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•••••• M••••••••• C••••••• L•••••
Latest filing Mar 31, 2026
First filing on the tape Feb 8, 2012 · 25 filings
SEC status approved since Mar 28, 2012
RAUM
$5.1B
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
95
72 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
13
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$5.1B as of Mar 31, 2026
Apr 1, 2013$265M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Apr 1, 20130 then
Employees (5.A)95 as of Mar 31, 2026
Apr 1, 201316 then
Private funds13 as of Mar 31, 2026
Apr 1, 20134 then
RAUM -2.5% over the last fiscal year+5.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $393MderivedRAUM 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
- -2.5%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
- 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
- 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)
- 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 testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$5.1B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 13reported
- 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=false 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
11 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••• C•••••• I••• L••• | Private Equity Fund | $1.4B | 64 | Mar 27, 2018 |
| S••••• C•••••• I•• L••• | Private Equity Fund | $828M | 76 | Feb 3, 2020 |
| S••••• C•••••• I•• L••• | Private Equity Fund | $554M | 30 | Feb 11, 2013 |
| S••••• C••••••• L••• | Private Equity Fund | $203M | 37 | Feb 8, 2012 |
| S••••• C•••••• V• L••• | Private Equity Fund | $64.6M | 71 | Mar 31, 2023 |
| S••••• C•••••• A••••••••• I•• L••• | Private Equity Fund | $37.9M | 71 | Mar 31, 2015 |
| S••••• C•••••• A••••••••• I••• L••• | Private Equity Fund | $33.2M | 65 | Mar 27, 2018 |
| S••••• C•••••• A••••••••• I•• L••• | Private Equity Fund | $18.4M | 54 | Feb 3, 2020 |
| S••••• C•••••• A••••••••• L••• | Private Equity Fund | $12.5M | 47 | Feb 8, 2012 |
| S••••• C•••••• A••••••••• L••• | Private Equity Fund | $3.8M | 55 | Feb 8, 2012 |
| S••••• C•••••• A••••••••• V• L••• | Private Equity Fund | $1.2M | 62 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- F•••••• L••••• W•••••• · Partnercontrolsince 05/2014 · owns 10% to 25%
- F••••• K••••• A••• · Partnercontrolsince 03/2008 · owns 10% to 25%
- K••••••• P•••••• S•••••• · Partnercontrolsince 01/2021 · owns 10% to 25%
- K••••••• D••••• P••• · Partnercontrolsince 03/2008 · owns 5% to 10%
- L•••• S••••••• P••••• · Partnercontrolsince 01/2021 · owns 10% to 25%
- O•••••• D•••••• M•••••• · Chief Compliance Officer And Chief Financial Officercontrolsince 01/2022 · owns less than 5%
Related persons
Schedule D 7.A
- S••••• C•••••• P••••••• I•• L•••••investment adviserpooled vehicle sponsorn
- S••••• C•••••• P••••••• I••• L•••investment adviserpooled vehicle sponsorn
- S••••• C•••••• P••••••• I•• L•••investment adviserpooled vehicle sponsorn
- S••••• C•••••• P••••••• V• L•••investment adviserpooled vehicle sponsorn
- S••••• C•••••• P•••••••• L•••••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 11 to 13Nov 14, 2025 to Mar 31, 2026
- Advisory employees · 75 to 72Nov 14, 2025 to Mar 31, 2026
- Pooled vehicle clients · 11 to 13Nov 14, 2025 to Mar 31, 2026
- Employees · 91 to 95Nov 14, 2025 to Mar 31, 2026
- Private funds · 11 to 13Nov 14, 2025 to Mar 31, 2026
- Discretionary RAUM · $5.2B to $5.1BNov 14, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $5.2B to $5.1BNov 14, 2025 to Mar 31, 2026
- RAUM · $5.2B to $5.1BNov 14, 2025 to Mar 31, 2026
- Advisory employees · 66 to 75Mar 29, 2024 to Mar 31, 2025
- Employees · 82 to 91Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $4.7B to $5.2BMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $4.7B to $5.2BMar 29, 2024 to Mar 31, 2025
- RAUM · $4.7B to $5.2BMar 29, 2024 to Mar 31, 2025
- Advisory employees · 60 to 66Mar 31, 2023 to Mar 29, 2024
- Employees · 76 to 82Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $4.3B to $4.7BMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $4.3B to $4.7BMar 31, 2023 to Mar 29, 2024
- RAUM · $4.3B to $4.7BMar 31, 2023 to Mar 29, 2024
- Accounts · 9 to 11Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 54 to 60Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 9 to 11Mar 31, 2022 to Mar 31, 2023
- Employees · 67 to 76Mar 31, 2022 to Mar 31, 2023
- Private funds · 9 to 11Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $3.4B to $4.3BMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $3.4B to $4.3BMar 31, 2022 to Mar 31, 2023
- RAUM · $3.4B to $4.3BMar 31, 2022 to Mar 31, 2023
- Related adviser · false to trueMar 31, 2022 to Mar 31, 2023
- Advisory employees · 46 to 54Mar 31, 2021 to Mar 31, 2022
- Employees · 53 to 67Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $2.3B to $3.4BMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $2.3B to $3.4BMar 31, 2021 to Mar 31, 2022
- RAUM · $2.3B to $3.4BMar 31, 2021 to Mar 31, 2022
- Advisory employees · 49 to 46Mar 30, 2020 to Mar 31, 2021
- Assets in custody · $1.5B to $0Mar 30, 2020 to Mar 31, 2021
- Employees · 51 to 53Mar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $1.5B to $2.3BMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $1.5B to $2.3BMar 30, 2020 to Mar 31, 2021
- RAUM · $1.5B to $2.3BMar 30, 2020 to Mar 31, 2021
- Accounts · 7 to 9Feb 7, 2020 to Mar 30, 2020
Signals
8 dated events
- S••••• C•••••• M••••••••• C••••••• L••••• reported RAUM $4.3B, up 29% from $3.4B (2022-03-31 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- S••••• C•••••• M••••••••• C••••••• L••••• reported RAUM $3.4B, up 47% from $2.3B (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Michael Darren Ondrey (Chief Compliance Officer And Chief Financial Officer) appeared on Schedule A of S••••• C•••••• M••••••••• C••••••• L•••••Mar 31, 2022 · Control person joined · fact
- Philip Stewart Lynn (Partner) appeared on Schedule A of S••••• C•••••• M••••••••• C••••••• L•••••Mar 31, 2022 · Control person joined · fact
- Sailesh Prital Kadakia (Partner) appeared on Schedule A of S••••• C•••••• M••••••••• C••••••• L•••••Mar 31, 2022 · Control person joined · fact
- S••••• C•••••• M••••••••• C••••••• L••••• reported RAUM $2.3B, up 56% from $1.5B (2020-03-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Hufft Amy Abbott (Chief Financial Officer And Chief Compliance Officer) no longer on Schedule A of S••••• C•••••• M••••••••• C••••••• L••••• (listed 2020-03-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- S••••• C•••••• M••••••••• C••••••• L••••• reported RAUM $1.2B, up 97% from $625.8M (2017-07-05 to 2018-03-27)Mar 27, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- S••••• C•••••• M••••••••• C••••••• L••••• · Independent Sponsorsshared crd · capital_provider
- S••••• C•••••• M••••••••• C••••••• L••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/serent-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- serentcapital.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-310-0391reportedpublic record, Form ADV, Mar 31, 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