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••••••• L••
Legal name S•••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Feb 14, 2012 · 19 filings
SEC status approved since Mar 30, 2012
RAUM
$8.1B
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
51
51 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
52
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$8.1B as of Mar 30, 2026
Mar 28, 2013$619M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 28, 20130 then
Employees (5.A)51 as of Mar 30, 2026
Mar 28, 201311 then
Private funds52 as of Mar 30, 2026
Mar 28, 20138 then
RAUM +19% over the last fiscal year+2.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $157MderivedRAUM 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
- +19%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
- $6.9B, 27 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
- 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$8.1B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 52reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.9B for 27 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
55 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••• V• ••• L• | Private Equity Fund | $729M | 43 | Mar 31, 2023 |
| S•••••• V• L• | Private Equity Fund | $723M | 107 | Mar 31, 2021 |
| S•••••• I• O••••••• A••• L• | Private Equity Fund | $685M | 46 | Mar 28, 2019 |
| S•••••• V•• L• | Private Equity Fund | $645M | 106 | Mar 31, 2023 |
| S•••••• I•• L• | Private Equity Fund | $556M | 46 | Mar 31, 2017 |
| S•••••• V• ••• L• | Private Equity Fund | $553M | 47 | Mar 31, 2021 |
| S•••••• C••••••••• F••• I• L• | Private Equity Fund | $313M | 50 | Mar 31, 2022 |
| S•••••• V••• O••••••• A••• L• | Private Equity Fund | $282M | 47 | Mar 31, 2022 |
| S•••••• I••• L• | Private Equity Fund | $272M | 49 | Mar 27, 2015 |
| S•••••• V• O••••••• A••• L• | Private Equity Fund | $260M | 107 | Mar 31, 2022 |
| S•••••• I•• O••••••• A••• L• | Private Equity Fund | $255M | 49 | Mar 31, 2017 |
| S•••••• I• O••••••• H••••••• I••• L• | Private Equity Fund | $215M | 6 | Mar 31, 2022 |
| S•••••• I• H••••• A•• I• L• | Private Equity Fund | $211M | 36 | Mar 29, 2020 |
| S•••••• V• S•••••• ••••••••• L• | Private Equity Fund | $186M | 15 | Mar 29, 2024 |
| S•••••• I• C•••••••• I•• L• | Private Equity Fund | $178M | 13 | Mar 29, 2020 |
| S•••••• I• H••••• A•• I•• L• | Private Equity Fund | $135M | 12 | Mar 29, 2020 |
| S•••••• I•• G•••• A•• I• L• | Private Equity Fund | $116M | 28 | Mar 29, 2016 |
| S•••••• V• S•••••••• C••••••••• L• | Private Equity Fund | $111M | 19 | Mar 31, 2022 |
| S•••••• I•• G•••• A•• I•• L• | Private Equity Fund | $89.2M | 22 | Mar 29, 2016 |
| S•••••• I• E•• A•• I• L• | Private Equity Fund | $87.2M | 36 | Mar 31, 2021 |
| S•••••• I•• L• | Private Equity Fund | $80.4M | 40 | Feb 14, 2012 |
| S•••••• V• P••••••• ••••••••• L• | Private Equity Fund | $65.0M | 11 | Mar 31, 2022 |
| S•••••• I• S••••• A•• I•• L• | Private Equity Fund | $64.9M | 16 | Mar 28, 2019 |
| S•••••• I• O•••• A•• I•• L• | Private Equity Fund | $56.0M | 14 | Mar 28, 2019 |
| S•••••• I• C•••••••• I• L• | Private Equity Fund | $50.5M | 10 | Mar 29, 2020 |
| S•••••• I• O•••• A•• I• L• | Private Equity Fund | $47.6M | 34 | Mar 28, 2019 |
| S•••••• I• S••••• A•• I• L• | Private Equity Fund | $46.9M | 32 | Mar 28, 2019 |
