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••••••••• M••••••••• L••
Latest filing Jun 30, 2026
First filing on the tape Feb 14, 2012 · 26 filings
SEC status approved since Mar 30, 2012
RAUM
$14B
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
32
18 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
4
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$14B as of Jun 30, 2026
Apr 1, 2013$2.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 30, 2026
Apr 1, 20130 then
Employees (5.A)32 as of Jun 30, 2026
Apr 1, 201316 then
Private funds4 as of Jun 30, 2026
Apr 1, 20134 then
RAUM +34% over the last fiscal year+8.4% a year over threeIARs 0 to 0offices 2 to 1
Practice profile
derived from the filing of Jun 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
- $2.0BderivedRAUM 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
- +34%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
- $14B, 7 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$14B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $14B for 7 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
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•• P••••••• M••••• F••• L• | Hedge Fund | $6.7B | 192 | Feb 14, 2012 |
| S•• P••••••• U•• L•no longer reported | Hedge Fund | $3.5B | 101 | Feb 14, 2012 |
| S•• S•••••• O••••••••• M••••• I•• L• | Hedge Fund | $2.8B | 16 | Feb 20, 2014 |
| S•• L••• O••••••••• M••••• F•••• L• | Hedge Fund | $2.6B | 67 | Feb 23, 2016 |
| S•• S•••••• O••••••••• I• L•no longer reported | Hedge Fund | $107M | 11 | Aug 28, 2013 |
| S•• P•••••• I••••••••• M••••• F•••• L•••no longer reported | Private Equity Fund | $58.7M | 28 | Feb 14, 2012 |
| S•• S•••••• O••••••••• I••• L•no longer reported | Hedge Fund | $52.2M | 17 | Feb 24, 2015 |
| S•• C•••••••• I••••••••• L••••••no longer reported | Private Equity Fund | $13.3M | 34 | Feb 14, 2012 |
| S•• S•••••• O••••••••• •••• M•••••• L• | Hedge Fund | $0 | 0 | Aug 28, 2018 |
Owners and control persons
Schedule A and B, latest filing
- K••••••• S••••••• B••••••• · Chief Financial Officercontrolsince 01/2017 · owns less than 5%
- S••••• K••••••• R••••••••• · Managing Partnercontrolsince 03/2006 · owns less than 5%
- Z••••• D••••• B• · Chief Compliance Officer/General Counselcontrolsince 03/2013 · owns less than 5%
- S••••• K••••••• R••••••••• · Membercontrolsince 03/2015 · owns 75% or more of S•• I••••••••• M••••••••• L•
Entity owners
- S•• I••••••••• M••••••••• L• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- S•• L••• O••••••••• G•• L••investment adviserbankpooled vehicle sponsorn
- S•• P••••••• G••••• H••••••• L••pooled vehicle sponsorn
- S•• P••••••• U• G•• L••investment adviserbankpooled vehicle sponsorn
- S•• S•••••• O••••••••• G• I•• L••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Private funds · 3 to 4Mar 31, 2026 to Jun 30, 2026
- Advisory employees · 16 to 18Mar 28, 2025 to Mar 31, 2026
- Assets in custody · $10B to $14BMar 28, 2025 to Mar 31, 2026
- Employees · 29 to 32Mar 28, 2025 to Mar 31, 2026
- Other offices · 2 to 1Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $10B to $14BMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $10B to $14BMar 28, 2025 to Mar 31, 2026
- RAUM · $10B to $14BMar 28, 2025 to Mar 31, 2026
- Assets in custody · $12B to $10BMar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $12B to $10BMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $12B to $10BMar 28, 2024 to Mar 28, 2025
- RAUM · $12B to $10BMar 28, 2024 to Mar 28, 2025
- Accounts · 11 to 7Jan 18, 2024 to Mar 28, 2024
- Pooled vehicle clients · 11 to 7Jan 18, 2024 to Mar 28, 2024
- Assets in custody · $11B to $12BJan 18, 2024 to Mar 28, 2024
- Other offices · 1 to 2Jan 18, 2024 to Mar 28, 2024
- Private funds · 4 to 3Jan 18, 2024 to Mar 28, 2024
- Discretionary RAUM · $11B to $12BJan 18, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $11B to $12BJan 18, 2024 to Mar 28, 2024
- RAUM · $11B to $12BJan 18, 2024 to Mar 28, 2024
- Other offices · 0 to 1Mar 31, 2023 to Jan 18, 2024
- Advisory employees · 14 to 16Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $12B to $11BMar 31, 2022 to Mar 31, 2023
- Employees · 26 to 29Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $12B to $11BMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $12B to $11BMar 31, 2022 to Mar 31, 2023
- RAUM · $12B to $11BMar 31, 2022 to Mar 31, 2023
- Accounts · 10 to 11Apr 12, 2021 to Mar 31, 2022
- Pooled vehicle clients · 10 to 11Apr 12, 2021 to Mar 31, 2022
- Assets in custody · $8.7B to $12BApr 12, 2021 to Mar 31, 2022
- Employees · 28 to 26Apr 12, 2021 to Mar 31, 2022
- Discretionary RAUM · $8.7B to $12BApr 12, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $8.7B to $12BApr 12, 2021 to Mar 31, 2022
- RAUM · $8.7B to $12BApr 12, 2021 to Mar 31, 2022
- Advisory employees · 15 to 14Mar 31, 2020 to Mar 31, 2021
- Assets in custody · $7.7B to $8.7BMar 31, 2020 to Mar 31, 2021
- Employees · 29 to 28Mar 31, 2020 to Mar 31, 2021
- Discretionary RAUM · $7.7B to $8.7BMar 31, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $7.7B to $8.7BMar 31, 2020 to Mar 31, 2021
Signals
3 dated events
- S•• I••••••••• M••••••••• L•• reported RAUM $13.9B, up 34% from $10.4B (2025-03-28 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- S•• I••••••••• M••••••••• L•• reported RAUM $12.4B, up 43% from $8.7B (2021-04-12 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- S•••• J•••••• P•••• (President) no longer on Schedule A of S•• I••••••••• M••••••••• L•• (listed 2018-08-28, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- S•• I••••••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- s••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-520-7900reportedpublic record, Form ADV, Jun 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