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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
S••••• G••••• H•••••••••
Legal name S••••• G••••• H••••••••• M••••••••• L•••
Latest filing Oct 12, 2020
First filing on the tape Oct 12, 2020 · 1 filings
RAUM
$893M
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
20
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$1.8B gross assets
History
1 filings and snapshots on the tape
RAUM: $893M
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 20
Private funds: 4
Practice profile
derived from the filing of Oct 12, 2020; 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
- $149MderivedRAUM 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
- unknownderivedbetween 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
- $893M, 6 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$893M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $893M for 6 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- absent from the latest SEC rosterderived
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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••• B•••••• M••••• F••• L• | Hedge Fund | $277M | 48 | Feb 25, 2019 |
| S••••• G••••• H••••••••• M••••• F••• | Hedge Fund | $183M | 40 | Oct 21, 2014 |
Owners and control persons
Schedule A and B, latest filing
- B••••• D•••• · Managing Partnercontrolsince 01/2007 · owns less than 5%
- E••••••• N•••• · Chief Financial Officercontrolsince 07/2010 · owns less than 5%
- G•••••••• O•• · Chief Executive Officercontrolsince 02/2015 · owns less than 5%
- H•••••• A•• · General Counsel, Chief Compliance Officercontrolsince 07/2011 · owns less than 5%
- K•••••• L•••• · Chief Operations Officercontrolsince 05/2012 · owns less than 5%
- A••••• M•••• · Shareholdercontrolsince 02/1999 · owns 75% or more of M• A•••• ••••• L••
Entity owners
- S••••• G••••• H••••••••• G• L•• · General Partnerdirect · owns less than 5%
- S••••• F••• G• L•• · General Partnerindirect · owns F of S••••• G• L•
- S••••• F•••• M••••••••• · Shareholderindirect · owns 75% or more of S••••• G••••• H••••••••• G• L••
- S••••• F•••• M••••••••• L•• · Shareholderindirect · owns 75% or more of S••••• F••• G• L••
- M• A•••• ••••• L•• · Limited Partnerdirect · owns 50% to 75%
- S••••• G• L• · Limited Partnerdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- S••••• B•••••• G• L•bankpooled vehicle sponsory
- S••••• C•••••• G• L•bankpooled vehicle sponsorn
- S••••• C•••••• L••investment adviserbankpooled vehicle sponsorn
- S••••• F•••• M••••••••• L••investment adviserbankpooled vehicle sponsory
- S••••• G••••• E••••••• G• L•bankpooled vehicle sponsorn
- S••••• G••••• E••••••• M••••••••• L••investment adviserbankpooled vehicle sponsorn
- S••••• G• L•bankpooled vehicle sponsorn
- S••••• H••••••••• U• I•••investment adviserbankyRAUM $790M
Advisers that list S••••• G••••• H••••••••• as a related person
- 310325 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
- S••••• G••••• H••••••••• filed its initial SEC registration (Form ADV)Oct 12, 2020 · 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
- Firm profile
- linkedin.com/company/sphera-global-healthcare-fundreportedpublic record, Form ADV, Sep 19, 2026
- Website
- S•••••FUND.COMreportedpublic record, Form ADV, Sep 19, 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
- Former SEC-registered adviserderiveda 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