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••••••••• I••••••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Jun 20, 2018 · 12 filings
SEC status approved since Jul 20, 2018
RAUM
$282M
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
6
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$282M as of Mar 30, 2026
Mar 29, 2019$175M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 29, 20190 then
Employees (5.A)3 as of Mar 30, 2026
Mar 29, 20193 then
Private funds6 as of Mar 30, 2026
Mar 29, 20195 then
RAUM +5.0% over the last fiscal year+3.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 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
- $46.9MderivedRAUM 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
- +5.0%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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$282M100%
- 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
- noreported
- 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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••••• C••••••• F••• I••• L• | Private Equity Fund | $143M | 98 | Mar 29, 2022 |
| S••••••••• C••••••• F••• I•• L• | Private Equity Fund | $70.2M | 51 | Jun 20, 2018 |
| S••••••••• C••••••• ••••••••• F••• I• L• | Private Equity Fund | $21.3M | 8 | Jun 20, 2018 |
| S••••••••• C••••••• ••••••••• F••• I••• L• | Private Equity Fund | $16.7M | 6 | Mar 29, 2022 |
| S••••••••• C••••••• F••• I• L••• | Private Equity Fund | $10.1M | 37 | Oct 3, 2013 |
| S••••••••• C••••••• ••••••••• F••• I• L• | Private Equity Fund | $469,560 | 3 | Jun 20, 2018 |
| S•• I•••• L•no longer reported | Private Equity Fund | $31,337 | 16 | Jun 20, 2018 |
Owners and control persons
Schedule A and B, latest filing
- H•••••••• R••••••• H•••• · Partner & Chief Compliance Officercontrolsince 09/2022 · owns less than 5%
- L•••••••• J•••••• M•••••• · Managing Partnercontrolsince 05/2013 · owns less than 5%
- S•••••• K••••••• C•••• · Managing Partnercontrolsince 05/2013 · owns less than 5%
- L•••••••• J•••••• M•••••• · Elected Managercontrolsince 12/2018 · owns F of S••••••••• C••••••• L••
- S•••••• K••••••• C•••• · Elected Managercontrolsince 12/2018 · owns 25% to 50% of S••••••••• C••••••• L••
Entity owners
- S••••••••• P•••••• E•••••• L•• · Sole Memberdirect · owns 75% or more
- S••••••••• C••••••• L•• · Sole Memberindirect · owns 75% or more of S••••••••• P•••••• E•••••• L••
Related persons
Schedule D 7.A
- S••••••••• C••••••• F••• I• G•••••• P••••••• L••pooled vehicle sponsorn
- S••••••••• C••••••• F••• I• G•••••• P••••••• L••pooled vehicle sponsorn
- S••••••••• C••••••• F••• I•• G•••••• P••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $268M to $282MMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $268M to $282MMar 28, 2025 to Mar 30, 2026
- RAUM · $268M to $282MMar 28, 2025 to Mar 30, 2026
- Advisory employees · 3 to 2Mar 28, 2024 to Mar 28, 2025
- Employees · 4 to 3Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Other offices · 1 to 0Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $261M to $268MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $261M to $268MMar 28, 2024 to Mar 28, 2025
- RAUM · $261M to $268MMar 28, 2024 to Mar 28, 2025
- Advisory employees · 4 to 3Oct 12, 2023 to Mar 28, 2024
- Discretionary RAUM · $258M to $261MOct 12, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $258M to $261MOct 12, 2023 to Mar 28, 2024
- RAUM · $258M to $261MOct 12, 2023 to Mar 28, 2024
- Advisory employees · 3 to 4Mar 29, 2022 to Mar 30, 2023
- Employees · 3 to 4Mar 29, 2022 to Mar 30, 2023
- Discretionary RAUM · $312M to $258MMar 29, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $312M to $258MMar 29, 2022 to Mar 30, 2023
- RAUM · $312M to $258MMar 29, 2022 to Mar 30, 2023
- Accounts · 5 to 6Mar 30, 2021 to Mar 29, 2022
- Pooled vehicle clients · 5 to 6Mar 30, 2021 to Mar 29, 2022
- Private funds · 5 to 6Mar 30, 2021 to Mar 29, 2022
- Discretionary RAUM · $156M to $312MMar 30, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $156M to $312MMar 30, 2021 to Mar 29, 2022
- RAUM · $156M to $312MMar 30, 2021 to Mar 29, 2022
- Discretionary RAUM · $142M to $156MMar 5, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $142M to $156MMar 5, 2020 to Mar 30, 2021
- RAUM · $142M to $156MMar 5, 2020 to Mar 30, 2021
- Discretionary RAUM · $175M to $142MDec 20, 2019 to Mar 5, 2020
- Pooled vehicle RAUM · $175M to $142MDec 20, 2019 to Mar 5, 2020
- RAUM · $175M to $142MDec 20, 2019 to Mar 5, 2020
- HQ city · NEW YORK to LOS ANGELESMay 22, 2019 to Dec 20, 2019
- HQ state · NY to CAMay 22, 2019 to Dec 20, 2019
- Advisory employees · 4 to 3Jun 20, 2018 to Mar 29, 2019
- Employees · 8 to 3Jun 20, 2018 to Mar 29, 2019
- Private funds · 10 to 5Jun 20, 2018 to Mar 29, 2019
- Discretionary RAUM · $205M to $175MJun 20, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $205M to $175MJun 20, 2018 to Mar 29, 2019
- RAUM · $205M to $175MJun 20, 2018 to Mar 29, 2019
Signals
5 dated events
- Elizabeth Heather Sabel (Chief Compliance Officer) no longer on Schedule A of S••••••••• I••••••••• M••••••••• L•• (listed 2023-03-30, absent 2023-10-12)Oct 12, 2023 · Control person left · inference
- Elizabeth Heather Sabel (Chief Compliance Officer) appeared on Schedule A of S••••••••• I••••••••• M••••••••• L••Mar 30, 2023 · Control person joined · fact
- S••••••••• I••••••••• M••••••••• L•• reported RAUM $311.7M, up 100% from $155.9M (2021-03-30 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- Vincent Jeffrey Palmese (Principal) no longer on Schedule A of S••••••••• I••••••••• M••••••••• L•• (listed 2018-06-20, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- S••••••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 20, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••••••• I••••••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- S••••••••• I••••••••• M••••••••• L•• · Private Equityshared crd · organization
- S••••••••• I••••••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- S•••••••••CAP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 424-208-8488reportedpublic record, Form ADV, Mar 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