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•••••• P••••••• L•
Latest filing Mar 27, 2026
First filing on the tape Feb 14, 2012 · 35 filings
SEC status approved since Mar 21, 2012
RAUM
$16B
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
39
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
10
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$16B as of Mar 27, 2026
Mar 28, 2013$4.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 28, 20130 then
Employees (5.A)39 as of Mar 27, 2026
Mar 28, 201319 then
Private funds10 as of Mar 27, 2026
Mar 28, 20133 then
RAUM +64% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $1.6BderivedRAUM 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
- +64%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
- $12B, 10 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$16B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $12B for 10 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
21 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••• M••••• F••• L•no longer reported | Hedge Fund | $8.3B | 347 | Feb 14, 2012 |
| S•••••• O••••••••• M••••• F••• L• | Hedge Fund | $8.0B | 373 | Nov 20, 2014 |
| S•••••• C••••• F••• L••no longer reported | Hedge Fund | $4.0B | 166 | Feb 14, 2012 |
| S•••••• L••• O••• E••••• M••••• F••• L• | Hedge Fund | $3.6B | 133 | Aug 23, 2024 |
| S•••••• O••••••••• C••••• F••• L•• | Hedge Fund | $2.4B | 114 | Nov 20, 2014 |
| S•••••• F••• L••no longer reported | Hedge Fund | $2.4B | 181 | Feb 14, 2012 |
| S•••••• L••• O••• E••••• C••••• F••• L•• | Hedge Fund | $2.3B | 81 | Aug 23, 2024 |
| S•••••• D••••••••• B••••••••• M••••• F••• L• | Hedge Fund | $2.2B | 172 | Mar 31, 2022 |
| S•••••• O••••••••• F••• I•• L•• | Hedge Fund | $1.7B | 82 | May 1, 2021 |
| S•••••• O••••••••• C••••• F••• I• L•• | Hedge Fund | $1.4B | 39 | Mar 30, 2020 |
| S•••••• O••••••••• F••• L•• | Hedge Fund | $1.4B | 104 | Nov 20, 2014 |
| S•••••• L••• O••• E••••• F••• L•• | Hedge Fund | $1.3B | 55 | Aug 23, 2024 |
| S•••••• D••••••••• B••••••••• C••••• F••• I• L•• | Hedge Fund | $878M | 20 | Mar 31, 2022 |
| S•••••• O••••••••• C••••• F••• I•• L• | Hedge Fund | $876M | 15 | May 1, 2021 |
| S•••••• D••••••••• B••••••••• F••• L•• | Hedge Fund | $573M | 84 | Mar 31, 2022 |
| S•••••• D••••••••• B••••••••• C••••• F••• L•• | Hedge Fund | $491M | 39 | Mar 31, 2022 |
| S•••••• D••••••••• B••••••••• F••• I• L•• | Hedge Fund | $242M | 29 | Mar 31, 2022 |
| S•••••• O••••••••• F••• I• L•• | Hedge Fund | $169M | 19 | Mar 30, 2020 |
| S•••••• S•••••• I••••••••• M••••• F••• L•no longer reported | Hedge Fund | $90.4M | 23 | Nov 21, 2016 |
| S•••••• S•••••• I••••••••• C••••• F••• L•no longer reported | Hedge Fund | $51.6M | 3 | Nov 21, 2016 |
| S•••••• S•••••• I••••••••• F••• L•• • S••••• A•no longer reported | Hedge Fund | $38.7M | 20 | Nov 21, 2016 |
Owners and control persons
Schedule A and B, latest filing
- F•••••••• S••••• J•••• · Limited Partner, Head Of Trading & Risk Managementcontrolsince 08/2010 · owns 5% to 10%
- H•••••••• J•••• A•• · Chief Compliance Officercontrolsince 01/2020 · owns less than 5%
- J••••••• S•••••• T••••• · Head Of Investor Relationscontrolsince 08/2010 · owns less than 5%
- N••••••• S•••••• M•••••• · General Counselcontrolsince 11/2011 · owns less than 5%
- T••••• V••• · Coo & Cfocontrolsince 05/2010 · owns less than 5%
- M••••••••• E•••• W•••••••• · Managing Directorcontrolsince 10/2005 · owns 75% or more of E••• L••
Entity owners
- E••• L•• · Limited Partnerdirect · owns 75% or more
- S•••••• C•••••• P••••••• G• L•• · General Partnerdirect · owns less than 5%
- E••• L•• · Memberindirect · owns 75% or more of S•••••• C•••••• P••••••• G• L••
Related persons
Schedule D 7.A
- S•••••• C•••••• G• L••bankpooled vehicle sponsorn
- S•••••• C•••••• L• G• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Aspen, CO4 employees
ADV anomalies
0 against comparable advisers; where to look, not conclusions
Nothing stands out against peers.
