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••••• H•••• I••••••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jun 26, 2014 · 19 filings
SEC status approved since Jul 10, 2014
RAUM
$5.2B
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
9
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$5.2B as of Mar 31, 2026
Mar 31, 2015$483M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 31, 20150 then
Employees (5.A)9 as of Mar 31, 2026
Mar 31, 20152 then
Private funds2 as of Mar 31, 2026
Mar 31, 20151 then
RAUM +47% over the last fiscal year+58% 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
- $1.3BderivedRAUM 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
- +47%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)
- 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$5.2B100%
- 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
- $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=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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• S••••• H•••• P••••••••• L•no longer reported | Hedge Fund | $2.5B | 83 | Mar 30, 2012 |
| T•• S••••• H•••• P••••••••• ••• L• | Hedge Fund | $1.1B | 28 | Mar 29, 2020 |
| T•• S••••• H•••• P••••••••• L• | Hedge Fund | $789M | 84 | Mar 29, 2020 |
Owners and control persons
Schedule A and B, latest filing
- C••••• K••••• R••••• · Chief Compliance Officer, Chief Operating Officer And Presidentcontrolsince 01/2022 · owns less than 5%
- S••••• B•••••••• F••••••• · Managing Membercontrolsince 08/2005 · owns 50% to 75%
- S••••••••• Z••••••• S••••• · Managing Membercontrolsince 08/2005 · owns 50% to 75%
Related persons
Schedule D 7.A
- S••••• H•••• C•••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Aspen, CO1 employees
What changed
consecutive filings, newest first
- Advisory employees · 5 to 4Mar 31, 2025 to Mar 31, 2026
- Employees · 10 to 9Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $3.6B to $5.2BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $3.6B to $5.2BMar 31, 2025 to Mar 31, 2026
- RAUM · $3.6B to $5.2BMar 31, 2025 to Mar 31, 2026
- Employees · 9 to 10Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $2.3B to $3.6BMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $2.3B to $3.6BMar 29, 2024 to Mar 31, 2025
- RAUM · $2.3B to $3.6BMar 29, 2024 to Mar 31, 2025
- Related adviser · false to trueMar 29, 2024 to Mar 31, 2025
- Advisory employees · 6 to 5Mar 31, 2023 to Mar 29, 2024
- Employees · 10 to 9Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.3B to $2.3BMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $1.3B to $2.3BMar 31, 2023 to Mar 29, 2024
- RAUM · $1.3B to $2.3BMar 31, 2023 to Mar 29, 2024
- Related bank · true to falseMar 31, 2023 to Mar 29, 2024
- Employees · 9 to 10Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $4.7B to $1.3BMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $4.7B to $1.3BMar 31, 2022 to Mar 31, 2023
- RAUM · $4.7B to $1.3BMar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $4.1B to $4.7BJan 10, 2022 to Mar 31, 2022
- Pooled vehicle RAUM · $4.1B to $4.7BJan 10, 2022 to Mar 31, 2022
- RAUM · $4.1B to $4.7BJan 10, 2022 to Mar 31, 2022
- Related bank · false to trueJan 10, 2022 to Mar 31, 2022
- Advisory employees · 5 to 6Jan 14, 2021 to Mar 31, 2021
- Employees · 7 to 9Jan 14, 2021 to Mar 31, 2021
- Discretionary RAUM · $3.1B to $4.1BJan 14, 2021 to Mar 31, 2021
- Pooled vehicle RAUM · $3.1B to $4.1BJan 14, 2021 to Mar 31, 2021
- RAUM · $3.1B to $4.1BJan 14, 2021 to Mar 31, 2021
- Other offices · 0 to 1Mar 29, 2020 to Jan 14, 2021
- Accounts · 2 to 4Mar 29, 2019 to Mar 29, 2020
- Pooled vehicle clients · 2 to 3Mar 29, 2019 to Mar 29, 2020
- Private funds · 1 to 2Mar 29, 2019 to Mar 29, 2020
- Discretionary RAUM · $2.5B to $3.1BMar 29, 2019 to Mar 29, 2020
- Pooled vehicle RAUM · $2.5B to $3.1BMar 29, 2019 to Mar 29, 2020
- RAUM · $2.5B to $3.1BMar 29, 2019 to Mar 29, 2020
- Advisory employees · 4 to 5May 25, 2018 to Mar 29, 2019
- Employees · 4 to 7May 25, 2018 to Mar 29, 2019
- Discretionary RAUM · $2.2B to $2.5BMay 25, 2018 to Mar 29, 2019
Signals
9 dated events
- S••••• H•••• I••••••••• M••••••••• L•• reported RAUM $5.2B, up 47% from $3.6B (2025-03-31 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- S••••• H•••• I••••••••• M••••••••• L•• reported RAUM $3.6B, up 56% from $2.3B (2024-03-29 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- S••••• H•••• I••••••••• M••••••••• L•• reported RAUM $2.3B, up 73% from $1.3B (2023-03-31 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- S••••• H•••• I••••••••• M••••••••• L•• reported RAUM $1.3B, down 72% from $4.7B (2022-03-31 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Joseph Thomas Walker (Chief Compliance Officer, Chief Financial Officer) no longer on Schedule A of S••••• H•••• I••••••••• M••••••••• L•• (listed 2021-03-31, absent 2022-01-10)Jan 10, 2022 · Control person left · inference
- Robert Keith Cozza (Chief Compliance Officer, Chief Operating Officer And President) appeared on Schedule A of S••••• H•••• I••••••••• M••••••••• L••Jan 10, 2022 · Control person joined · fact
- S••••• H•••• I••••••••• M••••••••• L•• reported RAUM $4.1B, up 34% from $3.1B (2021-01-14 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- S••••• H•••• I••••••••• M••••••••• L•• reported RAUM $2.2B, up 114% from $1.0B (2017-03-30 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- S••••• H•••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 26, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••• H•••• I••••••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- S•••••H••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 646-442-6727reportedpublic 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