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•••••• P••• C••••••
Legal name S•• M••••••••• C••• I•••
Latest filing Mar 23, 2026
First filing on the tape Feb 13, 2012 · 26 filings
SEC status approved since Mar 28, 2012
RAUM
$960M
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
17 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
5
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$960M as of Mar 23, 2026
Mar 27, 2013$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2026
Mar 27, 20130 then
Employees (5.A)18 as of Mar 23, 2026
Mar 27, 201314 then
Private funds5 as of Mar 23, 2026
Mar 27, 201310 then
RAUM -12% over the last fiscal year-11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 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
- $192MderivedRAUM 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
- -12%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
- Custody
- yesreportedItem 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
- 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$960M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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=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
14 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•• P••••••• V•• L••• | Private Equity Fund | $597M | 54 | Mar 20, 2017 |
| S•••••• P••• C•••••• C• F••• I• L••• | Private Equity Fund | $222M | 37 | Mar 30, 2023 |
| S•• P••••••• V••• L••• | Private Equity Fund | $147M | 32 | Mar 28, 2022 |
| S•• P••••••• V• L••• | Private Equity Fund | $147M | 40 | Dec 21, 2012 |
| S•• P••••••• I••• L•••no longer reported | Private Equity Fund | $67.4M | 47 | Feb 13, 2012 |
| S•• P••••••• I•• L••• | Private Equity Fund | $51.4M | 43 | Feb 13, 2012 |
| S•••••• P••• C•••••• F•••• L•••no longer reported | Private Equity Fund | $1.7M | 26 | Feb 13, 2012 |
| S•• P••••••• I•• L•••no longer reported | Private Equity Fund | $1.5M | 37 | Feb 13, 2012 |
| S•• A••••••• I••• L•••no longer reported | Private Equity Fund | $1.2M | 35 | Feb 13, 2012 |
| S•• A••••••• I•• L••no longer reported | Private Equity Fund | $101,729 | 35 | Feb 13, 2012 |
| S•• G• F•••• L••no longer reported | Private Equity Fund | $27,152 | 9 | Feb 13, 2012 |
| S•• E•••••••• A••••••• F•••• L••no longer reported | Private Equity Fund | $22,071 | 9 | Feb 13, 2012 |
| S•• A••••••••• F•••• L••no longer reported | Private Equity Fund | $3,514 | 10 | Feb 13, 2012 |
| S•• A••••••••• I•• L••no longer reported | Private Equity Fund | $1,900 | 14 | Feb 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••• V•••••••• N•• · Chief Compliance Officer And Chief Financial Officercontrolsince 01/2021 · owns less than 5%
- M••••••• T••••• P••• · Managing Directorcontrolsince 01/2021 · owns less than 5%
- R•••••••• A•••••• H••••••• · Founder & Ceo, Managing Director; Shareholdercontrolsince 08/1997 · owns 75% or more
- S••••• C•••• M••••• · Managing Directorcontrolsince 01/2007 · owns less than 5%
Related persons
Schedule D 7.A
- S•••••• P••• C•••••• C• G• L•••pooled vehicle sponsorn
- S•••••• P••• C•••••• I•• L•••bankpooled vehicle sponsorn
- S•••••• P••• C•••••• V• L•••bankpooled vehicle sponsorn
- S•••••• P••• C•••••• V•• L•••bankpooled vehicle sponsorn
- S•••••• P••• C•••••• V••• L•••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Bedminster, NJ11 employees
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 18 to 17Dec 18, 2025 to Mar 23, 2026
- Employees · 19 to 18Dec 18, 2025 to Mar 23, 2026
- Discretionary RAUM · $1.1B to $960MDec 18, 2025 to Mar 23, 2026
- Pooled vehicle RAUM · $1.1B to $960MDec 18, 2025 to Mar 23, 2026
- RAUM · $1.1B to $960MDec 18, 2025 to Mar 23, 2026
