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•••• P••• C•••••• L•
Latest filing Jul 30, 2026
First filing on the tape Aug 14, 2012 · 26 filings
SEC status approved since Sep 28, 2012
RAUM
$12B
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
25
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$12B as of Jul 30, 2026
Jan 25, 2013$1.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 30, 2026
Jan 25, 20130 then
Employees (5.A)25 as of Jul 30, 2026
Jan 25, 201314 then
Private funds2 as of Jul 30, 2026
Jan 25, 20134 then
RAUM +42% over the last fiscal year+32% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 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
- $2.0BderivedRAUM 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
- +42%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
- $12B, 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)
- 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$12B100%
- 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
- $12B 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
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••• P••• M••••• F••• L• | Hedge Fund | $6.0B | 35 | Jan 25, 2013 |
| S•••• P••• P••••••• L•no longer reported | Hedge Fund | $1.4B | 22 | Jan 25, 2013 |
| S•••• P••• I••••••••• F••• L•no longer reported | Hedge Fund | $1.2B | 16 | Jan 25, 2013 |
| S•••• P••• O••••••• F••• L••no longer reported | Hedge Fund | $1.2B | 15 | Jan 25, 2013 |
| S•• M••••• F••• L• | Hedge Fund | $900M | 2 | Aug 23, 2023 |
| S•• M••••• F••• L•no longer reported | Hedge Fund | $758M | 22 | Apr 30, 2013 |
| S•• P••••••• L•no longer reported | Hedge Fund | $183M | 11 | Apr 30, 2013 |
| S•• O••••••• F••• L•no longer reported | Hedge Fund | $129M | 9 | Apr 30, 2013 |
| S•• M••••• F••• L• | Hedge Fund | $119M | 8 | Dec 16, 2015 |
Owners and control persons
Schedule A and B, latest filing
- F•••••• J••••• P•••••• · Chief Compliance Officercontrolsince 12/2013 · owns less than 5%
- G••••••••• D••••• G••••• · President & Chief Executive Officer & Limited Partnercontrolsince 04/2012 · owns 75% or more
- H•••••• T•••••• B•••• · Chief Financial Officercontrolsince 12/2012 · owns less than 5%
- M••••••• J•••• D•••• · Chief Operating Officercontrolsince 04/2012 · owns less than 5%
- G••••••••• D••••• G••••• · Managing Membercontrolsince 04/2012 · owns 75% or more of J•••• G•• L••
Entity owners
- J•••• G•• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- S•••• P••• C•••••• G• L••pooled vehicle sponsorn
- S•• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 11 to 12Jul 30, 2025 to Mar 30, 2026
- Assets in custody · $8.4B to $12BJul 30, 2025 to Mar 30, 2026
- Employees · 24 to 25Jul 30, 2025 to Mar 30, 2026
- Discretionary RAUM · $8.4B to $12BJul 30, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $8.4B to $12BJul 30, 2025 to Mar 30, 2026
- RAUM · $8.4B to $12BJul 30, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jul 30, 2025
- Assets in custody · $6.9B to $8.4BMar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $6.9B to $8.4BMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $6.9B to $8.4BMar 29, 2024 to Mar 31, 2025
- RAUM · $6.9B to $8.4BMar 29, 2024 to Mar 31, 2025
- Accounts · 7 to 6Aug 23, 2023 to Mar 29, 2024
- Advisory employees · 9 to 11Aug 23, 2023 to Mar 29, 2024
- Pooled vehicle clients · 7 to 6Aug 23, 2023 to Mar 29, 2024
- Assets in custody · $5.3B to $6.9BAug 23, 2023 to Mar 29, 2024
- Employees · 21 to 24Aug 23, 2023 to Mar 29, 2024
- Private funds · 3 to 2Aug 23, 2023 to Mar 29, 2024
- Discretionary RAUM · $5.3B to $6.9BAug 23, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $5.3B to $6.9BAug 23, 2023 to Mar 29, 2024
- RAUM · $5.3B to $6.9BAug 23, 2023 to Mar 29, 2024
- Private funds · 2 to 3Mar 31, 2023 to Aug 23, 2023
- Assets in custody · $5.0B to $5.3BMar 31, 2022 to Mar 31, 2023
- Employees · 22 to 21Mar 31, 2022 to Mar 31, 2023
- Other offices · 2 to 1Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $5.0B to $5.3BMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $5.0B to $5.3BMar 31, 2022 to Mar 31, 2023
- RAUM · $5.0B to $5.3BMar 31, 2022 to Mar 31, 2023
- Advisory employees · 10 to 9Mar 30, 2021 to Mar 31, 2022
- Assets in custody · $4.0B to $5.0BMar 30, 2021 to Mar 31, 2022
- Employees · 25 to 22Mar 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $4.0B to $5.0BMar 30, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $4.0B to $5.0BMar 30, 2021 to Mar 31, 2022
- RAUM · $4.0B to $5.0BMar 30, 2021 to Mar 31, 2022
- Assets in custody · $3.2B to $4.0BDec 22, 2020 to Mar 30, 2021
- Employees · 23 to 25Dec 22, 2020 to Mar 30, 2021
- Discretionary RAUM · $3.2B to $4.0BDec 22, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $3.2B to $4.0BDec 22, 2020 to Mar 30, 2021
- RAUM · $3.2B to $4.0BDec 22, 2020 to Mar 30, 2021
- Advisory employees · 9 to 10Mar 29, 2019 to Mar 27, 2020
- Assets in custody · $2.8B to $3.2BMar 29, 2019 to Mar 27, 2020
Signals
4 dated events
- S•••• P••• C•••••• L• reported RAUM $12.0B, up 42% from $8.4B (2025-07-30 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- S•••• P••• C•••••• L• reported RAUM $6.9B, up 31% from $5.3B (2023-08-23 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- S•••• P••• C•••••• L• reported RAUM $2.8B, down 29% from $3.9B (2018-08-30 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- S•••• P••• C•••••• L• filed its initial SEC registration (Form ADV)Aug 14, 2012 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-257-4330reportedpublic record, Form ADV, Jul 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