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••••••• L••
Latest filing Jul 7, 2026
First filing on the tape Feb 14, 2012 · 36 filings
SEC status approved since Mar 30, 2012
RAUM
$5.7B
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
12
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
29
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$5.7B as of Jul 7, 2026
Mar 27, 2013$282M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 7, 2026
Mar 27, 20130 then
Employees (5.A)12 as of Jul 7, 2026
Mar 27, 20137 then
Private funds29 as of Jul 7, 2026
Mar 27, 20136 then
RAUM +5.9% over the last fiscal year+8.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 7, 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
- $198MderivedRAUM 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
- +5.9%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
- $353M, 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$5.7B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 29reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $353M 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
25 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••• C•••••• F••• I••• L• | Private Equity Fund | $1.0B | 197 | Mar 30, 2018 |
| S••••••• S••••• I• F••••••• F•••• L• | Private Equity Fund | $791M | 251 | Mar 28, 2023 |
| S••••••• C•••••• F••• I•• L• | Private Equity Fund | $589M | 145 | Mar 27, 2014 |
| S••••••• S••••• I• L•••••• F•••• L• | Private Equity Fund | $545M | 187 | Mar 28, 2023 |
| S••••••• H•••••• C••••••• L•• | Private Equity Fund | $356M | 1 | Mar 27, 2014 |
| S••••••• C•••••• A• I••• L• | Private Equity Fund | $273M | 87 | Mar 30, 2018 |
| S••••••• C•••••• F••• I•••• L• | Private Equity Fund | $269M | 73 | Mar 27, 2014 |
| S••••••• C•••••• A• I•• L• | Private Equity Fund | $196M | 101 | Mar 28, 2022 |
| S••••••• C•••••• A• I••••• L• | Private Equity Fund | $135M | 3 | Mar 29, 2019 |
| S••••••• P•••••••• C•••••• I••••••••• I••• L•• | Private Equity Fund | $109M | 80 | Mar 29, 2019 |
| S••••••• C•••••• A• I•••• L• | Private Equity Fund | $101M | 2 | Mar 28, 2022 |
| S••••••• F••••••• F••• I• L• | Private Equity Fund | $70.8M | 85 | Feb 14, 2012 |
| S••••••• S••••• I••• L•••••• F•••• L• | Private Equity Fund | $60.9M | 4 | Mar 28, 2023 |
| S••••••• S••••• I••• F••••••• F•••• L• | Private Equity Fund | $59.6M | 3 | Mar 28, 2023 |
| S••••••• P•••••••• C•••••• I••••••••• I•• L•• | Private Equity Fund | $55.5M | 85 | Mar 27, 2014 |
| S••••••• F••••••• F••• I••• L• | Private Equity Fund | $44.9M | 32 | Feb 14, 2012 |
| S•••• I••••••••• L•• | Private Equity Fund | $38.0M | 29 | Mar 30, 2018 |
| O•• • S• S••• L•• | Private Equity Fund | $20.1M | 2 | Mar 24, 2021 |
| G•••• S••• L•• | Private Equity Fund | $19.3M | 6 | Mar 28, 2022 |
| S••••••• S••••• I• L•••••• I••••••••• L•• | Private Equity Fund | $18.9M | 5 | Mar 27, 2024 |
| C••• S•••••••• L•• | Private Equity Fund | $175,600 | 15 | Feb 14, 2012 |
| S••••••• 2••• H•••••• L•• | Private Equity Fund | $59,000 | 27 | Mar 27, 2017 |
| S•• P•••••••• C•••••• I••••••••• L•• C••••••••• S••••• I• | Private Equity Fund | $25,000 | 23 | Feb 14, 2012 |
| S••••••• H••••• I• L••no longer reported | Private Equity Fund | $17,000 | 22 | Mar 27, 2013 |
| S•• P•••••••• C•••••• I••••••••• L•• C••••••••• S••••• I• | Private Equity Fund | $0 | 18 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- K••••••• J••••• M•••••• · Chief Compliance Officer And Chief Financial Officercontrolsince 08/2015 · owns less than 5%
- R•••••• T••••••• M••• · Managing Partner & Managing Membercontrolsince 02/2008 · owns 25% to 50%
- Z••••• S••••••• J•••••• · Managing Partner & Managing Membercontrolsince 02/2008 · owns 25% to 50%
