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••••••••• C•••••• P••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Nov 17, 2014 · 38 filings
SEC status approved since Nov 28, 2014
RAUM
$2.3B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
1.2%
$29.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
25
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
15
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$2.3B as of Mar 27, 2026
Mar 26, 2015$102M then
HNW client RAUM$29.0M as of Mar 27, 2026
Mar 27, 2018$11.7M then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 26, 20150 then
Employees (5.A)25 as of Mar 27, 2026
Mar 26, 201513 then
Private funds15 as of Mar 27, 2026
Mar 26, 20151 then
RAUM +3.2% over the last fiscal year+7.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- 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
- $29.0MderivedHNW RAUM over HNW clients
- Average account
- $83.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 7.6%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
- +3.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $1.8B, 22 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- 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 testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.8B89%
- Pension and profit-sharing plans$177M8.5%
- High-net-worth individuals$29.0M1.4%
- Corporations and businesses$29.0M1.4%
- Individual clients
- 0reported
- HNW clients
- 1reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 28reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.8B for 22 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.01 fund_share=0.78 institutional_share=0.08 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
14 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••••• C•••• P• F••• 2•••• L• | Private Equity Fund | $690M | 7 | Mar 26, 2020 |
| S••••••••• C•••• F••• 2••• •••••• L• | Private Equity Fund | $315M | 10 | Mar 29, 2021 |
| S••••••••• P•••••• M•••••• F••• 2••• L• | Private Equity Fund | $186M | 13 | Mar 28, 2022 |
| S••••••••• O••••••••• F•••• U••• G••••• B••••• C••••••••• L• | Private Equity Fund | $109M | 48 | Sep 17, 2020 |
| S••••••••• O••••••••• F•••• U••• S••••• G••••• B•••••• L• | Private Equity Fund | $93.2M | 20 | Mar 28, 2019 |
| S••••••••• C•••• P• F••• B• 2•••• L• | Private Equity Fund | $52.4M | 6 | Mar 29, 2021 |
| S••••••••• O••••••••• F•••• E••••••• I••••• A•• V••••• L• | Private Equity Fund | $34.6M | 54 | Mar 22, 2016 |
| S••••••••• I••••• V•••• F••• 2••• L• | Private Equity Fund | $29.7M | 8 | Mar 28, 2022 |
| S••••••••• U••• C••••••••• F••• I•• L• | Private Equity Fund | $29.2M | 13 | Jan 15, 2024 |
| S••••••••• O••••••••• F•••• U••• G••••• B••••• C••••••••• L• • S••••• 2• •••••• | Private Equity Fund | $26.6M | 13 | Mar 28, 2022 |
| P•••••••• P••••••• L•no longer reported | Hedge Fund | $23.6M | 25 | Mar 29, 2017 |
| S••••••••• U••• G••••• A••••• F•••• L• | Private Equity Fund | $20.6M | 6 | Mar 29, 2023 |
| B••••• S••••• F•••• L•no longer reported | Hedge Fund | $31,144 | 0 | Jun 26, 2014 |
| S••••••••• V•••••• C••••••••• F•••• L• | Venture Capital Fund | $0 | 0 | Mar 29, 2023 |
Owners and control persons
Schedule A and B, latest filing
- P•••••••• H•••••• J••• M•••• · Chief Operating Officer And Chief Compliance Officercontrolsince 07/2022 · owns less than 5%
- R••••• J••••• M•••••• · Co-Chief Investment Officercontrolsince 06/2016 · owns less than 5%
- S•••• R••••••• W••••• · Co-Chief Investment Officercontrolsince 06/2016 · owns less than 5%
- Z••••••••• D••••• W•••• · Shareholdercontrolsince 12/2017 · owns 50% to 75% of J•••• I•••
Entity owners
- S••••••••• C•••••• H••••••• L• · Manager, Memberdirect · owns 75% or more
- J• C•••••• P•••••••• L•••••• · Shareholderindirect · owns 25% to 50% of J•••• I•••
- J•••• I••• · General Partnerindirect · owns F of S••••••••• C•••••• H••••••• L•
Related persons
Schedule D 7.A
- S••••••••• C••••• C•••• G• L••pooled vehicle sponsorn
- S••••••••• C••••••••• I• ••• L••pooled vehicle sponsorn
- S••••••••• E••••••• I••••• A•• V•••• G• L••pooled vehicle sponsorn
- S••••••••• M•••••• S• D• R••• D• C•••pooled vehicle sponsorn
- S••••••••• O•••••• C••••••••• G• L••pooled vehicle sponsorn
- S••••••••• O•••••• C••••••••• I• ••• L••pooled vehicle sponsorn
- S••••••••• O•••••• V•••••• C••••••••• G• L••pooled vehicle sponsorn
- S••••••••• P•••••• M•••••• O••••••• G• L••pooled vehicle sponsorn
- S••••••••• U••• G••••• A••••• G• L••pooled vehicle sponsorn
- S••••••••• U••• S••••• G••••• B••••• G• L••pooled vehicle sponsorn
