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••••••••• O•• L••
Latest filing Aug 7, 2026
First filing on the tape Oct 31, 2014 · 51 filings
SEC status approved since Nov 18, 2014
RAUM
$227B
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
69
61 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
11
reported on Schedule D
History
51 filings and snapshots on the tape
RAUM$227B as of Aug 7, 2026
Mar 31, 2015$350M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 7, 2026
Mar 31, 20150 then
Employees (5.A)69 as of Aug 7, 2026
Mar 31, 201522 then
Private funds11 as of Aug 7, 2026
Mar 31, 20151 then
RAUM +25% over the last fiscal year+46% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 7, 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
- $8.1BderivedRAUM 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
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$227B100%
- Charitable organizations$20.4M0.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 28reported
- 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=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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••••• M••••• F••• L•••••• | Hedge Fund | $42B | 302 | Oct 31, 2014 |
| S••••••••• C••• M••••• F••• L•••••• | Hedge Fund | $40B | 170 | Feb 29, 2016 |
| S••••••••• F•••• M••••• F••• L•••••• | Hedge Fund | $13B | 80 | Aug 24, 2017 |
| S••••••••• A•••• M••••• F••• L•••••• | Hedge Fund | $7.2B | 58 | May 30, 2019 |
| S••••••••• M•••••• M••••• F••• L•••••• | Hedge Fund | $754M | 5 | Apr 19, 2021 |
| A•••• C•••••••• L•• • A•••• C••••••••• I• S•••••no longer reported | Hedge Fund | $126M | 5 | Jul 20, 2022 |
| S••••••••• E••• U• L•••• C•• M••••• F••• L•••••• | Hedge Fund | $58.7M | 4 | Sep 6, 2023 |
Owners and control persons
Schedule A and B, latest filing
- D•••••••• O•••••• · Chief Technology Officer - S••••••••• Groupcontrolsince 08/2019 · owns less than 5%
- F••••••• N••••• Y••••••••• · Chief Financial Officer - S••••••••• Groupcontrolsince 11/2014 · owns less than 5%
- G•••••••• M•••••• · Chief Investment Officer - S••••••••• O•• L••controlsince 08/2022 · owns less than 5%
- K•••••••• B••••••• M•••••• · Director - S••••••••• O•• L••controlsince 06/2023 · owns less than 5%
- M•••••• R•••••• · Chief Operating Officer - S••••••••• Groupcontrolsince 01/2019 · owns less than 5%
- S•••••••• B••••••• · Director - S••••••••• O•• L••controlsince 11/2018 · owns less than 5%
- V••••• R•••••• J• · Chief Compliance Officer - S••••••••• Groupcontrolsince 04/2023 · owns less than 5%
Entity owners
- S••••••••• L•• · Ownerdirect · owns 75% or more
- S••••••••• G•••• I••••••••• G• L•••••• · General Partnerindirect · owns F of S••••••••• G•••• I••••••••• L•
- S••••••••• G•••• I••••••••• L• · Shareholderindirect · owns 75% or more of S••••••••• L••
- S••••••••• H••••••• L•••••• · Shareholderindirect · owns 75% or more of S••••••••• G•••• I••••••••• G• L••••••
- S••••••••• H••••••• L•••••• · Shareholderindirect · owns 75% or more of S••••••••• P•••••• L••••••
- S••••••••• P•••••• L•••••• · Shareholderindirect · owns 75% or more of S••••••••• U• H••••• 2• L••••••
- S••••••••• U• H••••• 2• L•••••• · L•••••• Partnerindirect · owns 75% or more of S••••••••• G•••• I••••••••• L•
Related persons
Schedule D 7.A
- S••••••••• A•••• G• L••pooled vehicle sponsorn