| S•••••• I• E•• A•• I•• L• | Private Equity Fund | $45.4M | 12 | Mar 31, 2021 |
| S•••••• V•••• O••••••• A•• • L• | Private Equity Fund | $44.8M | 43 | Mar 31, 2023 |
| S•••••• V• O••••••• C••••• ••••••••• L• | Private Equity Fund | $37.3M | 9 | Mar 29, 2024 |
| S•••••• I• C•••••••• I••• L• | Private Equity Fund | $30.3M | 6 | Mar 29, 2020 |
| S•••••• V• M•••••• C••••••••• L• | Private Equity Fund | $29.4M | 7 | Mar 31, 2022 |
| S•••••• I•• C•••••••• I• L• | Private Equity Fund | $27.5M | 5 | Mar 30, 2018 |
| S•••••• S•••••••• O••••••• H••••••• I•• L• | Private Equity Fund | $24.9M | 3 | Mar 31, 2021 |
| S•••••• S•••••••• H••••••• I••• L• | Private Equity Fund | $23.4M | 3 | Mar 31, 2021 |
| S•••••• V• O••••••• A••• L• | Private Equity Fund | $21.2M | 106 | Mar 31, 2023 |
| S•••••• I• F••••••• L• | Private Equity Fund | $19.9M | 8 | Mar 31, 2022 |
| S•••••• I• L• | Private Equity Fund | $14.5M | 24 | Feb 14, 2012 |
| S•••••• I• M•••••• A•• I• L• | Private Equity Fund | $13.3M | 36 | Mar 29, 2020 |
| S•••••• V• O••••••• G•••••• C••••••••• L• | Private Equity Fund | $10.1M | 2 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- F••• K••••••• A•••• · Managing Partnercontrolsince 06/2008 · owns less than 5%
- F••• K••••••• A•••• · Sole Membercontrolsince 06/2003 · owns 75% or more of S•••••• M••••••••• L••
- B••••••••• M•••••••• T•••••• · Chief Compliance Officersince 11/2021 · owns less than 5%
- M•••••• W••••• L••••••• · Chief Financial Officersince 02/2012 · owns less than 5%
Entity owners
- S•••••• M••••••••• L•• · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- S•••••• C••••••••• F••• G• I• L••investment adviserbankpooled vehicle sponsorn
- S•••••• G• I• L••investment adviserbankpooled vehicle sponsorn
- S•••••• G• I•• L••investment adviserbankpooled vehicle sponsorn
- S•••••• G• I••• L••investment adviserbankpooled vehicle sponsorn
- S•••••• G• I•• L••investment adviserbankpooled vehicle sponsorn
- S•••••• G• V• O•••••••• L••investment adviserbankpooled vehicle sponsorn
- S•••••• G• V• L••investment adviserbankpooled vehicle sponsorn
- S•••••• G• V• O•••••••• L••investment adviserbankpooled vehicle sponsorn
- S•••••• G• V•• L••investment adviserbankpooled vehicle sponsorn
- S•••••• I•• C•••••••• I• G•• L••investment adviserbankpooled vehicle sponsorn
- S•••••• I• C•••••••• I• G•• L••investment adviserbankpooled vehicle sponsorn
- S•••••• I• C•••••••• I• G•• L••investment adviserbankpooled vehicle sponsorn
- S•••••• I• F•••••• G•• L••investment adviserbankpooled vehicle sponsorn
- S•••••• I• H••••••• G• I••• L••investment adviserbankpooled vehicle sponsorn
- S•••••• I• P•••••••• G•• L••investment adviserbankpooled vehicle sponsorn
- S•••••• S•••••••• H••••••• G• I•• L••investment adviserbankpooled vehicle sponsorn
- S•••••• S•••••••• H••••••• G• I••• L••investment adviserbankpooled vehicle sponsorn
- S•••••• V• B••••• C•••••••• G•• L••investment adviserbankpooled vehicle sponsorn
- S•••••• V• M•••••• C•••••••• G•• L••investment adviserbankpooled vehicle sponsorn
- S•••••• V• O••••••• G•••••• C•••••••• G•• L••investment adviserbankpooled vehicle sponsorn
- S•••••• V• P••••••• G•• L••investment adviserbankpooled vehicle sponsorn
- S•••••• V• S•••••••• C•••••••• G•• L••investment adviserbankpooled vehicle sponsorn
- S•••••• V• S•••••• C•••••••• G•• L••investment adviserbankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Aspen, CO1 employees