Data quality: the 2026-06-30 holdings report shows $47,802,407,971 across 25 positions while Form ADV reports RAUM of $15,674,328,237 (3.0x); one of the two is misfiled, misattributed or in the wrong unit
What changed
consecutive filings, newest first
- Advisory employees · 13 to 12Mar 31, 2025 to Mar 27, 2026
- Assets in custody · $9.1B to $12BMar 31, 2025 to Mar 27, 2026
- Employees · 40 to 39Mar 31, 2025 to Mar 27, 2026
- Discretionary RAUM · $9.6B to $16BMar 31, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $9.6B to $16BMar 31, 2025 to Mar 27, 2026
- RAUM · $9.6B to $16BMar 31, 2025 to Mar 27, 2026
- Accounts · 12 to 10Aug 23, 2024 to Mar 31, 2025
- Pooled vehicle clients · 12 to 10Aug 23, 2024 to Mar 31, 2025
- Assets in custody · $10B to $9.1BAug 23, 2024 to Mar 31, 2025
- Employees · 41 to 40Aug 23, 2024 to Mar 31, 2025
- Financial planning clients · unset to Aug 23, 2024 to Mar 31, 2025
- Private funds · 15 to 10Aug 23, 2024 to Mar 31, 2025
- Discretionary RAUM · $11B to $9.6BAug 23, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $11B to $9.6BAug 23, 2024 to Mar 31, 2025
- RAUM · $11B to $9.6BAug 23, 2024 to Mar 31, 2025
- Private funds · 12 to 15Mar 28, 2024 to Aug 23, 2024
- Assets in custody · $10B to $10BMar 31, 2023 to Mar 28, 2024
- Employees · 38 to 41Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $11B to $11BMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $11B to $11BMar 31, 2023 to Mar 28, 2024
- RAUM · $11B to $11BMar 31, 2023 to Mar 28, 2024
- Accounts · 7 to 12Sep 15, 2022 to Mar 31, 2023
- Pooled vehicle clients · 7 to 12Sep 15, 2022 to Mar 31, 2023
- Assets in custody · $10B to $10BSep 15, 2022 to Mar 31, 2023
- Employees · 37 to 38Sep 15, 2022 to Mar 31, 2023
- Discretionary RAUM · $14B to $11BSep 15, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $14B to $11BSep 15, 2022 to Mar 31, 2023
- RAUM · $14B to $11BSep 15, 2022 to Mar 31, 2023
- Accounts · 6 to 7Nov 3, 2021 to Mar 31, 2022
- Advisory employees · 10 to 13Nov 3, 2021 to Mar 31, 2022
- Pooled vehicle clients · 6 to 7Nov 3, 2021 to Mar 31, 2022
- Assets in custody · $9.6B to $10BNov 3, 2021 to Mar 31, 2022
- Employees · 29 to 37Nov 3, 2021 to Mar 31, 2022
- Other offices · 0 to 1Nov 3, 2021 to Mar 31, 2022
- Private funds · 10 to 12Nov 3, 2021 to Mar 31, 2022
- Discretionary RAUM · $12B to $14BNov 3, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $12B to $14BNov 3, 2021 to Mar 31, 2022
- RAUM · $12B to $14BNov 3, 2021 to Mar 31, 2022
- Private funds · 8 to 10Mar 31, 2021 to May 1, 2021
- Advisory employees · 12 to 10Sep 11, 2020 to Mar 31, 2021
Signals
6 dated events
- S•••••• C•••••• P••••••• L• reported RAUM $15.7B, up 64% from $9.6B (2025-03-31 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- S•••••• C•••••• P••••••• L• reported RAUM $10.4B, up 78% from $5.8B (2020-01-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Ake Jani Holmborg (Chief Compliance Officer) appeared on Schedule A of S•••••• C•••••• P••••••• L•Jan 29, 2020 · Control person joined · fact
- S•••••• C•••••• P••••••• L• reported RAUM $5.8B, down 61% from $15.0B (2019-01-31 to 2019-03-28)Mar 28, 2019 · RAUM change · derived
- S•••••• C•••••• P••••••• L• reported RAUM $15.0B, up 29% from $11.6B (2017-12-20 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- S•••••• C•••••• P••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 29, 2015 · Succession (Item 4) · fact
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
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-314-1300reportedpublic record, Form ADV, Mar 27, 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