- HQ city · SAN FRANCISCO to BEDMINSTERMar 18, 2025 to Dec 18, 2025
- HQ state · CA to NJMar 18, 2025 to Dec 18, 2025
- Advisory employees · 19 to 18Mar 27, 2024 to Mar 18, 2025
- Business name · S•• M••••••••• C••• I••• to S•••••• P••• C••••••Mar 27, 2024 to Mar 18, 2025
- Employees · 20 to 19Mar 27, 2024 to Mar 18, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 18, 2025
- Other offices · 2 to 1Mar 27, 2024 to Mar 18, 2025
- Discretionary RAUM · $1.2B to $1.1BMar 27, 2024 to Mar 18, 2025
- Pooled vehicle RAUM · $1.2B to $1.1BMar 27, 2024 to Mar 18, 2025
- RAUM · $1.2B to $1.1BMar 27, 2024 to Mar 18, 2025
- Advisory employees · 14 to 19Jan 9, 2024 to Mar 27, 2024
- Assets in custody · $1.4B to $0Jan 9, 2024 to Mar 27, 2024
- Employees · 19 to 20Jan 9, 2024 to Mar 27, 2024
- Discretionary RAUM · $1.4B to $1.2BJan 9, 2024 to Mar 27, 2024
- Pooled vehicle RAUM · $1.4B to $1.2BJan 9, 2024 to Mar 27, 2024
- RAUM · $1.4B to $1.2BJan 9, 2024 to Mar 27, 2024
- Related bank · false to trueJan 9, 2024 to Mar 27, 2024
- Accounts · 4 to 5Feb 1, 2023 to Mar 30, 2023
- Pooled vehicle clients · 4 to 5Feb 1, 2023 to Mar 30, 2023
- Assets in custody · $1.3B to $1.4BFeb 1, 2023 to Mar 30, 2023
- Employees · 20 to 19Feb 1, 2023 to Mar 30, 2023
- Private funds · 4 to 5Feb 1, 2023 to Mar 30, 2023
- Discretionary RAUM · $1.3B to $1.4BFeb 1, 2023 to Mar 30, 2023
- Pooled vehicle RAUM · $1.3B to $1.4BFeb 1, 2023 to Mar 30, 2023
- RAUM · $1.3B to $1.4BFeb 1, 2023 to Mar 30, 2023
- Accounts · 3 to 4Mar 30, 2021 to Mar 28, 2022
- Pooled vehicle clients · 3 to 4Mar 30, 2021 to Mar 28, 2022
- Assets in custody · $1.0B to $1.3BMar 30, 2021 to Mar 28, 2022
- Employees · 21 to 20Mar 30, 2021 to Mar 28, 2022
- Private funds · 3 to 4Mar 30, 2021 to Mar 28, 2022
- Discretionary RAUM · $1.0B to $1.3BMar 30, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $1.0B to $1.3BMar 30, 2021 to Mar 28, 2022
- RAUM · $1.0B to $1.3BMar 30, 2021 to Mar 28, 2022
- Advisory employees · 16 to 14Jan 28, 2021 to Mar 30, 2021
- Assets in custody · $952M to $1.0BJan 28, 2021 to Mar 30, 2021
Signals
7 dated events
- Corbit Daniel Reese (Managing Director) no longer on Schedule A of S•••••• P••• C•••••• (listed 2023-03-30, absent 2024-01-09)Jan 9, 2024 · Control person left · inference
- Fredricks Robert Desmarais (Managing Director) no longer on Schedule A of S•••••• P••• C•••••• (listed 2022-03-28, absent 2023-02-01)Feb 1, 2023 · Control person left · inference
- Virginia Calvo (Chief Compliance Officer And Chief Financial Officer) appeared on Schedule A of S•••••• P••• C••••••Jan 28, 2021 · Control person joined · fact
- Roger Mark Poff (Managing Director) no longer on Schedule A of S•••••• P••• C•••••• (listed 2020-10-13, absent 2021-01-28)Jan 28, 2021 · Control person left · inference
- Lynn Heather Fraser (Chief Compliance Officer) no longer on Schedule A of S•••••• P••• C•••••• (listed 2020-03-30, absent 2020-10-13)Oct 13, 2020 · Control person left · inference
- Lauryn Heather Smith (Managing Director) no longer on Schedule A of S•••••• P••• C•••••• (listed 2019-08-09, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- P••• T•••• M•••••• (Director) appeared on Schedule A of S•••••• P••• C••••••Mar 20, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- S•••••• P••• C•••••• · Independent Sponsorsshared crd · capital_provider
- S•• M••••••••• C••• I••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/swander-pace-capitalreportedpublic record, Form ADV, Sep 19, 2026
- Website
- s••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 908-719-2322reportedpublic record, Form ADV, Mar 23, 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