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••••• L••• E••••• G• L••
Latest filing Aug 20, 2026
First filing on the tape May 9, 2013 · 42 filings
SEC status approved since May 13, 2013
RAUM
$179M
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$179M as of Aug 20, 2026
Mar 31, 2014$122M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 20, 2026
Mar 31, 20140 then
Employees (5.A)3 as of Aug 20, 2026
Mar 31, 20140 then
Private funds4 as of Aug 20, 2026
Mar 31, 20141 then
RAUM -39% over the last fiscal year-24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 20, 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
- $44.8MderivedRAUM 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
- -39%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $179M, 4 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$179M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $179M for 4 clientsreported
- Compensation
- 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
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••• L••• E••••• P••••••• L•• | Private Equity Fund | $154M | 33 | May 9, 2013 |
| S••••• L••• E••••• P••••••• I• L•• | Private Equity Fund | $110M | 54 | Mar 15, 2017 |
| S••••• L••• E••••• P••••••• I•• L•• | Private Equity Fund | $32.7M | 10 | Mar 29, 2022 |
| S••••• L•••••• C••••••••• L•• | Private Equity Fund | $4.8M | 1 | Mar 27, 2023 |
| S••••• L•••••• C••••••••• L•• | Private Equity Fund | $3,675 | 4 | May 27, 2014 |
| S••••• L•••••• C••••••••• I•• L•• | Private Equity Fund | $417 | 2 | Mar 27, 2023 |
| S••••• L••••••• C••••••••• L••no longer reported | Private Equity Fund | $0 | 1 | Mar 29, 2019 |
| S••••• L•••••• C••••••••• I• L•• | Private Equity Fund | $0 | 3 | Jan 4, 2016 |
Owners and control persons
Schedule A and B, latest filing
- F•••••••• R•••••• P••••• · Membercontrolsince 07/2013 · owns 25% to 50%
- S•••••• C•••••• J••••• · Membercontrolsince 07/2013 · owns 25% to 50%
- A•••••••• E•••• J• · Managing Membercontrolsince 01/2002 · owns 75% or more of W•••••••• M••••••••• L••
- J••••• P•••• T•••• · Co-Chairman And Chief Investment Officercontrolsince 01/2015 · owns 75% or more of T•••• G•••• H••••••• L••
- G••••••••• S••••• J••• · Chief Compliance Officersince 11/2020 · owns less than 5%
- M••••••••• D•••••• J••• · Membersince 07/2013 · owns 10% to 25%
- W•••••••• J••••••• S•••••• · Membersince 07/2013 · owns 10% to 25%
Entity owners
- T•••• G•••• H••••••• L•• · Memberindirect · owns 75% or more of T•••• G••••• T•••••• L••
- T•••• G••••• T•••••• L•• · Memberdirect · owns less than 5%
- W•••••••• M••••••••• L•• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- S••••• L••• E••••• I• G• L••investment adviserpooled vehicle sponsorn
- S••••• L••• E••••• I•• G• L••investment adviserpooled vehicle sponsorn
- S••••• L••• E••••• M••••••••• L••investment advisery
- S••••• L•••••• C••••••••• G• L••investment adviserpooled vehicle sponsorn
- S••••• L•••••• C••••••••• I•• G• L••investment adviserpooled vehicle sponsorn
- S••••• L•••••• C••••••••• G• L••investment adviserpooled vehicle sponsorn
Advisers that list S••••• L••• E••••• G• L•• as a related person
- 167251 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 26, 2026RAUM (Item 5.F) moved from $295,019,502 to $179,161,798 (-39.0%) between the annual amendments of 2025-03-27 and 2026-03-26; the peer median change was +4.0% (1148 comparable advisers, 6.0th percentile of changes)peers: asset managers, $100M to $500M (1,148) · 6.0% percentile
What changed
consecutive filings, newest first
- Assets in custody · $295M to $179MOct 29, 2025 to Mar 26, 2026
- Discretionary RAUM · $295M to $179MOct 29, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $295M to $179MOct 29, 2025 to Mar 26, 2026
- RAUM · $295M to $179MOct 29, 2025 to Mar 26, 2026
- HQ city · BOSTON to BURLINGTONMay 9, 2025 to Oct 29, 2025
- Financial planning clients · unset to Mar 27, 2025 to May 9, 2025
- Accounts · 6 to 4Apr 29, 2024 to Mar 27, 2025
- Advisory employees · 5 to 2Apr 29, 2024 to Mar 27, 2025
- Pooled vehicle clients · 6 to 4Apr 29, 2024 to Mar 27, 2025
- Assets in custody · $278M to $295MApr 29, 2024 to Mar 27, 2025
- Employees · 6 to 3Apr 29, 2024 to Mar 27, 2025
- Private funds · 6 to 4Apr 29, 2024 to Mar 27, 2025
- Discretionary RAUM · $302M to $295MApr 29, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $302M to $295MApr 29, 2024 to Mar 27, 2025
- RAUM · $302M to $295MApr 29, 2024 to Mar 27, 2025
- Discretionary RAUM · $329M to $302MMar 21, 2024 to Apr 29, 2024
- Pooled vehicle RAUM · $329M to $302MMar 21, 2024 to Apr 29, 2024
- RAUM · $329M to $302MMar 21, 2024 to Apr 29, 2024
- Accounts · 7 to 6Oct 30, 2023 to Mar 21, 2024
- Advisory employees · 6 to 5Oct 30, 2023 to Mar 21, 2024
- Pooled vehicle clients · 7 to 6Oct 30, 2023 to Mar 21, 2024
- Assets in custody · $334M to $278MOct 30, 2023 to Mar 21, 2024
- Employees · 7 to 6Oct 30, 2023 to Mar 21, 2024
- Private funds · 7 to 6Oct 30, 2023 to Mar 21, 2024
- Discretionary RAUM · $408M to $329MOct 30, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $408M to $329MOct 30, 2023 to Mar 21, 2024
- RAUM · $408M to $329MOct 30, 2023 to Mar 21, 2024
- Accounts · 5 to 7Oct 12, 2022 to Mar 27, 2023
- Advisory employees · 0 to 6Oct 12, 2022 to Mar 27, 2023
- Pooled vehicle clients · 5 to 7Oct 12, 2022 to Mar 27, 2023
- Assets in custody · $450M to $334MOct 12, 2022 to Mar 27, 2023
- Employees · 0 to 7Oct 12, 2022 to Mar 27, 2023
- Private funds · 5 to 7Oct 12, 2022 to Mar 27, 2023
- Discretionary RAUM · $450M to $408MOct 12, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $450M to $408MOct 12, 2022 to Mar 27, 2023
- RAUM · $450M to $408MOct 12, 2022 to Mar 27, 2023
- Assets in custody · $422M to $450MOct 18, 2021 to Mar 29, 2022
- Discretionary RAUM · $423M to $450MOct 18, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $423M to $450MOct 18, 2021 to Mar 29, 2022
- RAUM · $423M to $450MOct 18, 2021 to Mar 29, 2022
Signals
2 dated events
- S••••• L••• E••••• G• L•• reported RAUM $179.2M, down 39% from $295.0M (2025-10-29 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- S••••• L••• E••••• G• L•• filed its initial SEC registration (Form ADV)May 9, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••• L••• E••••• G• L•• · Independent Sponsorsshared crd · capital_provider
- S••••• L••• E••••• G• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/spring-lake-equity-partnersreportedpublic record, Form ADV, Sep 18, 2026
- Website
- springlep.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 617 391 6341reportedpublic record, Form ADV, Aug 20, 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