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••••••• F••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Oct 26, 2012 · 30 filings
SEC status approved since Aug 11, 2014
RAUM
$4.2B
reported, Item 5.F
Discretionary
88%
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
121
22 advisory (5.B.1)
Offices
10
beyond the principal office
Private funds
22
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$4.2B as of Mar 31, 2026
Mar 24, 2015$490M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 24, 20150 then
Employees (5.A)121 as of Mar 31, 2026
Mar 24, 201511 then
Private funds22 as of Mar 31, 2026
Mar 24, 20156 then
RAUM +5.5% over the last fiscal year+9.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- 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
- $123MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived11 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.5%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 businesses and institutions, 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
- is a broker-dealer (6.A.1)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$3.5B93%
- Corporations and businesses$253M6.7%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 34reported
- 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=0.94 institutional_share=0.0 related_bd=true related_bank=false bd_reps=24.0derived
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
21 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- E••••••• A•••••• S•••• · Chief Compliance Officer & Legal Counselcontrolsince 11/2022 · owns less than 5%
- G••••••• C••••••••• J••• · Chief Financial Officercontrolsince 09/2010 · owns less than 5%
- H•••••• B••••• A•••• · Managing Membercontrolsince 06/2010 · owns less than 5%
- P••••• S••••••• B•••• · Managing Director & Chief Credit Officercontrolsince 03/2021 · owns less than 5%
- P••••• J•••• W•••••• · Chief Operating Officer & Chief Technology Officercontrolsince 01/2017 · owns less than 5%
- H•••••• B••••• A•••• · Ownercontrolsince 12/2023 · owns 75% or more of S••• M••••••• H•••••••• L••
- H•••••• B••••• A•••• · Manager / Sole Membercontrolsince 04/2009 · owns 75% or more of S••• M••••••• C••••••• L••
Entity owners
- S••• M••••••• H•••••••• L• · Manager / Sole Memberdirect · owns 75% or more
- S••• M••••••• C••••••• L•• · Limited Partnerindirect · owns 75% or more of S••• M••••••• H•••••••• L•
- S••• M••••••• H•••••••• L•• · General Partnerindirect · owns F of S••• M••••••• H•••••••• L•
Related persons
Schedule D 7.A
- S••• M••••••• • P• S•••• B••••••• C••••••••• P••••••• G•• L••pooled vehicle sponsorn
- S••• M••••••• • S• C••••••••• P••••••• G•• L••pooled vehicle sponsorn
- S••• M••••••• A•••••••• L••broker-dealern
- S••• M••••••• D••••••••• C••••• I••••• F••• I•• G•• L••pooled vehicle sponsorn
- S••• M••••••• D••••••••• S•••• B••••••• A••••• F••• I• G•• L••pooled vehicle sponsorn
- S••• M••••••• D••••••••• S•••• B••••••• A••••• F••• I••• G•• L••pooled vehicle sponsorn
- S••• M••••••• S••• F••• G•• L••pooled vehicle sponsorn
- S••• M••••••• S•• M••••••••• C••••• P••••••• G•• L••pooled vehicle sponsorn
- S••• M••••••• S•••••••• C••••• I••••• F••• I• G•• L••pooled vehicle sponsorn
- S••• M••••••• S•••••••• C••••• I••••• F••• V• G•• L••pooled vehicle sponsorn
- S••• M••••••• U••• L•••• M••••••••• S•••••••• F••• I• G•• L••pooled vehicle sponsorn
- S••• M••••••• W••••••• C••••••••• P••••••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Tampa, FL2 employees
- A•••••, TX1 employees
- Chicago, IL1 employees
- Cleveland, OH1 employees
- Dallas, TX1 employees
- Greenwich, CT1 employees
- Jacksonville, FL1 employees
- Philadelphia, PA1 employees
- Atlanta, GA1 employees
- West Palm Beach, FL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 31, 2026custody of client assets (Item 9.A): yes on the filing of 2025-03-28, no on the filing of 2026-03-31peers: asset managers, $1B to $5B (1,506)
What changed
consecutive filings, newest first
- Accounts · 33 to 34Mar 28, 2025 to Mar 31, 2026
- Advisory employees · 25 to 22Mar 28, 2025 to Mar 31, 2026
- BD registered reps · 26 to 24Mar 28, 2025 to Mar 31, 2026
- Pooled vehicle clients · 28 to 29Mar 28, 2025 to Mar 31, 2026
- Assets in custody · $56.7M to $386MMar 28, 2025 to Mar 31, 2026
