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 30, 2026
First filing on the tape May 17, 2016 · 17 filings
SEC status approved since May 24, 2016
RAUM
$634M
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
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$634M as of Mar 30, 2026
Mar 31, 2017$311M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 31, 20170 then
Employees (5.A)5 as of Mar 30, 2026
Mar 31, 20175 then
Private funds3 as of Mar 30, 2026
Mar 31, 20172 then
RAUM -27% over the last fiscal year-12% 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
- $158MderivedRAUM 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
- -27%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
- $15.1M, 1 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)
- 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$634M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $15.1M for 1 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••• P•••••••• L• | Hedge Fund | $849M | 215 | Mar 30, 2012 |
| S••••• S•••••• L• | Hedge Fund | $43.6M | 51 | Mar 29, 2019 |
| S••••• P••••••• O•••••••• L•••no longer reported | Hedge Fund | $38.2M | 33 | Mar 28, 2013 |
| P•••••• L•no longer reported | Hedge Fund | $29.0M | 2 | Mar 28, 2013 |
| S•• P•••••••• L•• | Hedge Fund | $19.5M | 6 | Mar 30, 2012 |
| S••••• O••••••••• I• L•no longer reported | Hedge Fund | $6.8M | 22 | Mar 29, 2019 |
Owners and control persons
Schedule A and B, latest filing
- J••••••••• J••••••• N•• · Managing Membercontrolsince 02/2003 · owns 75% or more
- R••••••• R•••••• E••••• · Stockholdercontrolsince 01/1983 · owns 50% to 75% of R•••••• • C••••••• I•••••••••
- S•••••• D••••• S••••• · Chief Compliance Officer And Head Of Operationssince 06/2004 · owns less than 5%
Entity owners
- R•••••• • C••••••• I••••••••• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- S••••• M••••••••• C••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $868,676,300 to $633,820,245 (-27.0%) between the annual amendments of 2025-03-28 and 2026-03-30; the peer median change was +8.0% (672 comparable advisers, 7.0th percentile of changes)peers: asset managers, $500M to $1B (672) · 7.2% percentile
What changed
consecutive filings, newest first
- Assets in custody · $18.2M to $15.1MMar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $850M to $619MMar 28, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $18.2M to $15.1MMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $869M to $634MMar 28, 2025 to Mar 30, 2026
- RAUM · $869M to $634MMar 28, 2025 to Mar 30, 2026
- Assets in custody · $19.5M to $18.2MMar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $893M to $850MMar 28, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $19.5M to $18.2MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $912M to $869MMar 28, 2024 to Mar 28, 2025
- RAUM · $912M to $869MMar 28, 2024 to Mar 28, 2025
- Assets in custody · $25.3M to $19.5MMar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $900M to $893MMar 31, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $25.3M to $19.5MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $925M to $912MMar 31, 2023 to Mar 28, 2024
- RAUM · $925M to $912MMar 31, 2023 to Mar 28, 2024
- Assets in custody · $30.2M to $25.3MMay 9, 2022 to Mar 31, 2023
- Discretionary RAUM · $906M to $900MMay 9, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $30.2M to $25.3MMay 9, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $936M to $925MMay 9, 2022 to Mar 31, 2023
- RAUM · $936M to $925MMay 9, 2022 to Mar 31, 2023
- Assets in custody · $28.7M to $30.2MMar 31, 2022 to May 9, 2022
- Non-discretionary RAUM · $28.7M to $30.2MMar 31, 2022 to May 9, 2022
- Pooled vehicle RAUM · $935M to $936MMar 31, 2022 to May 9, 2022
- RAUM · $935M to $936MMar 31, 2022 to May 9, 2022
- Assets in custody · $22.5M to $28.7MNov 8, 2021 to Mar 31, 2022
- Discretionary RAUM · $668M to $906MNov 8, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $22.5M to $28.7MNov 8, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $691M to $935MNov 8, 2021 to Mar 31, 2022
- RAUM · $691M to $935MNov 8, 2021 to Mar 31, 2022
- Assets in custody · $22.6M to $22.5MMay 4, 2020 to Mar 31, 2021
- Discretionary RAUM · $490M to $668MMay 4, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $22.6M to $22.5MMay 4, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $513M to $691MMay 4, 2020 to Mar 31, 2021
- RAUM · $513M to $691MMay 4, 2020 to Mar 31, 2021
- Discretionary RAUM · $498M to $490MMar 30, 2020 to May 4, 2020
- Pooled vehicle RAUM · $521M to $513MMar 30, 2020 to May 4, 2020
- RAUM · $521M to $513MMar 30, 2020 to May 4, 2020
- Accounts · 5 to 4Mar 29, 2019 to Mar 30, 2020
- Pooled vehicle clients · 5 to 4Mar 29, 2019 to Mar 30, 2020
Signals
5 dated events
- S••••• C•••••• M••••••••• L•• reported RAUM $633.8M, down 27% from $868.7M (2025-03-28 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- S••••• C•••••• M••••••••• L•• reported RAUM $934.7M, up 35% from $690.8M (2021-11-08 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- S••••• C•••••• M••••••••• L•• reported RAUM $690.8M, up 35% from $512.7M (2020-05-04 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- S••••• C•••••• M••••••••• L•• reported RAUM $520.8M, up 44% from $361.0M (2019-03-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- S••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 17, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••• C•••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- S•••••CAP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-448-7400reportedpublic 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