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

S••••••• P•••••••

Former SEC-registered adviserNew York, New YorkCRD 161050SEC 801-73779IAPD
Legal name S••••••• P••••••• M••••••••• L•••••
Latest filing Mar 29, 2016
First filing on the tape Feb 14, 2012 · 5 filings
RAUM
$4.4B
reported, Item 5.F
Discretionary
98%
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
26
19 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
12
$4.4B gross assets
History
5 filings and snapshots on the tape
RAUM$4.4B as of Mar 29, 2016
Apr 1, 2013$968M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2016
Apr 1, 20130 then
Employees (5.A)26 as of Mar 29, 2016
Apr 1, 201317 then
Private funds12 as of Mar 29, 2016
Apr 1, 20132 then
RAUM +12% over the last fiscal year+66% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2016; 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
$369MderivedRAUM over accounts (5.F.2.f)
Discretionary
98%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
+12%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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
12reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      12 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••••• P••••••• I•• L•••Private Equity Fund$2.5B57Mar 30, 2015
      S••••••• P•••••••• L•••Private Equity Fund$1.3B62Feb 14, 2012
      S••••••• P••••••• A• L•••Private Equity Fund$493M62Feb 14, 2012
      S••••••• P••••••• ••••••••• L•••••Private Equity Fund$87.4M2Mar 29, 2016
      S••••••• P••••••• I• A••••••••• L•••Private Equity Fund$51.1M7Mar 29, 2016
      S••••••• P••••••• I• A••••••••• L•••Private Equity Fund$29.7M14Mar 29, 2016
      S••••••• P••••••• A••••••••• L•••Private Equity Fund$15.9M10Mar 29, 2016
      S••••••• P••••••• A••••••••• C••••••••• L•••Private Equity Fund$8.9M2Mar 29, 2016
      S••••••• P••••••• A••••••••• I••••••••• L•••Private Equity Fund$8.0M16Mar 29, 2016
      S••••••• P••••••• I• A••••••••• I••••••••• L•••Private Equity Fund$8.0M26Mar 29, 2016
      S••••••• P••••••• A••••••••• L•••Private Equity Fund$6.1M5Mar 29, 2016
      S••••••• P••••••• A••••••••• L•••Private Equity Fund$2.5M5Mar 29, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • K••••••• S•••••• L• · Managing Director And Limited Partnercontrol
        since 07/2011 · owns 75% or more
      • M•••••• P•••• · Managing Directorcontrol
        since 07/2011 · owns less than 5%
      • W••••••••• J••• · Chief Compliance Officer And Chief Financial Officercontrol
        since 01/2012 · owns less than 5%
      • K••••••• S•••••• L• · Managing Membercontrol
        since 07/2015 · owns 75% or more of S••••••• P••••••• M••••••••• G•• L•••••
      Entity owners
      • S••••••• P••••••• M••••••••• G•• L••••• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • S••••••• P••••••• G• •••••••• L•••
        investment adviserpooled vehicle sponsorn
      • S••••••• P••••••• G•• L•••••
        investment adviserpooled vehicle sponsorn
      • S••••••• P••••••• I• G•• L•••
        investment adviserpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 12
        Mar 30, 2015 to Mar 29, 2016
      • Advisory employees · 14 to 19
        Mar 30, 2015 to Mar 29, 2016
      • Employees · 21 to 26
        Mar 30, 2015 to Mar 29, 2016
      • Organization form · Limited Liability Company to Limited Partnership
        Mar 30, 2015 to Mar 29, 2016
      • Private funds · 3 to 12
        Mar 30, 2015 to Mar 29, 2016
      • Discretionary RAUM · $4.0B to $4.3B
        Mar 30, 2015 to Mar 29, 2016
      • Non-discretionary RAUM · $0 to $87.3M
        Mar 30, 2015 to Mar 29, 2016
      • RAUM · $4.0B to $4.4B
        Mar 30, 2015 to Mar 29, 2016
      • Succession · false to true
        Mar 30, 2015 to Mar 29, 2016
      • Accounts · 2 to 3
        Mar 28, 2014 to Mar 30, 2015
      • Employees · 19 to 21
        Mar 28, 2014 to Mar 30, 2015
      • Private funds · 2 to 3
        Mar 28, 2014 to Mar 30, 2015
      • Discretionary RAUM · $1.3B to $4.0B
        Mar 28, 2014 to Mar 30, 2015
      • RAUM · $1.3B to $4.0B
        Mar 28, 2014 to Mar 30, 2015
      • Advisory employees · 13 to 14
        Apr 1, 2013 to Mar 28, 2014
      • Assets in custody · unset to 0.0
        Apr 1, 2013 to Mar 28, 2014
      • Custody of client assets · false to true
        Apr 1, 2013 to Mar 28, 2014
      • Employees · 17 to 19
        Apr 1, 2013 to Mar 28, 2014
      • Discretionary RAUM · $968M to $1.3B
        Apr 1, 2013 to Mar 28, 2014
      • RAUM · $968M to $1.3B
        Apr 1, 2013 to Mar 28, 2014
      • Advisory employees · unset to 13.0
        Feb 14, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        Feb 14, 2012 to Apr 1, 2013
      • Employees · unset to 17.0
        Feb 14, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Feb 14, 2012 to Apr 1, 2013
      • Discretionary RAUM · $611M to $968M
        Feb 14, 2012 to Apr 1, 2013
      • RAUM · $611M to $968M
        Feb 14, 2012 to Apr 1, 2013
      Signals
      1 dated events
      • S••••••• P••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Mar 29, 2016 · Succession (Item 4) · fact
      Across DFX
      shared identifiers only, never a name match
      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