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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S•• M••••••••• S•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Jun 30, 2016 · 20 filings
SEC status approved since Jul 19, 2016
RAUM
$624M
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
23
19 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
29
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$624M as of Mar 27, 2026
Mar 31, 2017$150M then
HNW client RAUM$0 as of Mar 27, 2026
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 31, 20170 then
Employees (5.A)23 as of Mar 27, 2026
Mar 31, 201711 then
Private funds29 as of Mar 27, 2026
Mar 31, 20172 then
RAUM +14% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $21.5MderivedRAUM 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
- +14%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $624M, 29 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- controlled by a public reporting company (10.A)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$624M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 29reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $624M for 29 clientsreported
- Compensation
- % of AUM, fixed, 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••••• P••• I•• L• | Private Equity Fund | $236M | 30 | Mar 31, 2023 |
| S••••• P••• I••• L• | Private Equity Fund | $188M | 24 | Mar 29, 2019 |
| S••••• P••• I•• B• L• | Private Equity Fund | $44.9M | 7 | Mar 30, 2021 |
| S••••• P••• I•• L••• | Private Equity Fund | $23.9M | 12 | Mar 25, 2015 |
| C•••••• 3• C••••• I••••••••• L••no longer reported | Private Equity Fund | $23.8M | 8 | Apr 24, 2012 |
| N•• S••••• P••• I••••••••• L••no longer reported | Private Equity Fund | $20.7M | 6 | Mar 12, 2014 |
| S••••• P••• I••• L••• | Private Equity Fund | $4.2M | 4 | Apr 24, 2012 |
| S••• 2••• C• I•••••• L•• | Other Private Fund | $3.4M | 9 | Mar 31, 2023 |
| P••••••• S• I••••••••• L••no longer reported | Private Equity Fund | $2.4M | 2 | Apr 24, 2012 |
| S••• 2••• C•••••••• A• L•• | Other Private Fund | $1.8M | 10 | Mar 31, 2022 |
| S••• 2••• C••••••••• L•• | Other Private Fund | $1.2M | 9 | Mar 31, 2022 |
| S••• 2••• C••••••••• L•• | Other Private Fund | $954,000 | 8 | Mar 28, 2024 |
| S•• I••••••••• L••no longer reported | Private Equity Fund | $125,000 | 2 | Apr 24, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• R•••••• G••••• · Manager (Of Registrant)controlsince 07/2006 · owns 50% to 75%
- C•••••• C••••••••• K•••• · Chief Compliance Officercontrolsince 01/2016 · owns less than 5%
- J••••••• J••••• L•• · Manager (Of Registrant)controlsince 07/2006 · owns 50% to 75%
Related persons
Schedule D 7.A
- S•• I••••••••• G•••••• P•••••• I•• L••pooled vehicle sponsorn
- S•• I••••••••• G•••••• P•••••• I••• L••pooled vehicle sponsorn
- S•• I••••••••• G•••••• P•••••• I•• L••pooled vehicle sponsorn
- S•• I••••••••• G•••••• P••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 26 to 29Mar 27, 2025 to Mar 27, 2026
- Pooled vehicle clients · 26 to 29Mar 27, 2025 to Mar 27, 2026
- Assets in custody · $546M to $624MMar 27, 2025 to Mar 27, 2026
- Employees · 20 to 23Mar 27, 2025 to Mar 27, 2026
- Private funds · 26 to 29Mar 27, 2025 to Mar 27, 2026
- Discretionary RAUM · $546M to $624MMar 27, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $546M to $624MMar 27, 2025 to Mar 27, 2026
- RAUM · $546M to $624MMar 27, 2025 to Mar 27, 2026
- Accounts · 9 to 26Apr 30, 2024 to Mar 27, 2025
- Advisory employees · 14 to 19Apr 30, 2024 to Mar 27, 2025
- Pooled vehicle clients · 9 to 26Apr 30, 2024 to Mar 27, 2025
- Assets in custody · unset to 546041258.0Apr 30, 2024 to Mar 27, 2025
- Custody of client assets · false to trueApr 30, 2024 to Mar 27, 2025
- Financial planning clients · unset to Apr 30, 2024 to Mar 27, 2025
- Private funds · 9 to 26Apr 30, 2024 to Mar 27, 2025
- Discretionary RAUM · $504M to $546MApr 30, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $504M to $546MApr 30, 2024 to Mar 27, 2025
- RAUM · $504M to $546MApr 30, 2024 to Mar 27, 2025
- Accounts · 8 to 9May 1, 2023 to Mar 28, 2024
- Pooled vehicle clients · 8 to 9May 1, 2023 to Mar 28, 2024
- Employees · 18 to 20May 1, 2023 to Mar 28, 2024
- Private funds · 8 to 9May 1, 2023 to Mar 28, 2024
- Discretionary RAUM · $440M to $504MMay 1, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $440M to $504MMay 1, 2023 to Mar 28, 2024
- RAUM · $440M to $504MMay 1, 2023 to Mar 28, 2024
- Discretionary RAUM · $440M to $440MMar 31, 2023 to May 1, 2023
- Pooled vehicle RAUM · $440M to $440MMar 31, 2023 to May 1, 2023
- RAUM · $440M to $440MMar 31, 2023 to May 1, 2023
- Accounts · 6 to 8Sep 13, 2022 to Mar 31, 2023
- Advisory employees · 15 to 14Sep 13, 2022 to Mar 31, 2023
- Pooled vehicle clients · 6 to 8Sep 13, 2022 to Mar 31, 2023
- Assets in custody · 357960000.0 to unsetSep 13, 2022 to Mar 31, 2023
- Custody of client assets · true to falseSep 13, 2022 to Mar 31, 2023
- Private funds · 6 to 8Sep 13, 2022 to Mar 31, 2023
- Discretionary RAUM · $358M to $440MSep 13, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $358M to $440MSep 13, 2022 to Mar 31, 2023
- RAUM · $358M to $440MSep 13, 2022 to Mar 31, 2023
- Accounts · 4 to 6Mar 30, 2021 to Mar 31, 2022
- Advisory employees · 13 to 15Mar 30, 2021 to Mar 31, 2022
- Pooled vehicle clients · 4 to 6Mar 30, 2021 to Mar 31, 2022
Signals
2 dated events
- S•• M••••••••• S•••••••• L•• reported RAUM $370.5M, up 202% from $122.6M (2018-11-15 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- S•• M••••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Jun 30, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•• M••••••••• S•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- S•• M••••••••• S•••••••• L•• · Private Equityshared crd · organization
- S•• M••••••••• S•••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/summit-park-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- S•••••P•••LLC.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 704-654-3400reportedpublic record, Form ADV, Mar 27, 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