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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Former SEC-registered adviser

I••••• P•••• C•••••• M••••••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 157579SEC 801-74172websiteIAPD
Latest filing May 30, 2025
First filing on the tape Feb 14, 2012 · 24 filings
SEC status approved since Mar 30, 2012
RAUM
$114M
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
10
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$114M as of May 30, 2025
Apr 1, 2013$3.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 30, 2025
Apr 1, 20130 then
Employees (5.A)10 as of May 30, 2025
Apr 1, 201341 then
Private funds3 as of May 30, 2025
Apr 1, 201318 then
RAUM -55% over the last fiscal year-33% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 30, 2025; 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
$38.0MderivedRAUM 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
-55%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
$114M, 3 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$114M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$114M for 3 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
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
      Every departureEvery arrival
      Private funds
      19 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      I••••• P•••• C•••••• P••••••• I•• S••• L•••Private Equity Fund$253M107Jan 25, 2016
      I••••• P•••• C•••••• P••••••• I•• L•••no longer reportedPrivate Equity Fund$10.8M53Feb 14, 2012
      I••••• P•••• C•••••• M••••••• I•• L•••no longer reportedPrivate Equity Fund$5.9M2Feb 14, 2012
      I••••• P•••• C•••••• I•••••••• I•• L•••no longer reportedPrivate Equity Fund$2.1M67Feb 14, 2012
      I••••• P•••• C•••••• P••••••• I•• •••••••• L•••no longer reportedPrivate Equity Fund$482,088178Feb 14, 2012
      I••••• P•••• C•••••• P••••••• I••• L•••no longer reportedPrivate Equity Fund$329,321178Feb 14, 2012
      I••••••••• C••••••••• P••••••• •••••••• L•••no longer reportedPrivate Equity Fund$292,1686Feb 14, 2012
      I•••••• C••••••••• P•••••••• L•••Private Equity Fund$206,93611Feb 14, 2012
      I••••••••• S•••••••• C••••••••• •••••••• L•••no longer reportedPrivate Equity Fund$202,4611Feb 14, 2012
      I••••• P•••• C•••••• P••••••• I•• C••••••••• L•••no longer reportedPrivate Equity Fund$164,68314Feb 14, 2012
      M•• I••••••• H•••••••• L••Private Equity Fund$161,17014Apr 1, 2013
      I••••••• I••••••• H•••••••• L••no longer reportedPrivate Equity Fund$106,0205Apr 1, 2013
      I•• C••••••••• H••••••• • I•••••••• L••no longer reportedPrivate Equity Fund$90,45730Apr 1, 2013
      I•• G••••••••• I••••••• H••••••• I•• L••no longer reportedPrivate Equity Fund$90,3447Apr 1, 2013
      I•• G••••••••• I••••••• H••••••• I• L••no longer reportedPrivate Equity Fund$76,1045Apr 1, 2013
      J• I••••••••• L•no longer reportedPrivate Equity Fund$31,70712Apr 1, 2013
      I••••• P•••• C•••••• I•• F••••• F•••• L•••no longer reportedPrivate Equity Fund$30,37743Feb 14, 2012
      I••••• P•••• C•••••• I•• E•••••••• F••• •••••••• L•••no longer reportedPrivate Equity Fund$8,46944Feb 14, 2012
      I••••• P•••• C•••••• I•• F••••• F••• •••••••• L•••no longer reportedPrivate Equity Fund$5,93143Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• P•••••• M•••• · Limited Partnercontrol
        since 07/2015 · owns 50% to 75%
      • H•••••• J•••• D•••• · Limited Partnercontrol
        since 07/2015 · owns 50% to 75%
      • K••••••••• S•••• P•••••• · Chief Financial Officer & Chief Compliance Officercontrol
        since 01/2019 · owns less than 5%
      • C••••••••• P•••••• M•••• · Owner / Membercontrol
        since 05/2015 · owns 75% or more of R••••• M••••••••• L••
      • H•••••• J•••• D•••• · Owner, Managing Membercontrol
        since 08/2000 · owns 75% or more of J•• M••••••••• L••
      Entity owners
      • I••• G•• L•• · General Partner
        direct · owns less than 5%
      • J•• M••••••••• L•• · Owner / Member
        indirect · owns 50% to 75% of I••• G•• L••
      • R••••• M••••••••• L•• · Owner / Member
        indirect · owns 50% to 75% of I••• G•• L••
      Related persons
      Schedule D 7.A
      • I•• A••••••• I•• S••• L•••
        pooled vehicle sponsorn
      • I•• G•••• I••• L•••
        pooled vehicle sponsorn
      • I•• M•••••• I•• S••• L•••
        pooled vehicle sponsorn
      • I••••• G•• L••
        pooled vehicle sponsorn
      • I••• G•• L••
