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••• C•••••• M••••••••• L•
Latest filing Mar 17, 2026
First filing on the tape May 14, 2013 · 28 filings
SEC status approved since May 22, 2013
RAUM
$7.2B
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
17
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$7.2B as of Mar 17, 2026
Mar 18, 2014$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 17, 2026
Mar 18, 20140 then
Employees (5.A)17 as of Mar 17, 2026
Mar 18, 201410 then
Private funds3 as of Mar 17, 2026
Mar 18, 20142 then
RAUM +74% over the last fiscal year+22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 17, 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
- $1.2BderivedRAUM 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
- +74%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
- $7.2B, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$7.2B100%
- 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
- $7.2B 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=true 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••••• H••• L• | Hedge Fund | $1.5B | 113 | Aug 27, 2013 |
| S••••• H••• M••••• L• | Hedge Fund | $853M | 123 | Aug 27, 2013 |
| S• S•••• C•••• M••••• L••• | Hedge Fund | $463M | 9 | Nov 5, 2021 |
| S• S••••••• M••••• I• L•••no longer reported | Hedge Fund | $427M | 10 | Feb 26, 2016 |
| S• S••••••• M••••• V••• L••• | Hedge Fund | $402M | 40 | Aug 23, 2021 |
| S• S••••••• M••••• V• L••• | Hedge Fund | $362M | 27 | Nov 23, 2020 |
| S• S••••••• M••••• L•no longer reported | Hedge Fund | $195M | 2 | Feb 20, 2015 |
| S• O•• Q••••• M••••• L••• | Hedge Fund | $120M | 7 | Mar 21, 2016 |
| S• S••••••• M••••• V•• L••• | Hedge Fund | $75.6M | 16 | Mar 22, 2021 |
| S• S••••••• V• L•no longer reported | Hedge Fund | $56.1M | 7 | Nov 23, 2020 |
| S• S••••••• M••••• I• L•••no longer reported | Hedge Fund | $24.6M | 13 | Feb 26, 2020 |
| S• S••••••• M••••• I•• L•••no longer reported | Hedge Fund | $89,000 | 30 | Aug 29, 2017 |
| S• S••••••• M••••• I• L•••no longer reported | Hedge Fund | $0 | 0 | Mar 21, 2022 |
Owners and control persons
Schedule A and B, latest filing
- A••••••• M••••••• D•••• · General Counsel And Chief Compliance Officercontrolsince 09/2015 · owns less than 5%
- F•••••••• S••••• D•••• · Managing Partner And Portfolio Managercontrolsince 11/2012 · owns 75% or more
- M•••••••• A•••• N•• · Chief Operating Officercontrolsince 11/2012 · owns less than 5%
- F•••••••• S••••• D•••• · Managing Membercontrolsince 11/2012 · owns 75% or more of U•••• G• L••
Entity owners
- U•••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- S••••• H••• G• L••bankpooled vehicle sponsorn
- S• O•• Q••••• G• L••bankpooled vehicle sponsorn
- S• S••••••• V•• G• L••bankpooled vehicle sponsorn
- S• S••••••• V••• G• L••bankpooled vehicle sponsorn
- S• S•••• C•••• G• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 17, 2026RAUM (Item 5.F) moved from $4,123,392,665 to $7,157,720,307 (+74.0%) between the annual amendments of 2025-03-17 and 2026-03-17; the peer median change was +13.0% (631 comparable advisers, 91.0th percentile of changes)peers: asset managers, $5B to $20B (631) · 91% percentile
What changed
consecutive filings, newest first
- Accounts · 9 to 6Mar 17, 2025 to Mar 17, 2026
