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• E••••• P••••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Jun 27, 2019 · 13 filings
SEC status approved since Jul 26, 2019
RAUM
$556M
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
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$556M as of Mar 30, 2026
Mar 24, 2020$226M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 24, 20200 then
Employees (5.A)8 as of Mar 30, 2026
Mar 24, 20207 then
Private funds7 as of Mar 30, 2026
Mar 24, 202010 then
RAUM -3.4% over the last fiscal year+7.8% 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
- $92.7MderivedRAUM 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
- -3.4%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $556M, 6 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$556M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $556M for 6 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
13 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S• E••••• P•••••••• L• | Private Equity Fund | $396M | 13 | Jun 27, 2019 |
| S• E••••• P••••••• I•• L• | Private Equity Fund | $113M | 18 | Mar 31, 2023 |
| B• H•••••• P•••••••• L••• | Private Equity Fund | $30.1M | 6 | Jun 27, 2019 |
| S• E••••• P••••••• C••••••• I•• L• | Private Equity Fund | $28.4M | 7 | Jun 27, 2019 |
| S• E••••• P••••••• C••••••• D••• L• | Private Equity Fund | $24.5M | 10 | Mar 29, 2024 |
| S• E••••• P••••••• C••••••• R•• L• | Private Equity Fund | $24.3M | 9 | Apr 28, 2022 |
| S••• G••• L• | Private Equity Fund | $11.0M | 2 | Jun 27, 2019 |
| S•• F•••••••• E••••• P••••••• I••• L••• | Private Equity Fund | $740,041 | 2 | Mar 28, 2012 |
| R•• H•••••• P•••••••• L•••no longer reported | Private Equity Fund | $571,219 | 7 | Jun 27, 2019 |
| S•• F•••••••• E••••• P•••••••• L••• | Private Equity Fund | $35,741 | 3 | Mar 28, 2012 |
| S•• F•••••••• E••••• P••••••• I•• L••• | Private Equity Fund | $21,326 | 3 | Mar 28, 2012 |
| Y• H•••••• P•••••••• L•••no longer reported | Private Equity Fund | $4,429 | 4 | Jun 27, 2019 |
| J••••••••• H•••••• P•••••••• L•••no longer reported | Private Equity Fund | $3,959 | 6 | Jun 27, 2019 |
Owners and control persons
Schedule A and B, latest filing
- I•••••• D•••••••• L•••• · Chief Financial Officer And Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
- P•••••• S•••• · Managing Partnercontrolsince 02/2005 · owns 75% or more
Related persons
Schedule D 7.A
- S• E••••• P••••••• G•• L••pooled vehicle sponsorn
- S• E••••• P••••••• I• G•• L••pooled vehicle sponsorn
- S• E••••• P••••••• M••••••••• L••pooled vehicle sponsorn
- S••• I• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $0 to $556MMar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $575M to $556MMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $575M to $556MMar 31, 2025 to Mar 30, 2026
- RAUM · $575M to $556MMar 31, 2025 to Mar 30, 2026
- Accounts · 7 to 6Mar 29, 2024 to Mar 31, 2025
- Employees · 7 to 8Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $617M to $575MMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $617M to $575MMar 29, 2024 to Mar 31, 2025
- RAUM · $617M to $575MMar 29, 2024 to Mar 31, 2025
- Accounts · 8 to 7Apr 28, 2023 to Mar 29, 2024
- Advisory employees · 5 to 6Apr 28, 2023 to Mar 29, 2024
- Pooled vehicle clients · 8 to 6Apr 28, 2023 to Mar 29, 2024
- Employees · 6 to 7Apr 28, 2023 to Mar 29, 2024
- Private funds · 9 to 7Apr 28, 2023 to Mar 29, 2024
- Discretionary RAUM · $444M to $617MApr 28, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $444M to $617MApr 28, 2023 to Mar 29, 2024
- RAUM · $444M to $617MApr 28, 2023 to Mar 29, 2024
- Discretionary RAUM · $444M to $444MMar 31, 2023 to Apr 28, 2023
- Pooled vehicle RAUM · $444M to $444MMar 31, 2023 to Apr 28, 2023
- RAUM · $444M to $444MMar 31, 2023 to Apr 28, 2023
- Accounts · 11 to 8Jan 10, 2023 to Mar 31, 2023
- Pooled vehicle clients · 11 to 8Jan 10, 2023 to Mar 31, 2023
- Private funds · 11 to 9Jan 10, 2023 to Mar 31, 2023
- Discretionary RAUM · $268M to $444MJan 10, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $268M to $444MJan 10, 2023 to Mar 31, 2023
- RAUM · $268M to $444MJan 10, 2023 to Mar 31, 2023
- Accounts · 10 to 11Mar 31, 2022 to Apr 28, 2022
- Pooled vehicle clients · 10 to 11Mar 31, 2022 to Apr 28, 2022
- Private funds · 10 to 11Mar 31, 2022 to Apr 28, 2022
- Discretionary RAUM · $247M to $268MMar 31, 2022 to Apr 28, 2022
- Pooled vehicle RAUM · $247M to $268MMar 31, 2022 to Apr 28, 2022
- RAUM · $247M to $268MMar 31, 2022 to Apr 28, 2022
- Discretionary RAUM · $208M to $247MJan 28, 2022 to Mar 31, 2022
- Pooled vehicle RAUM · $208M to $247MJan 28, 2022 to Mar 31, 2022
- RAUM · $208M to $247MJan 28, 2022 to Mar 31, 2022
- Assets in custody · $226M to $0Mar 24, 2020 to Mar 29, 2021
- Employees · 7 to 6Mar 24, 2020 to Mar 29, 2021
- Discretionary RAUM · $226M to $208MMar 24, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $226M to $208MMar 24, 2020 to Mar 29, 2021
Signals
5 dated events
- S• E••••• P••••••• M••••••••• L•• reported RAUM $616.7M, up 39% from $444.5M (2023-04-28 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- S• E••••• P••••••• M••••••••• L•• reported RAUM $444.2M, up 65% from $268.4M (2023-01-10 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Ann Mary Kayser (Cfo, Cco) no longer on Schedule A of S• E••••• P••••••• M••••••••• L•• (listed 2021-11-09, absent 2022-01-28)Jan 28, 2022 · Control person left · inference
- Laura Danielle Iovino (Chief Financial Officer) appeared on Schedule A of S• E••••• P••••••• M••••••••• L••Jan 28, 2022 · Control person joined · fact
- S• E••••• P••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 27, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S• E••••• P••••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- S• E••••• P••••••• M••••••••• L•• · Private Equityshared crd · organization
- S• E••••• P••••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- w••.s•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 415-738-1200reportedpublic 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