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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Former SEC-registered adviser
S••• R••• C••••••
Legal name S•• M••••••••• C••••••• L•
Latest filing Mar 28, 2025
First filing on the tape Jun 28, 2018 · 9 filings
SEC status approved since Jul 30, 2018
RAUM
$146M
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
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$146M as of Mar 28, 2025
Mar 26, 2019$187M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2025
Mar 26, 20190 then
Employees (5.A)5 as of Mar 28, 2025
Mar 26, 20197 then
Private funds3 as of Mar 28, 2025
Mar 26, 20193 then
RAUM -20% over the last fiscal year-12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2025; 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
- $48.7MderivedRAUM 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
- -20%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
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$146M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- absent from the latest SEC rosterderived
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 |
|---|---|---|---|---|
| S••• R••• E••••• I•• L• | Private Equity Fund | $146M | 32 | Mar 30, 2017 |
| S••• R••• E••••• I• L• | Private Equity Fund | $31.4M | 18 | Jul 27, 2012 |
| S•• B••••• H••••••• L•• | Private Equity Fund | $6.6M | 11 | Mar 30, 2018 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• J•••••• L• · Managing Partnercontrolsince 04/2012 · owns less than 5%
- S••••••• B•••••••• A••••• · Managing Partner, Chief Compliance Officercontrolsince 04/2012 · owns less than 5%
- B••••••••• J•••••• L• · Membercontrolsince 01/2012 · owns 25% to 50% of S••• R••• C••••••• L••
- B••••••••• J•••••• L• · Limited Partnercontrolsince 01/2012 · owns 25% to 50% of S••• R••• C••••••• L•
- S••••••• B•••••••• A••••• · Limited Partnercontrolsince 01/2012 · owns 25% to 50% of S••• R••• C••••••• L•
- S••••••• B•••••••• A••••• · Membercontrolsince 01/2012 · owns 25% to 50% of S••• R••• C••••••• L••
Entity owners
- S••• R••• C••••••• L• · Limited Partnerdirect · owns 75% or more
- S•• M••••••••• C•••••• G•• L•• · General Partnerdirect · owns less than 5%
- S••• R••• C••••••• L•• · General Partnerindirect · owns F of S••• R••• C••••••• L•
- S••• R••• C••••••• L• · Memberindirect · owns 75% or more of S•• M••••••••• C•••••• G•• L••
Related persons
Schedule D 7.A
- S••• R••• E••••• I• G•• L•pooled vehicle sponsorn
- S••• R••• E••••• I• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $183M to $146MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $183M to $146MMar 28, 2024 to Mar 28, 2025
- RAUM · $183M to $146MMar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $231M to $183MMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $231M to $183MMar 30, 2023 to Mar 28, 2024
- RAUM · $231M to $183MMar 30, 2023 to Mar 28, 2024
- Advisory employees · 5 to 4Mar 30, 2022 to Mar 30, 2023
- Employees · 6 to 5Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $213M to $231MMar 30, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $213M to $231MMar 30, 2022 to Mar 30, 2023
- RAUM · $213M to $231MMar 30, 2022 to Mar 30, 2023
- Advisory employees · 7 to 5Mar 31, 2021 to Mar 30, 2022
- Employees · 7 to 6Mar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $144M to $213MMar 31, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $144M to $213MMar 31, 2021 to Mar 30, 2022
- RAUM · $144M to $213MMar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $192M to $144MMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $192M to $144MMar 30, 2020 to Mar 31, 2021
- RAUM · $192M to $144MMar 30, 2020 to Mar 31, 2021
- Assets in custody · $187M to $0Jun 11, 2019 to Mar 30, 2020
- Discretionary RAUM · $187M to $192MJun 11, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $187M to $192MJun 11, 2019 to Mar 30, 2020
- RAUM · $187M to $192MJun 11, 2019 to Mar 30, 2020
- Assets in custody · $177M to $187MJun 28, 2018 to Mar 26, 2019
- Private funds · 6 to 3Jun 28, 2018 to Mar 26, 2019
- Discretionary RAUM · $177M to $187MJun 28, 2018 to Mar 26, 2019
- Pooled vehicle RAUM · $177M to $187MJun 28, 2018 to Mar 26, 2019
- RAUM · $177M to $187MJun 28, 2018 to Mar 26, 2019
Signals
3 dated events
- S••• R••• C•••••• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $146.0M)Apr 1, 2026 · Left the SEC roster · derived
- Steven Miller (Chief Financial Officer, Chief Compliance Officer) no longer on Schedule A of S••• R••• C•••••• (listed 2021-03-31, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- S••• R••• C•••••• filed its initial SEC registration (Form ADV)Jun 28, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••• R••• C•••••• · Independent Sponsorsshared crd · capital_provider
- S••• R••• C•••••• · Private Equityshared crd · organization
- S••• R••• C•••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/sage-road-capital/about/.reportedpublic record, Form ADV, Sep 18, 2026
- Website
- sagerc.comreportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda 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