- S••••••••• C••• G• L••pooled vehicle sponsorn
- S••••••••• E••• G• L••pooled vehicle sponsorn
- S••••••••• F•••• G• L••pooled vehicle sponsorn
- S••••••••• M••••• G• L••pooled vehicle sponsorn
- S••••••••• M•••••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Houston, TX6 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- p•••••• fund count surgeChange between filings · filing Apr 28, 2026private funds (Schedule D 7.B.1) moved from 6.0 to 12.0 (+100.0%) between the annual amendments of 2025-03-31 and 2026-04-28; the peer median change was +5.0% (318 comparable advisers, 99.0th percentile of changes)peers: asset managers, $20B and over (318) · 99% percentile
What changed
consecutive filings, newest first
- Private funds · 12 to 11Apr 28, 2026 to Jul 1, 2026
- Accounts · 23 to 28Nov 4, 2025 to Mar 31, 2026
- Advisory employees · 51 to 61Nov 4, 2025 to Mar 31, 2026
- Pooled vehicle clients · 19 to 27Nov 4, 2025 to Mar 31, 2026
- Employees · 71 to 69Nov 4, 2025 to Mar 31, 2026
- Private funds · 6 to 12Nov 4, 2025 to Mar 31, 2026
- Discretionary RAUM · $182B to $227BNov 4, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $181B to $227BNov 4, 2025 to Mar 31, 2026
- RAUM · $182B to $227BNov 4, 2025 to Mar 31, 2026
- Related broker-dealer · true to falseNov 4, 2025 to Mar 31, 2026
- Related broker-dealer · false to trueAug 13, 2025 to Nov 4, 2025
- Financial planning clients · unset to Jun 23, 2025 to Jul 21, 2025
- Accounts · 34 to 23Nov 4, 2024 to Mar 31, 2025
- Advisory employees · 72 to 51Nov 4, 2024 to Mar 31, 2025
- Pooled vehicle clients · 28 to 19Nov 4, 2024 to Mar 31, 2025
- Employees · 218 to 71Nov 4, 2024 to Mar 31, 2025
- Other offices · 1 to 3Nov 4, 2024 to Mar 31, 2025
- Discretionary RAUM · $127B to $182BNov 4, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $124B to $181BNov 4, 2024 to Mar 31, 2025
- RAUM · $127B to $182BNov 4, 2024 to Mar 31, 2025
- Private funds · 10 to 6Mar 29, 2024 to Nov 4, 2024
- Accounts · 25 to 34Feb 29, 2024 to Mar 29, 2024
- Advisory employees · 143 to 72Feb 29, 2024 to Mar 29, 2024
- Advisory activities · 4 to 3Feb 29, 2024 to Mar 29, 2024
- Pooled vehicle clients · 20 to 28Feb 29, 2024 to Mar 29, 2024
- Employees · 192 to 218Feb 29, 2024 to Mar 29, 2024
- Discretionary RAUM · $73B to $127BFeb 29, 2024 to Mar 29, 2024
- Pooled vehicle RAUM · $72B to $124BFeb 29, 2024 to Mar 29, 2024
- RAUM · $73B to $127BFeb 29, 2024 to Mar 29, 2024
- Private funds · 9 to 10Dec 7, 2023 to Feb 29, 2024
- Private funds · 8 to 9Jul 5, 2023 to Sep 6, 2023
- Private funds · 7 to 8Jun 6, 2023 to Jul 5, 2023
- Accounts · 21 to 25Dec 11, 2022 to Mar 31, 2023
- Advisory employees · 356 to 143Dec 11, 2022 to Mar 31, 2023
- Charity clients · unset to 1.0Dec 11, 2022 to Mar 31, 2023
- Pooled vehicle clients · 18 to 20Dec 11, 2022 to Mar 31, 2023
- Employees · 725 to 192Dec 11, 2022 to Mar 31, 2023
- Other offices · 0 to 1Dec 11, 2022 to Mar 31, 2023
- Discretionary RAUM · $76B to $73BDec 11, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $74B to $72BDec 11, 2022 to Mar 31, 2023
Signals
22 dated events
- S••••••••• O•• L•• reported RAUM $182.2B, up 44% from $126.5B (2024-11-04 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- S••••••••• O•• L•• reported RAUM $126.5B, up 74% from $72.7B (2024-02-29 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- Matthew Bradley Kurtzman (Director - S••••••••• O•• L••) appeared on Schedule A of S••••••••• O•• L••Dec 7, 2023 · Control person joined · fact