- Pooled vehicle clients · 9 to 6Mar 17, 2025 to Mar 17, 2026
- Assets in custody · $4.1B to $7.2BMar 17, 2025 to Mar 17, 2026
- Employees · 18 to 17Mar 17, 2025 to Mar 17, 2026
- Private funds · 4 to 3Mar 17, 2025 to Mar 17, 2026
- Discretionary RAUM · $4.1B to $7.2BMar 17, 2025 to Mar 17, 2026
- Pooled vehicle RAUM · $4.1B to $7.2BMar 17, 2025 to Mar 17, 2026
- RAUM · $4.1B to $7.2BMar 17, 2025 to Mar 17, 2026
- Accounts · 14 to 9Mar 18, 2024 to Mar 17, 2025
- Pooled vehicle clients · 14 to 9Mar 18, 2024 to Mar 17, 2025
- Assets in custody · $3.4B to $4.1BMar 18, 2024 to Mar 17, 2025
- Employees · 19 to 18Mar 18, 2024 to Mar 17, 2025
- Financial planning clients · unset to Mar 18, 2024 to Mar 17, 2025
- Private funds · 6 to 4Mar 18, 2024 to Mar 17, 2025
- Discretionary RAUM · $3.4B to $4.1BMar 18, 2024 to Mar 17, 2025
- Pooled vehicle RAUM · $3.4B to $4.1BMar 18, 2024 to Mar 17, 2025
- RAUM · $3.4B to $4.1BMar 18, 2024 to Mar 17, 2025
- Accounts · 17 to 14Mar 20, 2023 to Mar 18, 2024
- Advisory employees · 9 to 10Mar 20, 2023 to Mar 18, 2024
- Pooled vehicle clients · 17 to 14Mar 20, 2023 to Mar 18, 2024
- Assets in custody · $3.9B to $3.4BMar 20, 2023 to Mar 18, 2024
- Employees · 17 to 19Mar 20, 2023 to Mar 18, 2024
- Private funds · 7 to 6Mar 20, 2023 to Mar 18, 2024
- Discretionary RAUM · $3.9B to $3.4BMar 20, 2023 to Mar 18, 2024
- Pooled vehicle RAUM · $3.9B to $3.4BMar 20, 2023 to Mar 18, 2024
- RAUM · $3.9B to $3.4BMar 20, 2023 to Mar 18, 2024
- Accounts · 21 to 17Sep 16, 2022 to Mar 20, 2023
- Pooled vehicle clients · 21 to 17Sep 16, 2022 to Mar 20, 2023
- Assets in custody · $6.2B to $3.9BSep 16, 2022 to Mar 20, 2023
- Private funds · 9 to 7Sep 16, 2022 to Mar 20, 2023
- Discretionary RAUM · $6.2B to $3.9BSep 16, 2022 to Mar 20, 2023
- Pooled vehicle RAUM · $6.2B to $3.9BSep 16, 2022 to Mar 20, 2023
- RAUM · $6.2B to $3.9BSep 16, 2022 to Mar 20, 2023
- Accounts · 13 to 21Nov 5, 2021 to Mar 21, 2022
- Advisory employees · 8 to 9Nov 5, 2021 to Mar 21, 2022
- Pooled vehicle clients · 13 to 21Nov 5, 2021 to Mar 21, 2022
- Assets in custody · $4.6B to $6.2BNov 5, 2021 to Mar 21, 2022
- Employees · 16 to 17Nov 5, 2021 to Mar 21, 2022
- Private funds · 8 to 9Nov 5, 2021 to Mar 21, 2022
- Discretionary RAUM · $4.6B to $6.2BNov 5, 2021 to Mar 21, 2022
Signals
6 dated events
- S••••• H••• C•••••• M••••••••• L• reported RAUM $7.2B, up 74% from $4.1B (2025-03-17 to 2026-03-17)Mar 17, 2026 · RAUM change · derived
- S••••• H••• C•••••• M••••••••• L• reported RAUM $3.9B, down 37% from $6.2B (2022-09-16 to 2023-03-20)Mar 20, 2023 · RAUM change · derived
- S••••• H••• C•••••• M••••••••• L• reported RAUM $6.2B, up 36% from $4.6B (2021-11-05 to 2022-03-21)Mar 21, 2022 · RAUM change · derived
- S••••• H••• C•••••• M••••••••• L• reported RAUM $4.6B, up 59% from $2.9B (2020-11-23 to 2021-03-22)Mar 22, 2021 · RAUM change · derived
- S••••• H••• C•••••• M••••••••• L• reported RAUM $3.2B, down 25% from $4.3B (2018-05-01 to 2019-03-19)Mar 19, 2019 · RAUM change · derived
- S••••• H••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)May 14, 2013 · 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•••••H•••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-714-3300reportedpublic record, Form ADV, Mar 17, 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