- S••••••••• V•••••• C••••••••• ••• L••pooled vehicle sponsorn
- S••••••••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 9 to 8Aug 1, 2025 to Mar 27, 2026
- Assets in custody · $1.8B to $1.8BAug 1, 2025 to Mar 27, 2026
- Employees · 23 to 25Aug 1, 2025 to Mar 27, 2026
- Discretionary RAUM · $2.2B to $2.3BAug 1, 2025 to Mar 27, 2026
- HNW RAUM · $25.3M to $29.0MAug 1, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $38.5M to $36.6MAug 1, 2025 to Mar 27, 2026
- Pension RAUM · $170M to $177MAug 1, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $1.8B to $1.8BAug 1, 2025 to Mar 27, 2026
- RAUM · $2.3B to $2.3BAug 1, 2025 to Mar 27, 2026
- Accounts · 27 to 28Mar 26, 2025 to Aug 1, 2025
- Advisory employees · 10 to 9Mar 26, 2025 to Aug 1, 2025
- Assets in custody · $1.8B to $1.8BMar 26, 2025 to Aug 1, 2025
- Employees · 24 to 23Mar 26, 2025 to Aug 1, 2025
- Discretionary RAUM · $2.3B to $2.2BMar 26, 2025 to Aug 1, 2025
- HNW RAUM · $28.6M to $25.3MMar 26, 2025 to Aug 1, 2025
- Non-discretionary RAUM · $0 to $38.5MMar 26, 2025 to Aug 1, 2025
- Pooled vehicle RAUM · $1.8B to $1.8BMar 26, 2025 to Aug 1, 2025
- RAUM · $2.3B to $2.3BMar 26, 2025 to Aug 1, 2025
- Accounts · 24 to 27Aug 1, 2024 to Mar 26, 2025
- Pooled vehicle clients · 18 to 22Aug 1, 2024 to Mar 26, 2025
- Assets in custody · $1.6B to $1.8BAug 1, 2024 to Mar 26, 2025
- Financial planning clients · unset to Aug 1, 2024 to Mar 26, 2025
- Other offices · 0 to 1Aug 1, 2024 to Mar 26, 2025
- Private funds · 12 to 15Aug 1, 2024 to Mar 26, 2025
- Discretionary RAUM · $2.0B to $2.3BAug 1, 2024 to Mar 26, 2025
- HNW RAUM · $22.6M to $28.6MAug 1, 2024 to Mar 26, 2025
- Pension RAUM · $181M to $170MAug 1, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $1.6B to $1.8BAug 1, 2024 to Mar 26, 2025
- RAUM · $2.0B to $2.3BAug 1, 2024 to Mar 26, 2025
- Assets in custody · $1.6B to $1.6BJan 15, 2024 to Aug 1, 2024
- Discretionary RAUM · $2.0B to $2.0BJan 15, 2024 to Aug 1, 2024
- HNW RAUM · $21.9M to $22.6MJan 15, 2024 to Aug 1, 2024
- Pension RAUM · $161M to $181MJan 15, 2024 to Aug 1, 2024
- Pooled vehicle RAUM · $1.6B to $1.6BJan 15, 2024 to Aug 1, 2024
- RAUM · $2.0B to $2.0BJan 15, 2024 to Aug 1, 2024
- Accounts · 23 to 24Sep 14, 2023 to Jan 15, 2024
- Pooled vehicle clients · 15 to 18Sep 14, 2023 to Jan 15, 2024
- Assets in custody · $1.5B to $1.6BSep 14, 2023 to Jan 15, 2024
- Employees · 22 to 24Sep 14, 2023 to Jan 15, 2024
- Other offices · 2 to 0Sep 14, 2023 to Jan 15, 2024
Signals
10 dated events
- L. M••••••• B•••• (Chief Financial Officer) no longer on Schedule A of S••••••••• C•••••• P••••••• L•• (listed 2023-09-14, absent 2024-01-15)Jan 15, 2024 · Control person left · inference
- Allan Scott Macdonald (Chief Operating Officer And Chief Compliance Officer) no longer on Schedule A of S••••••••• C•••••• P••••••• L•• (listed 2022-03-28, absent 2022-07-27)Jul 27, 2022 · Control person left · inference
- L. M••••••• B•••• (Chief Financial Officer) appeared on Schedule A of S••••••••• C•••••• P••••••• L••Mar 28, 2022 · Control person joined · fact
- S••••••••• C•••••• P••••••• L•• reported RAUM $1.2B, up 40% from $852.9M (2021-02-02 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- Gary Randy Legg (Chief Legal Officer) no longer on Schedule A of S••••••••• C•••••• P••••••• L•• (listed 2020-09-17, absent 2021-02-02)Feb 2, 2021 · Control person left · inference
- S••••••••• C•••••• P••••••• L•• reported RAUM $852.9M, up 34% from $634.5M (2020-03-26 to 2020-08-14)Aug 14, 2020 · RAUM change · derived
- S••••••••• C•••••• P••••••• L•• reported RAUM $634.5M, up 101% from $315.7M (2020-03-02 to 2020-03-26)Mar 26, 2020 · RAUM change · derived
- Ross Kenneth Christoffersen (Chief Legal Officer) no longer on Schedule A of S••••••••• C•••••• P••••••• L•• (listed 2020-03-02, absent 2020-03-26)Mar 26, 2020 · Control person left · inference
- Gary Randy Legg (Chief Legal Officer) appeared on Schedule A of S••••••••• C•••••• P••••••• L••Mar 26, 2020 · Control person joined · fact
- S••••••••• C•••••• P••••••• L•• filed its initial SEC registration (Form ADV)Nov 17, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••••••• C•••••• P••••••• L•• · Independent Sponsorsshared crd · capital_provider
- S••••••••• C•••••• P••••••• L•• · Private Equityshared crd · organization
- S••••••••• C•••••• P••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- S•••••••••PARTNERS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 303-867-1673reportedpublic record, Form ADV, Mar 27, 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