- Nicolas Dreyfuss (Director - S••••••••• O•• L••) no longer on Schedule A of S••••••••• O•• L•• (listed 2023-09-06, absent 2023-12-07)Dec 7, 2023 · Control person left · inference
- Vay Hung Luc (Chief Compliance Officer -- Squarepoint Group) no longer on Schedule A of S••••••••• O•• L•• (listed 2023-03-31, absent 2023-05-10)May 10, 2023 · Control person left · inference
- J R••••• V•••• (Chief Compliance Officer - Squarepoint Group) appeared on Schedule A of S••••••••• O•• L••May 10, 2023 · Control person joined · fact
- Maxime Fortin (Chief Investment Officer) no longer on Schedule A of S••••••••• O•• L•• (listed 2022-07-20, absent 2022-08-17)Aug 17, 2022 · Control person left · inference
- K Michael Gottlieb (Chief Investment Officer - Squarepoint Capital Llp) appeared on Schedule A of S••••••••• O•• L••Aug 17, 2022 · Control person joined · fact
- S••••••••• O•• L•• reported RAUM $75.7B, up 109% from $36.2B (2022-03-21 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- S••••••••• O•• L•• reported RAUM $34.6B, up 122% from $15.6B (2019-08-19 to 2020-05-14)May 14, 2020 · RAUM change · derived
- Nicolas Dreyfuss (Director - S••••••••• O•• L••) appeared on Schedule A of S••••••••• O•• L••Aug 19, 2019 · Control person joined · fact
- Andres Manuel Caceres (Chief Operating Officer - S••••••••• O•• L••) no longer on Schedule A of S••••••••• O•• L•• (listed 2019-05-30, absent 2019-08-19)Aug 19, 2019 · Control person left · inference
- Ganesh Chodisetti (Chief Operating Officer - Squarepoint Operations Private Limited) no longer on Schedule A of S••••••••• O•• L•• (listed 2019-05-30, absent 2019-08-19)Aug 19, 2019 · Control person left · inference
- Olivier Delahaye (Chief Technology Officer - Squarepoint Group) appeared on Schedule A of S••••••••• O•• L••Aug 19, 2019 · Control person joined · fact
- Ganesh Chodisetti (Chief Operating Officer - Squarepoint Operations Private Limited) appeared on Schedule A of S••••••••• O•• L••Mar 30, 2019 · Control person joined · fact
- Russell Morgan (Chief Operating Officer - Squarepoint Capital Llp) appeared on Schedule A of S••••••••• O•• L••Mar 30, 2019 · Control person joined · fact
- Andres Manuel Caceres (Chief Operating Officer - S••••••••• O•• L••) appeared on Schedule A of S••••••••• O•• L••Mar 30, 2019 · Control person joined · fact
- Andrew David Jack (Chief Operating Officer) no longer on Schedule A of S••••••••• O•• L•• (listed 2018-09-07, absent 2019-03-30)Mar 30, 2019 · Control person left · inference
- S••••••••• O•• L•• reported RAUM $15.6B, up 59% from $9.8B (2018-09-07 to 2019-03-30)Mar 30, 2019 · RAUM change · derived
- Benjamin Servenay (Director - S••••••••• O•• L••) appeared on Schedule A of S••••••••• O•• L••Mar 30, 2019 · Control person joined · fact
- S••••••••• O•• L•• reported RAUM $9.8B, up 128% from $4.3B (2017-08-24 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- S••••••••• O•• L•• filed its initial SEC registration (Form ADV)Oct 31, 2014 · 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•••••••••-CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 646 868 1500reportedpublic record, Form ADV, Aug 7, 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