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••••••• I••••••••• P••••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Feb 14, 2012 · 23 filings
SEC status approved since Mar 30, 2012
RAUM
$3.9B
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
17 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$3.9B as of Mar 31, 2026
Mar 28, 2013$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20130 then
Employees (5.A)24 as of Mar 31, 2026
Mar 28, 201310 then
Private funds6 as of Mar 31, 2026
Mar 28, 20135 then
RAUM +113% over the last fiscal year+26% 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
- $657MderivedRAUM 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
- +113%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-based, otherreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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 testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$3.9B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- 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
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••• I••••••••• P••••••• I•• L••• | Private Equity Fund | $1.3B | 324 | Mar 30, 2020 |
| S••••••• I••••••••• P••••••• I••• L••• | Private Equity Fund | $424M | 97 | Mar 28, 2013 |
| S••••••• I••••••••• P••••••• L•••no longer reported | Private Equity Fund | $17.4M | 45 | Feb 14, 2012 |
| S••••••• I••••••••• P••••••• S••••••••• L•••no longer reported | Private Equity Fund | $550,723 | 18 | Feb 14, 2012 |
| S••••••• I••••••••• P••••••• S••••••••• I•• L••• | Private Equity Fund | $0 | 0 | Feb 14, 2012 |
| S••••••• I••••••••• P••••••• I•• L••• | Private Equity Fund | $0 | 0 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- M••••• M•••••• W•••••• · Managing Member And Chief Compliance Officercontrolsince 12/1999 · owns 25% to 50%
- N•••••••• D••••••• L•••• · Managing Membercontrolsince 12/1999 · owns 25% to 50%
- S••••••• C••••••• W•••••• · Managing Membercontrolsince 12/1999 · owns 25% to 50%
- X•• P••• N•• · Chief Financial Officercontrolsince 01/2023 · owns less than 5%
Related persons
Schedule D 7.A
- S••••••• I••••••••• P••••••• M••••••••• I•• L•••••investment adviserpooled vehicle sponsorn
- S••••••• I••••••••• P••••••• M••••••••• I•• L•••investment adviserpooled vehicle sponsorn
- S••••••• I••••••••• P••••••• M••••••••• I••• L•••••investment adviserpooled vehicle sponsorn
- S••••••• I••••••••• P••••••• M••••••••• I•• L•••••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 31, 2026custody of client assets (Item 9.A): yes on the filing of 2026-02-18, no on the filing of 2026-03-31peers: asset managers, $1B to $5B (1,506)
- private fund count surgeChange between filings · filing Mar 31, 2026private funds (Schedule D 7.B.1) moved from 2.0 to 6.0 (+200.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (1022 comparable advisers, 100.0th percentile of changes)peers: asset managers, $1B to $5B (1,022) · 100% percentile
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $1,850,452,416 to $3,943,513,537 (+113.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +11.0% (1368 comparable advisers, 95.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 95% percentile
What changed
consecutive filings, newest first
- Accounts · 2 to 6Feb 18, 2026 to Mar 31, 2026
- Advisory employees · 14 to 17Feb 18, 2026 to Mar 31, 2026
- Pooled vehicle clients · 2 to 6Feb 18, 2026 to Mar 31, 2026
- Assets in custody · $1.3B to $1.8BFeb 18, 2026 to Mar 31, 2026
- Custody of client assets · true to falseFeb 18, 2026 to Mar 31, 2026
- Employees · 21 to 24Feb 18, 2026 to Mar 31, 2026
- Private funds · 2 to 6Feb 18, 2026 to Mar 31, 2026
- Discretionary RAUM · $1.9B to $3.9BFeb 18, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $1.9B to $3.9BFeb 18, 2026 to Mar 31, 2026
- RAUM · $1.9B to $3.9BFeb 18, 2026 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to May 21, 2025
- HQ city · WESTPORT to GREENWICHMar 31, 2025 to May 21, 2025
- Accounts · 4 to 2Apr 29, 2024 to Mar 31, 2025
- Pooled vehicle clients · 4 to 2Apr 29, 2024 to Mar 31, 2025
- Assets in custody · $974M to $1.3BApr 29, 2024 to Mar 31, 2025
- Employees · 20 to 21Apr 29, 2024 to Mar 31, 2025
- Private funds · 4 to 2Apr 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.7B to $1.9BApr 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.7B to $1.9BApr 29, 2024 to Mar 31, 2025
- RAUM · $1.7B to $1.9BApr 29, 2024 to Mar 31, 2025
- Assets in custody · $976M to $974MMar 29, 2024 to Apr 29, 2024
- Discretionary RAUM · $1.8B to $1.7BMar 29, 2024 to Apr 29, 2024
- Pooled vehicle RAUM · $1.8B to $1.7BMar 29, 2024 to Apr 29, 2024
- RAUM · $1.8B to $1.7BMar 29, 2024 to Apr 29, 2024
- Advisory employees · 12 to 14Mar 30, 2023 to Mar 29, 2024
- Assets in custody · $1.2B to $976MMar 30, 2023 to Mar 29, 2024
- Employees · 18 to 20Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $2.0B to $1.8BMar 30, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $2.0B to $1.8BMar 30, 2023 to Mar 29, 2024
- RAUM · $2.0B to $1.8BMar 30, 2023 to Mar 29, 2024
- Assets in custody · $999M to $1.2BJan 9, 2023 to Mar 30, 2023
- Employees · 17 to 18Jan 9, 2023 to Mar 30, 2023
- Discretionary RAUM · $1.6B to $2.0BJan 9, 2023 to Mar 30, 2023
- Pooled vehicle RAUM · $1.6B to $2.0BJan 9, 2023 to Mar 30, 2023
- RAUM · $1.6B to $2.0BJan 9, 2023 to Mar 30, 2023
- Assets in custody · $1.0B to $999MMar 31, 2021 to Mar 31, 2022
- Employees · 18 to 17Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $1.6B to $1.6BMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $1.6B to $1.6BMar 31, 2021 to Mar 31, 2022
- RAUM · $1.6B to $1.6BMar 31, 2021 to Mar 31, 2022
Signals
4 dated events
- S••••••• I••••••••• P••••••• A•••••••• L•• reported RAUM $3.9B, up 113% from $1.9B (2026-02-18 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Nmn Pei Xu (Chief Financial Officer) appeared on Schedule A of S••••••• I••••••••• P••••••• A•••••••• L••Jan 9, 2023 · Control person joined · fact
- S••••••• I••••••••• P••••••• A•••••••• L•• reported RAUM $1.6B, up 27% from $1.3B (2020-03-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- S••••••• I••••••••• P••••••• A•••••••• L•• reported RAUM $1.3B, up 43% from $906.5M (2019-12-18 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- S••••••• I••••••••• P••••••• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- S••••••• I••••••••• P••••••• A•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- S•••••••LP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-226-8711reportedpublic 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