What changed
consecutive filings, newest first
- Accounts · 48 to 52Mar 31, 2025 to Mar 30, 2026
- Advisory employees · 47 to 51Mar 31, 2025 to Mar 30, 2026
- Pooled vehicle clients · 24 to 27Mar 31, 2025 to Mar 30, 2026
- Assets in custody · $6.6B to $6.9BMar 31, 2025 to Mar 30, 2026
- Employees · 47 to 51Mar 31, 2025 to Mar 30, 2026
- Private funds · 48 to 52Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $6.9B to $8.1BMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $6.9B to $8.1BMar 31, 2025 to Mar 30, 2026
- RAUM · $6.9B to $8.1BMar 31, 2025 to Mar 30, 2026
- Advisory employees · 45 to 47Mar 29, 2024 to Mar 31, 2025
- Pooled vehicle clients · 23 to 24Mar 29, 2024 to Mar 31, 2025
- Assets in custody · $6.3B to $6.6BMar 29, 2024 to Mar 31, 2025
- Employees · 45 to 47Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- Private funds · 47 to 48Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $6.9B to $6.9BMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $6.9B to $6.9BMar 29, 2024 to Mar 31, 2025
- RAUM · $6.9B to $6.9BMar 29, 2024 to Mar 31, 2025
- Advisory employees · 50 to 45Mar 31, 2023 to Mar 29, 2024
- Pooled vehicle clients · 24 to 23Mar 31, 2023 to Mar 29, 2024
- Assets in custody · $6.6B to $6.3BMar 31, 2023 to Mar 29, 2024
- Employees · 50 to 45Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $7.6B to $6.9BMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $7.6B to $6.9BMar 31, 2023 to Mar 29, 2024
- RAUM · $7.6B to $6.9BMar 31, 2023 to Mar 29, 2024
- Accounts · 43 to 48Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 40 to 50Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 20 to 24Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $8.5B to $6.6BMar 31, 2022 to Mar 31, 2023
- Employees · 40 to 50Mar 31, 2022 to Mar 31, 2023
- Private funds · 44 to 47Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $8.3B to $7.6BMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $8.3B to $7.6BMar 31, 2022 to Mar 31, 2023
- RAUM · $8.3B to $7.6BMar 31, 2022 to Mar 31, 2023
- Accounts · 32 to 43Nov 16, 2021 to Mar 31, 2022
- Advisory employees · 35 to 40Nov 16, 2021 to Mar 31, 2022
- Pooled vehicle clients · 12 to 20Nov 16, 2021 to Mar 31, 2022
- Assets in custody · $3.8B to $8.5BNov 16, 2021 to Mar 31, 2022
- Employees · 35 to 40Nov 16, 2021 to Mar 31, 2022
- Private funds · 32 to 44Nov 16, 2021 to Mar 31, 2022
Signals
4 dated events
- S••••••• L•• reported RAUM $8.3B, up 86% from $4.5B (2021-11-16 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- S••••••• L•• reported RAUM $4.5B, up 70% from $2.6B (2021-02-03 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- C Daniel Marriott (Managing Partner) no longer on Schedule A of S••••••• L•• (listed 2020-03-29, absent 2021-02-03)Feb 3, 2021 · Control person left · inference
- S••••••• L•• reported RAUM $2.6B, up 28% from $2.1B (2019-10-21 to 2020-03-29)Mar 29, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- S••••••• L•• · Independent Sponsorsshared crd · capital_provider
- S••••••• L•• · Private Equityshared crd · organization
- S••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/S••••••COreportedpublic record, Form ADV, Sep 18, 2026
- Website
- S••••••.COreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-823-0720reportedpublic record, Form ADV, Mar 30, 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