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••••••••• L•••
Latest filing Mar 31, 2026
First filing on the tape Feb 14, 2012 · 24 filings
SEC status approved since Mar 30, 2012
RAUM
$2.1B
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
17
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$2.1B as of Mar 31, 2026
Mar 27, 2013$1.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 27, 20130 then
Employees (5.A)17 as of Mar 31, 2026
Mar 27, 201314 then
Private funds3 as of Mar 31, 2026
Mar 27, 20132 then
RAUM -13% over the last fiscal year-7.0% 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
- $213MderivedRAUM 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
- -13%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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.0B96%
- Other investment advisers$81.4M3.8%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- 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=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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••• I••••••••• R••••••• H••••• E••••• M••••• F•••• L•• | Hedge Fund | $2.5B | 48 | Feb 14, 2012 |
| S••••••• I••••••••• R••••••• E••••• O••••••••• M••••• F••• L•• | Hedge Fund | $184M | 12 | Feb 14, 2012 |
| S••••••• I••••••••• R••••••• S•• H•••••••• L•• • S••••• 1• | Hedge Fund | $160M | 2 | Jul 27, 2022 |
| S••••••• I••••••••• R••••••• E••••• T••••••••• M••••• F•••• L••• | Hedge Fund | $66.8M | 12 | Feb 20, 2024 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• S••••• M•••••• · Portfolio Managercontrolsince 07/2007 · owns 25% to 50%
- E••••• M••••• R••••• · Chief Financial Officercontrolsince 01/2008 · owns less than 5%
- F••••••• B•••••••• D••• · Chief Operating Officer And Chief Compliance Officercontrolsince 01/2008 · owns 5% to 10%
- M••••• V••••••• S•••••• · Portfolio Managercontrolsince 07/2007 · owns 25% to 50%
- B••••••• S••••• M•••••• · Trustee/B•••••• F••••• 2••• T••••controlsince 01/2018 · owns F of B•••••• F••••• 2••• T••••
- B••••••• S••••• M•••••• · Managing Member/S•• M••••••••• G• L••controlsince 01/2008 · owns F of S•• M••••••••• G• L••
- M••••• V••••••• S•••••• · Managing Member/S•• M••••••••• G• L••controlsince 01/2008 · owns F of S•• M••••••••• G• L••
- A••••••••• M••••••• J••• · Portfolio Managersince 01/2016 · owns 5% to 10%
- P•••• E•••• A• · Portfolio Managersince 01/2012 · owns 10% to 25%
- S••••• J••••• · Portfolio Managersince 02/2019 · owns 5% to 10%
- S•••• G••••••• J• · Portfolio Managersince 01/2021 · owns less than 5%
Entity owners
- S•• M••••••••• G• L•• · General Partnerdirect · owns less than 5%
- B•••••• F••••• 2••• T•••• · Limited Partnerdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- S•• A••••••• L••investment adviserbankpooled vehicle sponsorn
- S•• E• A••••••• L••investment adviserbankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Bedford Hills, NY
What changed
consecutive filings, newest first
- Accounts · 7 to 10Mar 27, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.5B to $2.1BMar 27, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $2.4B to $2.0BMar 27, 2025 to Mar 31, 2026
- RAUM · $2.5B to $2.1BMar 27, 2025 to Mar 31, 2026
- Related adviser · true to falseMar 27, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $2.8B to $2.5BMar 28, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $2.7B to $2.4BMar 28, 2024 to Mar 27, 2025
- RAUM · $2.8B to $2.5BMar 28, 2024 to Mar 27, 2025
- Accounts · 5 to 7Feb 20, 2024 to Mar 27, 2024
- Pooled vehicle clients · 7 to 9Feb 20, 2024 to Mar 27, 2024
- Private funds · 4 to 3Feb 20, 2024 to Mar 27, 2024
- Discretionary RAUM · $2.6B to $2.8BFeb 20, 2024 to Mar 27, 2024
- Pooled vehicle RAUM · $2.6B to $2.7BFeb 20, 2024 to Mar 27, 2024
- RAUM · $2.6B to $2.8BFeb 20, 2024 to Mar 27, 2024
- Private funds · 3 to 4Sep 13, 2023 to Feb 20, 2024
- Accounts · 4 to 5Jul 27, 2022 to Mar 28, 2023
- Advisory employees · 8 to 10Jul 27, 2022 to Mar 28, 2023
- Pooled vehicle clients · 6 to 7Jul 27, 2022 to Mar 28, 2023
- Employees · 15 to 17Jul 27, 2022 to Mar 28, 2023
- Discretionary RAUM · $1.9B to $2.6BJul 27, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $1.9B to $2.6BJul 27, 2022 to Mar 28, 2023
- RAUM · $1.9B to $2.6BJul 27, 2022 to Mar 28, 2023
- Private funds · 2 to 3Mar 29, 2022 to Jul 27, 2022
- Other offices · 2 to 1Mar 22, 2021 to Mar 29, 2022
- Discretionary RAUM · $1.5B to $1.9BMar 22, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $1.5B to $1.9BMar 22, 2021 to Mar 29, 2022
- RAUM · $1.5B to $1.9BMar 22, 2021 to Mar 29, 2022
- Discretionary RAUM · $1.5B to $1.5BMar 25, 2020 to Mar 22, 2021
- Pooled vehicle RAUM · $1.5B to $1.5BMar 25, 2020 to Mar 22, 2021
- RAUM · $1.5B to $1.5BMar 25, 2020 to Mar 22, 2021
- Advisory employees · 9 to 8Apr 5, 2019 to Mar 25, 2020
- Employees · 16 to 15Apr 5, 2019 to Mar 25, 2020
- Other offices · 3 to 2Apr 5, 2019 to Mar 25, 2020
- Discretionary RAUM · $1.4B to $1.5BApr 5, 2019 to Mar 25, 2020
- Pooled vehicle RAUM · $1.4B to $1.5BApr 5, 2019 to Mar 25, 2020
- RAUM · $1.4B to $1.5BApr 5, 2019 to Mar 25, 2020
- Accounts · 6 to 4Jul 30, 2018 to Mar 22, 2019
- Discretionary RAUM · $1.8B to $1.4BJul 30, 2018 to Mar 22, 2019
- Pooled vehicle RAUM · $1.8B to $1.4BJul 30, 2018 to Mar 22, 2019
Signals
2 dated events
- S•• C•••••• M••••••••• L••• reported RAUM $2.6B, up 38% from $1.9B (2022-07-27 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- S•• C•••••• M••••••••• L••• reported RAUM $1.9B, up 27% from $1.5B (2021-03-22 to 2022-03-29)Mar 29, 2022 · 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
- Principal office phone
- 212-993-7100reportedpublic 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