- S••••••••• E•••• F•••• · Managing Membercontrolsince 01/2013 · owns 75% or more of B•••• H•••• H•••••••• L••
Entity owners
- B•••• H•••• H•••••••• L•• · Managing Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- S••••••• C•••••• A• I• G•• L•pooled vehicle sponsorn
- S••••••• C•••••• F••• I• G•• L•pooled vehicle sponsorn
- S••••••• C•••••• F••• I•• G•• L•pooled vehicle sponsorn
- S••••••• F••••••• F••• I• G•• L•pooled vehicle sponsorn
- S••••••• G••••• L••pooled vehicle sponsorn
- S••••••• S••••• I• F••••••• F••• G•• L•pooled vehicle sponsorn
- S••••••• S••••• I• L•••••• F••• G•• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- New York, NY12 employees
What changed
consecutive filings, newest first
- Accounts · 27 to 29Dec 11, 2025 to Mar 30, 2026
- Advisory employees · 13 to 12Dec 11, 2025 to Mar 30, 2026
- Pooled vehicle clients · 27 to 29Dec 11, 2025 to Mar 30, 2026
- Assets in custody · $335M to $353MDec 11, 2025 to Mar 30, 2026
- Employees · 13 to 12Dec 11, 2025 to Mar 30, 2026
- Private funds · 27 to 29Dec 11, 2025 to Mar 30, 2026
- Discretionary RAUM · $5.4B to $5.7BDec 11, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $5.4B to $5.7BDec 11, 2025 to Mar 30, 2026
- RAUM · $5.4B to $5.7BDec 11, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 26, 2025 to Jun 30, 2025
- Accounts · 24 to 27Jul 2, 2024 to Mar 26, 2025
- Pooled vehicle clients · 24 to 27Jul 2, 2024 to Mar 26, 2025
- Assets in custody · $179M to $335MJul 2, 2024 to Mar 26, 2025
- Private funds · 24 to 27Jul 2, 2024 to Mar 26, 2025
- Discretionary RAUM · $4.8B to $5.4BJul 2, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $4.8B to $5.4BJul 2, 2024 to Mar 26, 2025
- RAUM · $4.8B to $5.4BJul 2, 2024 to Mar 26, 2025
- Accounts · 23 to 24Aug 21, 2023 to Mar 27, 2024
- Advisory employees · 10 to 13Aug 21, 2023 to Mar 27, 2024
- Pooled vehicle clients · 23 to 24Aug 21, 2023 to Mar 27, 2024
- Assets in custody · $161M to $179MAug 21, 2023 to Mar 27, 2024
- Employees · 10 to 13Aug 21, 2023 to Mar 27, 2024
- Private funds · 23 to 24Aug 21, 2023 to Mar 27, 2024
- Discretionary RAUM · $4.4B to $4.8BAug 21, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $4.4B to $4.8BAug 21, 2023 to Mar 27, 2024
- RAUM · $4.4B to $4.8BAug 21, 2023 to Mar 27, 2024
- Accounts · 19 to 23Jun 30, 2022 to Mar 28, 2023
- Advisory employees · 9 to 10Jun 30, 2022 to Mar 28, 2023
- Pooled vehicle clients · 19 to 23Jun 30, 2022 to Mar 28, 2023
- Assets in custody · $135M to $161MJun 30, 2022 to Mar 28, 2023
- Employees · 9 to 10Jun 30, 2022 to Mar 28, 2023
- Private funds · 19 to 23Jun 30, 2022 to Mar 28, 2023
- Discretionary RAUM · $3.2B to $4.4BJun 30, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $3.2B to $4.4BJun 30, 2022 to Mar 28, 2023
- RAUM · $3.2B to $4.4BJun 30, 2022 to Mar 28, 2023
- Accounts · 17 to 19Jun 29, 2021 to Mar 28, 2022
- Advisory employees · 8 to 9Jun 29, 2021 to Mar 28, 2022
- Pooled vehicle clients · 17 to 19Jun 29, 2021 to Mar 28, 2022
- Assets in custody · $146M to $135MJun 29, 2021 to Mar 28, 2022
- Employees · 8 to 9Jun 29, 2021 to Mar 28, 2022
Signals
3 dated events
- S••••••• C••••••• L•• reported RAUM $4.4B, up 39% from $3.2B (2022-06-30 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- S••••••• C••••••• L•• reported RAUM $2.2B, up 32% from $1.7B (2018-07-02 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- S••••••• C••••••• L•• reported RAUM $1.7B, up 76% from $956.3M (2017-03-27 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- S••••••• C••••••• L•• · Independent Sponsorsshared crd · capital_provider
- S••••••• C••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- S•••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 857-362-9200reportedpublic record, Form ADV, Jul 7, 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