• C••••• (Chief Financial Officer) no longer on Schedule A of S••• A•••••••• L•• (listed 2024-03-28, absent 2024-08-16)Aug 16, 2024 · Control person left · inference
- C••••••••• S••••• S••• (Chief Financial Officer) appeared on Schedule A of S••• A•••••••• L••Aug 16, 2024 · Control person joined · fact
- S••• A•••••••• L•• reported RAUM $538.1M, up 82% from $296.1M (2023-07-13 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Isom Arthur Prostick (Chief Compliance Officer) appeared on Schedule A of S••• A•••••••• L••Mar 28, 2024 · Control person joined · fact
- Elizabeth Nancy Renshaw (Chief Compliance Officer) no longer on Schedule A of S••• A•••••••• L•• (listed 2023-03-31, absent 2023-07-13)Jul 13, 2023 · Control person left · inference
- Lawrence Neil Quinlan (Director Of Operations) appeared on Schedule A of S••• A•••••••• L••Jul 13, 2023 · Control person joined · fact
- Elizabeth Nancy Renshaw (Chief Compliance Officer) appeared on Schedule A of S••• A•••••••• L••Mar 31, 2023 · Control person joined · fact
- Ashley Stuart Evans (Chief Compliance Officer) no longer on Schedule A of S••• A•••••••• L•• (listed 2023-02-15, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Alexandra Maria Hodi (Chief Administrative Officer) no longer on Schedule A of S••• A•••••••• L•• (listed 2022-08-10, absent 2022-10-17)Oct 17, 2022 · Control person left · inference
- G. C••••••••• C••••• (Chief Financial Officer) appeared on Schedule A of S••• A•••••••• L••Mar 26, 2021 · Control person joined · fact
- Kathryn Joan Rockey (Chief Financial Officer) no longer on Schedule A of S••• A•••••••• L•• (listed 2020-09-18, absent 2021-01-04)Jan 4, 2021 · Control person left · inference
- Ashley Stuart Evans (Chief Compliance Officer) appeared on Schedule A of S••• A•••••••• L••Sep 18, 2020 · Control person joined · fact
- Kathryn Joan Rockey (Chief Financial Officer) appeared on Schedule A of S••• A•••••••• L••Mar 27, 2020 · Control person joined · fact
- Joseph Thomas Obrien (Chief Financial Officer) no longer on Schedule A of S••• A•••••••• L•• (listed 2019-03-29, absent 2020-01-02)Jan 2, 2020 · Control person left · inference
- Elliot David Aaron (Co-Chief Executive Officer And Chief Investment Officer) no longer on Schedule A of S••• A•••••••• L•• (listed 2019-03-29, absent 2020-01-02)Jan 2, 2020 · Control person left · inference
- Mark Lloyd Abramowitz (Co-Chief Executive Officer) no longer on Schedule A of S••• A•••••••• L•• (listed 2019-03-29, absent 2020-01-02)Jan 2, 2020 · Control person left · inference
- Ashley Stuart Evans (Chief Compliance Officer) no longer on Schedule A of S••• A•••••••• L•• (listed 2019-03-29, absent 2020-01-02)Jan 2, 2020 · Control person left · inference
- Patrick Kurt Miscinski (President) appeared on Schedule A of S••• A•••••••• L••Jan 2, 2020 · Control person joined · fact
- Alexandra Maria Hodi (Chief Administrative Officer) appeared on Schedule A of S••• A•••••••• L••Jan 2, 2020 · Control person joined · fact
- A Benjamin Pace (Chief Investment Officer) appeared on Schedule A of S••• A•••••••• L••Jan 2, 2020 · Control person joined · fact
- Kevin Hilden (Chief Operating Officer) appeared on Schedule A of S••• A•••••••• L••Jan 2, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- S••• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- S••• A•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-850-4260reportedpublic record, Form ADV, Jul 13, 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