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 Mar 30, 2026
First filing on the tape Jan 20, 2012 · 17 filings
SEC status approved since Feb 7, 2012
RAUM
$434M
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
21
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$434M as of Mar 30, 2026
Mar 28, 2013$878M 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)21 as of Mar 30, 2026
Mar 28, 201319 then
Private funds1 as of Mar 30, 2026
Mar 28, 20131 then
RAUM +3.9% over the last fiscal year+3.1% 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
- $145MderivedRAUM 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
- +3.9%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
- $1.7M, 2 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$434M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.7M for 2 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••• L•••no longer reported | Hedge Fund | $878M | 4 | Apr 27, 2012 |
| S•••• Q••••••••• M••••• F••• L••• | Hedge Fund | $392M | 6 | Sep 4, 2013 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• G••••• E••••• · Chief Compliance Officercontrolsince 01/2012 · owns less than 5%
- L••••••••• P••••• L••••••• · Managercontrolsince 11/2011 · owns less than 5%
- L••••••••• P••••• L••••••• · Managing Membercontrolsince 06/2013 · owns 75% or more of S•••• H••••••• L••
Entity owners
- S•••• H••••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- S•••• I••••••••• M••••••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $22.0M to $1.7MMar 28, 2025 to Mar 30, 2026
- Employees · 20 to 21Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $418M to $434MMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $418M to $434MMar 28, 2025 to Mar 30, 2026
- RAUM · $418M to $434MMar 28, 2025 to Mar 30, 2026
- Assets in custody · $669,896 to $22.0MMar 27, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $392M to $418MMar 27, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $392M to $418MMar 27, 2024 to Mar 28, 2025
- RAUM · $392M to $418MMar 27, 2024 to Mar 28, 2025
- Assets in custody · $646,132 to $669,896Mar 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $396M to $392MMar 29, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $396M to $392MMar 29, 2023 to Mar 27, 2024
- RAUM · $396M to $392MMar 29, 2023 to Mar 27, 2024
- Assets in custody · $25.7M to $646,132Mar 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $453M to $396MMar 30, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $453M to $396MMar 30, 2022 to Mar 29, 2023
- RAUM · $453M to $396MMar 30, 2022 to Mar 29, 2023
- Advisory employees · 10 to 9Mar 31, 2021 to Mar 30, 2022
- Assets in custody · $510,039 to $25.7MMar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $497M to $453MMar 31, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $497M to $453MMar 31, 2021 to Mar 30, 2022
- RAUM · $497M to $453MMar 31, 2021 to Mar 30, 2022
- Assets in custody · $508,201 to $510,039Mar 25, 2020 to Mar 31, 2021
- Discretionary RAUM · $1.7B to $497MMar 25, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $1.7B to $497MMar 25, 2020 to Mar 31, 2021
- RAUM · $1.7B to $497MMar 25, 2020 to Mar 31, 2021
- Assets in custody · $500,000 to $508,201Mar 26, 2019 to Mar 25, 2020
- Discretionary RAUM · $3.2B to $1.7BMar 26, 2019 to Mar 25, 2020
- Pooled vehicle RAUM · $3.2B to $1.7BMar 26, 2019 to Mar 25, 2020
- RAUM · $3.2B to $1.7BMar 26, 2019 to Mar 25, 2020
- Discretionary RAUM · $3.6B to $3.2BMar 23, 2018 to Mar 26, 2019
- Pooled vehicle RAUM · $3.6B to $3.2BMar 23, 2018 to Mar 26, 2019
- RAUM · $3.6B to $3.2BMar 23, 2018 to Mar 26, 2019
- Charity clients · unset to 0.0Mar 29, 2017 to Mar 23, 2018
- Corporate clients · unset to 0.0Mar 29, 2017 to Mar 23, 2018
- HNW clients · unset to 0.0Mar 29, 2017 to Mar 23, 2018
- Individual clients · unset to 0.0Mar 29, 2017 to Mar 23, 2018
- Pension plan clients · unset to 0.0Mar 29, 2017 to Mar 23, 2018
- Pooled vehicle clients · unset to 3.0Mar 29, 2017 to Mar 23, 2018
Signals
3 dated events
- S•••• I••••••••• M••••••••• L•• reported RAUM $497.1M, down 71% from $1.7B (2020-03-25 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- S•••• I••••••••• M••••••••• L•• reported RAUM $1.7B, down 48% from $3.2B (2019-03-26 to 2020-03-25)Mar 25, 2020 · RAUM change · derived
- S•••• I••••••••• M••••••••• L•• reported RAUM $3.6B, up 26% from $2.9B (2017-03-29 to 2018-03-23)Mar 23, 2018 · RAUM change · derived
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
- Firm profile
- linkedin.com/company/spark-investment-management-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- sparkim.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-826-1900reportedpublic 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