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•••••••• M••••••••• L•••
Latest filing Mar 30, 2026
First filing on the tape Jun 20, 2016 · 15 filings
SEC status approved since Jul 11, 2016
RAUM
$610M
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
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$610M as of Mar 30, 2026
Mar 16, 2017$213M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 16, 20170 then
Employees (5.A)4 as of Mar 30, 2026
Mar 16, 20172 then
Private funds1 as of Mar 30, 2026
Mar 16, 20171 then
RAUM +5.1% 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
- $610MderivedRAUM 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
- +5.1%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
- 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)
- 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$610M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••••• C••••••• L••• | Hedge Fund | $534M | 49 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- N•••••••• J••• F••••• · Limited Partner, Managing Member Of The General Partner, Chief Compliance Officercontrolsince 09/2005 · owns 75% or more
- G••••••••• R•••••• L••••••• · Membercontrolsince 10/2003 · owns 25% to 50% of G••••• Advisers LLC
- G••••••••• J•••• M•••••• · Managing Membercontrolsince 10/2003 · owns 25% to 50% of G••••• Advisers LLC
- N•••••••• J••• F••••• · Managing Membercontrolsince 09/2005 · owns 75% or more of S•••••••• M••••••••• G• L••
Entity owners
- S•••••••• M••••••••• G• L•• · General Partnerdirect · owns less than 5%
- G••••• A•••••••• L•• · Limited Partnerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- S•••••••• P••••••• L••investment adviserbankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $581M to $610MMar 19, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $581M to $610MMar 19, 2025 to Mar 30, 2026
- RAUM · $581M to $610MMar 19, 2025 to Mar 30, 2026
- Advisory employees · 2 to 4Mar 25, 2024 to Mar 19, 2025
- Employees · 2 to 4Mar 25, 2024 to Mar 19, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 19, 2025
- Discretionary RAUM · $534M to $581MMar 25, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · $534M to $581MMar 25, 2024 to Mar 19, 2025
- RAUM · $534M to $581MMar 25, 2024 to Mar 19, 2025
- Discretionary RAUM · $487M to $534MMar 30, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $487M to $534MMar 30, 2023 to Mar 25, 2024
- RAUM · $487M to $534MMar 30, 2023 to Mar 25, 2024
- HQ city · CHEVY CHASE to BETHESDADec 16, 2022 to Mar 30, 2023
- Discretionary RAUM · $577M to $487MDec 16, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $577M to $487MDec 16, 2022 to Mar 30, 2023
- RAUM · $577M to $487MDec 16, 2022 to Mar 30, 2023
- Discretionary RAUM · $520M to $577MMar 10, 2021 to Mar 11, 2022
- Pooled vehicle RAUM · $520M to $577MMar 10, 2021 to Mar 11, 2022
- RAUM · $520M to $577MMar 10, 2021 to Mar 11, 2022
- Discretionary RAUM · $492M to $520MAug 10, 2020 to Mar 10, 2021
- Pooled vehicle RAUM · $492M to $520MAug 10, 2020 to Mar 10, 2021
- RAUM · $492M to $520MAug 10, 2020 to Mar 10, 2021
- Discretionary RAUM · $415M to $492MMar 26, 2019 to Mar 18, 2020
- Pooled vehicle RAUM · $415M to $492MMar 26, 2019 to Mar 18, 2020
- RAUM · $415M to $492MMar 26, 2019 to Mar 18, 2020
- Discretionary RAUM · $371M to $415MMar 2, 2018 to Mar 26, 2019
- Pooled vehicle RAUM · $371M to $415MMar 2, 2018 to Mar 26, 2019
- RAUM · $371M to $415MMar 2, 2018 to Mar 26, 2019
- Pooled vehicle clients · unset to 1.0Mar 16, 2017 to Mar 2, 2018
- Other offices · unset to 0.0Mar 16, 2017 to Mar 2, 2018
- Discretionary RAUM · $213M to $371MMar 16, 2017 to Mar 2, 2018
- Pooled vehicle RAUM · unset to 370596835.0Mar 16, 2017 to Mar 2, 2018
- RAUM · $213M to $371MMar 16, 2017 to Mar 2, 2018
- Advisory employees · 1 to 2Jun 22, 2016 to Mar 16, 2017
- Employees · 1 to 2Jun 22, 2016 to Mar 16, 2017
- Discretionary RAUM · $163M to $213MJun 22, 2016 to Mar 16, 2017
- RAUM · $163M to $213MJun 22, 2016 to Mar 16, 2017
- Private funds · 2 to 1Jun 20, 2016 to Jun 22, 2016
Signals
2 dated events
- S•••••••• M••••••••• L••• reported RAUM $370.6M, up 74% from $212.9M (2017-03-16 to 2018-03-02)Mar 2, 2018 · RAUM change · derived
- S•••••••• M••••••••• L••• filed its initial SEC registration (Form ADV)Jun 20, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••••••• M••••••••• L••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/S••••••••-MANAGEMENT-LPreportedpublic record, Form ADV, Sep 19, 2026
- Website
- S••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-319-1438reportedpublic 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