        pooled vehicle sponsory
      • R••••• E••••• P••••••• L•
        investment advisernRAUM $669M
      • S••• A••••• H••••••• I• L••
        pooled vehicle sponsorn
      Advisers that list I••••• P•••• C•••••• M••••••••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Financial planning clients · unset to
        Apr 29, 2025 to May 30, 2025
      • Advisory employees · 9 to 8
        Mar 28, 2024 to Apr 29, 2025
      • Assets in custody · $253M to $114M
        Mar 28, 2024 to Apr 29, 2025
      • Employees · 13 to 10
        Mar 28, 2024 to Apr 29, 2025
      • Discretionary RAUM · $253M to $114M
        Mar 28, 2024 to Apr 29, 2025
      • Pooled vehicle RAUM · $253M to $114M
        Mar 28, 2024 to Apr 29, 2025
      • RAUM · $253M to $114M
        Mar 28, 2024 to Apr 29, 2025
      • Advisory employees · 11 to 9
        Mar 31, 2023 to Mar 28, 2024
      • Assets in custody · $322M to $253M
        Mar 31, 2023 to Mar 28, 2024
      • Employees · 14 to 13
        Mar 31, 2023 to Mar 28, 2024
      • Discretionary RAUM · $322M to $253M
        Mar 31, 2023 to Mar 28, 2024
      • Pooled vehicle RAUM · $322M to $253M
        Mar 31, 2023 to Mar 28, 2024
      • RAUM · $322M to $253M
        Mar 31, 2023 to Mar 28, 2024
      • Advisory employees · 16 to 11
        Mar 29, 2022 to Mar 31, 2023
      • Assets in custody · $0 to $322M
        Mar 29, 2022 to Mar 31, 2023
      • Employees · 20 to 14
        Mar 29, 2022 to Mar 31, 2023
      • Discretionary RAUM · $371M to $322M
        Mar 29, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $371M to $322M
        Mar 29, 2022 to Mar 31, 2023
      • RAUM · $371M to $322M
        Mar 29, 2022 to Mar 31, 2023
      • Discretionary RAUM · $1.0B to $371M
        Mar 30, 2021 to Mar 29, 2022
      • Pooled vehicle RAUM · $1.0B to $371M
        Mar 30, 2021 to Mar 29, 2022
      • RAUM · $1.0B to $371M
        Mar 30, 2021 to Mar 29, 2022
      • Accounts · 6 to 3
        Apr 22, 2020 to Mar 30, 2021
      • Advisory employees · 17 to 16
        Apr 22, 2020 to Mar 30, 2021
      • Pooled vehicle clients · 6 to 3
        Apr 22, 2020 to Mar 30, 2021
      • Employees · 22 to 20
        Apr 22, 2020 to Mar 30, 2021
      • Private funds · 6 to 3
        Apr 22, 2020 to Mar 30, 2021
      • Discretionary RAUM · $868M to $1.0B
        Apr 22, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $868M to $1.0B
        Apr 22, 2020 to Mar 30, 2021
      • RAUM · $868M to $1.0B
        Apr 22, 2020 to Mar 30, 2021
      • Related adviser · false to true
        Apr 22, 2020 to Mar 30, 2021
      • Accounts · 9 to 6
        Mar 31, 2019 to Mar 25, 2020
      • Advisory employees · 16 to 17
        Mar 31, 2019 to Mar 25, 2020
      • Pooled vehicle clients · 9 to 6
        Mar 31, 2019 to Mar 25, 2020
      • Employees · 20 to 22
        Mar 31, 2019 to Mar 25, 2020
      • Private funds · 9 to 6
        Mar 31, 2019 to Mar 25, 2020
      • Discretionary RAUM · $1.7B to $868M
        Mar 31, 2019 to Mar 25, 2020
      • Pooled vehicle RAUM · $1.7B to $868M
        Mar 31, 2019 to Mar 25, 2020
      • RAUM · $1.7B to $868M
        Mar 31, 2019 to Mar 25, 2020
      • Accounts · 17 to 9
        Mar 30, 2018 to Mar 29, 2019
      Signals
      5 dated events
      • I••••• P•••• C•••••• M••••••••• L••• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $113.9M)
        Jan 2, 2026 · Left the SEC roster · derived
      • I••••• P•••• C•••••• M••••••••• L••• reported RAUM $113.9M, down 55% from $253.4M (2024-03-28 to 2025-04-29)
        Apr 29, 2025 · RAUM change · derived
      • I••••• P•••• C•••••• M••••••••• L••• reported RAUM $371.5M, down 64% from $1.0B (2021-03-30 to 2022-03-29)
        Mar 29, 2022 · RAUM change · derived
      • Ann Lisa Fish (Trustee) no longer on Schedule A of I••••• P•••• C•••••• M••••••••• L••• (listed 2020-03-25, absent 2020-04-13)
        Apr 13, 2020 · Control person left · inference
      • I••••• P•••• C•••••• M••••••••• L••• reported RAUM $868.4M, down 50% from $1.7B (2019-03-31 to 2020-03-25)
        Mar 25, 2020 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Firm profile
      linkedin.com/company/irving-place-capital/aboutreportedpublic record, Form ADV, Sep 18, 2026
      Website
      H•••://WWW.S•••A•••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 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
      Former SEC-registered adviserderiveda 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