- Custody of client assets · true to falseMar 28, 2025 to Mar 31, 2026
- Employees · 83 to 121Mar 28, 2025 to Mar 31, 2026
- Private funds · 21 to 22Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $3.4B to $3.7BMar 28, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $546M to $517MMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $3.3B to $3.5BMar 28, 2025 to Mar 31, 2026
- RAUM · $4.0B to $4.2BMar 28, 2025 to Mar 31, 2026
- Accounts · 29 to 33Mar 29, 2024 to Mar 28, 2025
- Advisory employees · 69 to 25Mar 29, 2024 to Mar 28, 2025
- BD registered reps · 17 to 26Mar 29, 2024 to Mar 28, 2025
- Pooled vehicle clients · 23 to 28Mar 29, 2024 to Mar 28, 2025
- Assets in custody · $59.0M to $56.7MMar 29, 2024 to Mar 28, 2025
- Employees · 69 to 83Mar 29, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 28, 2025
- Private funds · 17 to 21Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $3.3B to $3.4BMar 29, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $545M to $546MMar 29, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $3.2B to $3.3BMar 29, 2024 to Mar 28, 2025
- RAUM · $3.9B to $4.0BMar 29, 2024 to Mar 28, 2025
- Accounts · 23 to 29Jan 3, 2024 to Mar 29, 2024
- Advisory employees · 65 to 69Jan 3, 2024 to Mar 29, 2024
- BD registered reps · 14 to 17Jan 3, 2024 to Mar 29, 2024
- Pooled vehicle clients · 17 to 23Jan 3, 2024 to Mar 29, 2024
- Assets in custody · $45.7M to $59.0MJan 3, 2024 to Mar 29, 2024
- Employees · 65 to 69Jan 3, 2024 to Mar 29, 2024
- Other offices · 9 to 10Jan 3, 2024 to Mar 29, 2024
- Private funds · 14 to 17Jan 3, 2024 to Mar 29, 2024
- Discretionary RAUM · $2.7B to $3.3BJan 3, 2024 to Mar 29, 2024
- Non-discretionary RAUM · $460M to $545MJan 3, 2024 to Mar 29, 2024
- Pooled vehicle RAUM · $2.6B to $3.2BJan 3, 2024 to Mar 29, 2024
- RAUM · $3.2B to $3.9BJan 3, 2024 to Mar 29, 2024
- Advisory employees · 63 to 65Nov 7, 2022 to Mar 31, 2023
- Pooled vehicle clients · 18 to 17Nov 7, 2022 to Mar 31, 2023
- Assets in custody · $36.2M to $45.7MNov 7, 2022 to Mar 31, 2023
- Employees · 63 to 65Nov 7, 2022 to Mar 31, 2023
Signals
12 dated events
- Nathaniel George Mattson (President) no longer on Schedule A of S••• M••••••• F••• M••••••••• L•• (listed 2023-06-20, absent 2023-10-10)Oct 10, 2023 · Control person left · inference
- Nathaniel George Mattson (President) appeared on Schedule A of S••• M••••••• F••• M••••••••• L••Jun 20, 2023 · Control person joined · fact
- S••• M••••••• F••• M••••••••• L•• reported RAUM $3.2B, up 41% from $2.3B (2022-11-07 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Singh Jaspal Bajaj (Chief Compliance Officer) no longer on Schedule A of S••• M••••••• F••• M••••••••• L•• (listed 2022-09-13, absent 2022-11-07)Nov 7, 2022 · Control person left · inference
- S•••• A••••• E•••••• (Chief Compliance Officer & Legal Counsel) appeared on Schedule A of S••• M••••••• F••• M••••••••• L••Nov 7, 2022 · Control person joined · fact
- S••• M••••••• F••• M••••••••• L•• reported RAUM $2.3B, up 59% from $1.4B (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Basil Stephen Paras (Managing Director & Chief Credit Officer) appeared on Schedule A of S••• M••••••• F••• M••••••••• L••Mar 31, 2021 · Control person joined · fact
- S••• M••••••• F••• M••••••••• L•• reported RAUM $1.4B, up 28% from $1.1B (2020-06-08 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- William John Polis (Chief Operating Officer & Chief Technology Officer) appeared on Schedule A of S••• M••••••• F••• M••••••••• L••Mar 31, 2021 · Control person joined · fact
- S••• M••••••• F••• M••••••••• L•• reported RAUM $1.1B, up 59% from $695.0M (2019-04-30 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- S••• M••••••• F••• M••••••••• L•• reported RAUM $695.0M, up 53% from $453.2M (2018-12-17 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- S••• M••••••• F••• M••••••••• L•• filed its initial SEC registration (Form ADV)Oct 26, 2012 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••• M••••••• F••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- S••• M••••••• F••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- soundcloud.com/starmountaincapitalreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-810-9044reportedpublic 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