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•• M••• C•••••• L•••••

Asset manager (funds and pooled vehicles)Briarcliff Manor, New YorkCRD 156472SEC 801-73432website IAPD

Latest filing Mar 26, 2026

First filing on the tape Feb 13, 2012 · 17 filings

SEC status approved since Mar 30, 2012

RAUM

$1.0B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

18 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

17 filings and snapshots on the tape

RAUM$1.0B as of Mar 26, 2026

Mar 18, 2013$379M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 26, 2026

Mar 18, 20130 then

Employees (5.A)25 as of Mar 26, 2026

Mar 18, 201313 then

Private funds10 as of Mar 26, 2026

Mar 18, 201310 then

RAUM -14% over the last fiscal year+13% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 26, 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: $102MderivedRAUM 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: -14%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
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$1.0B100%

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 10reported
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=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

Every departure Every arrival

Private funds

19 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
S•• M••• C•••••• P••••••• I• L•	Private Equity Fund	$250M	27	Mar 29, 2016
S•• M••• C•••••• P••••••• I••• L•	Private Equity Fund	$247M	17	Mar 29, 2016
S•• M••• C•••••• P••••••• I••	Private Equity Fund	$222M	47	Mar 28, 2022
S•• M••• C•••••• C•••• L•	Private Equity Fund	$168M	12	Mar 25, 2024
J•••• P••••••• H••••••• I•••no longer reported	Private Equity Fund	$129M	80	Mar 18, 2013
S•• M••• C•••••• C•• L•	Private Equity Fund	$126M	37	Mar 25, 2024
S•• M••• C•••••• P••••••• I••••	Private Equity Fund	$95.1M	42	Mar 28, 2022
S•• M••• C•••••• C••• L•	Private Equity Fund	$78.9M	18	Mar 25, 2024
J•••• G•••• H••••••• L••no longer reported	Private Equity Fund	$23.9M	22	Mar 25, 2014
S•• P••• H•••••• L••no longer reported	Private Equity Fund	$22.1M	15	Mar 18, 2013
S•• M••• C•••••• P•••••••• L•	Private Equity Fund	$18.1M	37	Feb 13, 2012
G•••••• P•••••••• H••••••• L••no longer reported	Private Equity Fund	$10.3M	11	Mar 18, 2013
S•• M••• C•••••• C••••• L•	Private Equity Fund	$8.9M	3	Mar 25, 2024
S•• M••• P•• P••••••• L••no longer reported	Private Equity Fund	$2.5M	22	Mar 18, 2013
S•• V•••••• H•••••• L••no longer reported	Private Equity Fund	$1.5M	6	Mar 18, 2013
E•••••••• H•••••• C•• L••no longer reported	Private Equity Fund	$172,169	30	Mar 18, 2013
S•• M••• C•••••• I•••••••• L•	Private Equity Fund	$154,759	16	Feb 13, 2012
S•• E•••••••• I••••••••• L•no longer reported	Private Equity Fund	$44,281	14	Feb 13, 2012
S•• M••• C•••••• F••• V• L••no longer reported	Private Equity Fund	$0	7	Feb 13, 2012

Owners and control persons

Schedule A and B, latest filing

C••••••• B••••• M•••• · Partner, Chief Financial Officercontrol
since 11/2006 · owns less than 5%
G•••••••• W••••••• M••• · Partner, Chief Compliance Officercontrol
since 01/2011 · owns less than 5%
U••••• H••••• · Membercontrol
since 01/2006 · owns 75% or more of S•• M••• C•••••• A••••••••• G•• L••
U••••• H••••• · Limited Partnercontrol
since 11/2007 · owns 50% to 75% of S•• M••• C•••••• H•••••••• L•

Entity owners

S•• M••• C•••••• H•••••••• L• · Sole Member
direct · owns 75% or more
S•• M••• C•••••• A••••••••• G•• L•• · General Partner
indirect · owns F of S•• M••• C•••••• H•••••••• L•

Related persons

Schedule D 7.A

S•• M••• C•••••• A••••••••• G•• L••
investment adviserpooled vehicle sponsory
S•• M••• C•••••• A••••••••• I•• L•
investment adviserpooled vehicle sponsory
S•• M••• C•••••• A••••••••• L•
investment adviserpooled vehicle sponsory
S•• M••• C•••••• I• L••
investment adviserpooled vehicle sponsory

