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••••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Feb 13, 2012 · 18 filings
SEC status approved since Mar 30, 2012
RAUM
$4.3B
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
23
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$4.3B as of Mar 25, 2026
Mar 28, 2013$3.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 28, 20130 then
Employees (5.A)23 as of Mar 25, 2026
Mar 28, 201317 then
Private funds2 as of Mar 25, 2026
Mar 28, 20132 then
RAUM +16% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 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
- $1.4BderivedRAUM 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
- +16%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 vehiclesreportedItem 5.G
- Custody
- $4.4B, 4 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$4.3B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.4B for 4 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=false 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••••• I••••••••• P•••••••• L••• | Hedge Fund | $1.9B | 74 | Feb 13, 2012 |
| S•••••••• M••••• F••• L••• | Hedge Fund | $1.4B | 39 | Feb 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••••• S•••• · Partnercontrolsince 01/2017 · owns 10% to 25%
- L••• W••• M•• · Chief Financial Officercontrolsince 11/2023 · owns less than 5%
- M••••• P•••• D•••• · G•••••• Counsel; Chief Compliance Officercontrolsince 03/2009 · owns less than 5%
- M•••••••• J•••• A•••••••• · Partnercontrolsince 11/1999 · owns 10% to 25%
- S••••• J•••••••• S•••• · Partnercontrolsince 01/2007 · owns 10% to 25%
- S•••••••• P••••• M• · Partnercontrolsince 01/2009 · owns 10% to 25%
- S••••• M••••••• L••••• · Partnercontrolsince 01/2014 · owns 10% to 25%
- T•••••• M••••••• J••• · Partnercontrolsince 01/2011 · owns 10% to 25%
- Z••••••• G••••••• L•• · Partnercontrolsince 01/2024 · owns less than 5%
- M•••••••• J•••• A•••••••• · Principalcontrolsince 11/1999 · owns 25% to 50% of S••• G•• L••
- W•••••• C••••••••• E•••• · Partner (Retired)since 11/1999 · owns 5% to 10%
Entity owners
- S••• L••• · Sole Member Of S•••••••• C•••••• M••••••••• L••direct · owns 75% or more
- S••• G•• L•• · G•••••• Partner Of S••• L•••, The Sole Member Of S•••••••• Capital Managementindirect · owns F of S••• L•••
Related persons
Schedule D 7.A
- S•••••••• G•••••• P••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 12 to 13Apr 15, 2025 to Mar 25, 2026
- Assets in custody · $3.8B to $4.4BApr 15, 2025 to Mar 25, 2026
- Discretionary RAUM · $3.7B to $4.3BApr 15, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $3.7B to $4.3BApr 15, 2025 to Mar 25, 2026
- RAUM · $3.7B to $4.3BApr 15, 2025 to Mar 25, 2026
- Assets in custody · unset to 3801987991.0Mar 25, 2024 to Apr 15, 2025
- Custody of client assets · false to trueMar 25, 2024 to Apr 15, 2025
- Employees · 20 to 23Mar 25, 2024 to Apr 15, 2025
- Financial planning clients · unset to Mar 25, 2024 to Apr 15, 2025
- Discretionary RAUM · $3.3B to $3.7BMar 25, 2024 to Apr 15, 2025
- Pooled vehicle RAUM · $3.3B to $3.7BMar 25, 2024 to Apr 15, 2025
- RAUM · $3.3B to $3.7BMar 25, 2024 to Apr 15, 2025
- Advisory employees · 11 to 12Mar 29, 2023 to Mar 25, 2024
- Employees · 17 to 20Mar 29, 2023 to Mar 25, 2024
- Discretionary RAUM · $3.2B to $3.3BMar 29, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $3.2B to $3.3BMar 29, 2023 to Mar 25, 2024
- RAUM · $3.2B to $3.3BMar 29, 2023 to Mar 25, 2024
- Advisory employees · 10 to 11Mar 25, 2022 to Mar 29, 2023
- Pooled vehicle clients · 3 to 4Mar 25, 2022 to Mar 29, 2023
- Discretionary RAUM · $3.5B to $3.2BMar 25, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $3.5B to $3.2BMar 25, 2022 to Mar 29, 2023
- RAUM · $3.5B to $3.2BMar 25, 2022 to Mar 29, 2023
- Advisory employees · 11 to 10Mar 30, 2021 to Mar 25, 2022
- Employees · 18 to 17Mar 30, 2021 to Mar 25, 2022
- Discretionary RAUM · $3.7B to $3.5BMar 30, 2021 to Mar 25, 2022
- Pooled vehicle RAUM · $3.7B to $3.5BMar 30, 2021 to Mar 25, 2022
- RAUM · $3.7B to $3.5BMar 30, 2021 to Mar 25, 2022
- Employees · 20 to 18Sep 17, 2020 to Mar 30, 2021
- Discretionary RAUM · $3.0B to $3.7BSep 17, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $3.0B to $3.7BSep 17, 2020 to Mar 30, 2021
- RAUM · $3.0B to $3.7BSep 17, 2020 to Mar 30, 2021
- Advisory employees · 10 to 11Mar 28, 2019 to Apr 1, 2020
- Employees · 19 to 20Mar 28, 2019 to Apr 1, 2020
- Discretionary RAUM · $2.8B to $3.0BMar 28, 2019 to Apr 1, 2020
- Pooled vehicle RAUM · $2.8B to $3.0BMar 28, 2019 to Apr 1, 2020
- RAUM · $2.8B to $3.0BMar 28, 2019 to Apr 1, 2020
- Discretionary RAUM · $2.5B to $2.8BMar 28, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $2.5B to $2.8BMar 28, 2018 to Mar 28, 2019
- RAUM · $2.5B to $2.8BMar 28, 2018 to Mar 28, 2019
- Pooled vehicle clients · unset to 3.0Mar 28, 2017 to Mar 28, 2018
Signals
4 dated events
- Wang Mei Lau (Chief Financial Officer) appeared on Schedule A of S•••••••• C•••••• M••••••••• L••Mar 25, 2024 · Control person joined · fact
- Lee Garrett Zwahlen (Partner) appeared on Schedule A of S•••••••• C•••••• M••••••••• L••Mar 25, 2024 · Control person joined · fact
- David Steven Nelson (Chief Financial Officer) no longer on Schedule A of S•••••••• C•••••• M••••••••• L•• (listed 2023-03-29, absent 2024-03-25)Mar 25, 2024 · Control person left · inference
- Nmn Thomas Varkey (Retired Partner) no longer on Schedule A of S•••••••• C•••••• M••••••••• L•• (listed 2019-03-28, absent 2020-04-01)Apr 1, 2020 · Control person left · inference
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
- Principal office phone
- 212-909-4284reportedpublic record, Form ADV, Mar 25, 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