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 20 to 18
Mar 25, 2025 to Mar 26, 2026
Employees · 27 to 25
Mar 25, 2025 to Mar 26, 2026
Discretionary RAUM · $1.2B to $1.0B
Mar 25, 2025 to Mar 26, 2026
Pooled vehicle RAUM · $1.2B to $1.0B
Mar 25, 2025 to Mar 26, 2026
RAUM · $1.2B to $1.0B
Mar 25, 2025 to Mar 26, 2026
Advisory employees · 18 to 20
Mar 25, 2024 to Mar 25, 2025
Employees · 24 to 27
Mar 25, 2024 to Mar 25, 2025
Financial planning clients · unset to
Mar 25, 2024 to Mar 25, 2025
Discretionary RAUM · $1.2B to $1.2B
Mar 25, 2024 to Mar 25, 2025
Pooled vehicle RAUM · $1.2B to $1.2B
Mar 25, 2024 to Mar 25, 2025
RAUM · $1.2B to $1.2B
Mar 25, 2024 to Mar 25, 2025
Accounts · 6 to 10
Mar 21, 2023 to Mar 25, 2024
Advisory employees · 17 to 18
Mar 21, 2023 to Mar 25, 2024
Pooled vehicle clients · 6 to 10
Mar 21, 2023 to Mar 25, 2024
Assets in custody · 544753670.0 to unset
Mar 21, 2023 to Mar 25, 2024
Custody of client assets · true to false
Mar 21, 2023 to Mar 25, 2024
Private funds · 6 to 10
Mar 21, 2023 to Mar 25, 2024
Discretionary RAUM · $710M to $1.2B
Mar 21, 2023 to Mar 25, 2024
Pooled vehicle RAUM · $710M to $1.2B
Mar 21, 2023 to Mar 25, 2024
RAUM · $710M to $1.2B
Mar 21, 2023 to Mar 25, 2024
Advisory employees · 14 to 17
Mar 28, 2022 to Mar 21, 2023
Pooled vehicle clients · 4 to 6
Mar 28, 2022 to Mar 21, 2023
Assets in custody · $249M to $545M
Mar 28, 2022 to Mar 21, 2023
Employees · 19 to 24
Mar 28, 2022 to Mar 21, 2023
Discretionary RAUM · $771M to $710M
Mar 28, 2022 to Mar 21, 2023
Pooled vehicle RAUM · $771M to $710M
Mar 28, 2022 to Mar 21, 2023
RAUM · $771M to $710M
Mar 28, 2022 to Mar 21, 2023
Accounts · 4 to 6
Mar 19, 2021 to Mar 28, 2022
Employees · 18 to 19
Mar 19, 2021 to Mar 28, 2022
Private funds · 4 to 6
Mar 19, 2021 to Mar 28, 2022
Discretionary RAUM · $471M to $771M
Mar 19, 2021 to Mar 28, 2022
Pooled vehicle RAUM · $471M to $771M
Mar 19, 2021 to Mar 28, 2022
RAUM · $471M to $771M
Mar 19, 2021 to Mar 28, 2022
Assets in custody · $204M to $249M
Apr 23, 2020 to Mar 19, 2021
Discretionary RAUM · $478M to $471M
Apr 23, 2020 to Mar 19, 2021
Pooled vehicle RAUM · $478M to $471M
Apr 23, 2020 to Mar 19, 2021
RAUM · $478M to $471M
Apr 23, 2020 to Mar 19, 2021
Assets in custody · $100M to $204M
Mar 18, 2020 to Apr 23, 2020
Discretionary RAUM · $200M to $478M
Mar 18, 2020 to Apr 23, 2020
Pooled vehicle RAUM · $200M to $478M
Mar 18, 2020 to Apr 23, 2020

Signals

5 dated events

S•• M••• C•••••• L••••• reported RAUM $1.2B, up 71% from $709.8M (2023-03-21 to 2024-03-25)
Mar 25, 2024 · RAUM change · derived
S•• M••• C•••••• L••••• reported RAUM $771.1M, up 64% from $471.4M (2021-03-19 to 2022-03-28)
Mar 28, 2022 · RAUM change · derived
S•• M••• C•••••• L••••• reported RAUM $477.7M, up 139% from $200.0M (2020-03-18 to 2020-04-23)
Apr 23, 2020 · RAUM change · derived
S•• M••• C•••••• L••••• reported RAUM $200.0M, down 58% from $473.1M (2019-03-26 to 2020-03-18)
Mar 18, 2020 · RAUM change · derived
S•• M••• C•••••• L••••• reported RAUM $473.1M, down 45% from $855.9M (2018-03-29 to 2019-03-26)
Mar 26, 2019 · RAUM change · derived

Across DFX

shared identifiers only, never a name match

S•• M••• C•••••• L••••• · Independent Sponsors
shared crd · capital_provider
S•• M••• C•••••• L••••• · Private Equity
shared crd · organization

How to reach

public business contact points only, each with its source

Website: H••••://WWW.SAWM•••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: 914-741-1300reportedpublic record, Form ADV, Mar 26, 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