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••••• P••••••• P••••• A•••• M••••••••• L••
Latest filing Aug 20, 2026
First filing on the tape Feb 13, 2015 · 25 filings
SEC status approved since Feb 27, 2015
RAUM
$4.6B
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
22
17 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
12
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$4.6B as of Aug 20, 2026
Mar 29, 2016$464M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 20, 2026
Mar 29, 20160 then
Employees (5.A)22 as of Aug 20, 2026
Mar 29, 201612 then
Private funds12 as of Aug 20, 2026
Mar 29, 20166 then
RAUM +19% over the last fiscal year+20% 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
- $330MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 15%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
- +19%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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $3.7B, 12 clientsreportedItem 9.A
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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 hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$3.7B81%
- State and municipal entities$708M15%
- Investment companies$163M3.5%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 14reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.7B for 12 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.85 institutional_share=0.15 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
14 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- C••••• P••••• Y• · Chief Executive Officer & L•••••• Partnercontrolsince 04/2015 · owns 5% to 10%
- C••••••• S••••• C•••••• · Chief Operating Officer & L•••••• Partnercontrolsince 04/2015 · owns 5% to 10%
- H••••••••• A•••• H••• · Chief Financial Officer & L•••••• Partnercontrolsince 07/2018 · owns less than 5%
- W••••• E•••• H•••• · Chief Compliance Officercontrolsince 07/2019 · owns less than 5%
- B••••• D•••••• M•••••• · Board Membercontrolsince 02/2019 · owns F of S••••• M••••• C••••••• L••
- C••••••• J•••• R••••• · Board Membercontrolsince 08/2017 · owns F of S••••• M••••• C••••••• L••
- C••••• P••••• Y• · Board Membercontrolsince 11/2011 · owns F of S••••• M••••• C••••••• L••
- C••••••• S••••• C•••••• · Board Membercontrolsince 09/2015 · owns F of S••••• M••••• C••••••• L••
- F••••••• C••••• D•••• · Board Membercontrolsince 08/2017 · owns F of S••••• M••••• C••••••• L••
- J•••••••• T•••••• H••••••••• · Board Membercontrolsince 08/2017 · owns F of S••••• M••••• C••••••• L••
- M••••••• M•••••• J••••• · Board Membercontrolsince 02/2019 · owns F of S••••• M••••• C••••••• L••
Entity owners
- S••••• P•••••••• L••• · Managing Memberdirect · owns 75% or more
- S••••• M••••• C••••••• L•• · General Partnerindirect · owns F of S••••• P•••••••• L•••
Related persons
Schedule D 7.A
- S••••• P••••••• A••••• G•• L•••bankpooled vehicle sponsorn
- S••••• P••••••• C••••• A•••••••• L•••investment advisernRAUM $419M
- S••••• P•••••••• L•••investment adviseryRAUM $42B
Advisers that list S••••• P••••••• P••••• A•••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Menlo Park, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 12 to 14Mar 27, 2025 to Mar 27, 2026
- Advisory employees · 16 to 17Mar 27, 2025 to Mar 27, 2026
- Pooled vehicle clients · 10 to 12Mar 27, 2025 to Mar 27, 2026
- Assets in custody · $3.2B to $3.7BMar 27, 2025 to Mar 27, 2026
- Discretionary RAUM · $3.9B to $4.6BMar 27, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $3.2B to $3.7BMar 27, 2025 to Mar 27, 2026
- RAUM · $3.9B to $4.6BMar 27, 2025 to Mar 27, 2026
- Accounts · 13 to 12Jan 3, 2025 to Mar 27, 2025
- Advisory employees · 17 to 16Jan 3, 2025 to Mar 27, 2025
- Advisory activities · 2 to 3Jan 3, 2025 to Mar 27, 2025
- Pooled vehicle clients · 12 to 10Jan 3, 2025 to Mar 27, 2025
- Assets in custody · $2.4B to $3.2BJan 3, 2025 to Mar 27, 2025
- Employees · 23 to 22Jan 3, 2025 to Mar 27, 2025
- Financial planning clients · unset to Jan 3, 2025 to Mar 27, 2025
- Discretionary RAUM · $2.7B to $3.9BJan 3, 2025 to Mar 27, 2025
- Pooled vehicle RAUM · $2.4B to $3.2BJan 3, 2025 to Mar 27, 2025
- RAUM · $2.7B to $3.9BJan 3, 2025 to Mar 27, 2025
- Accounts · 15 to 13Mar 24, 2023 to Mar 26, 2024
- Advisory employees · 18 to 17Mar 24, 2023 to Mar 26, 2024
- Assets in custody · $2.2B to $2.4BMar 24, 2023 to Mar 26, 2024
- Employees · 22 to 23Mar 24, 2023 to Mar 26, 2024
- Discretionary RAUM · $2.7B to $2.7BMar 24, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $2.2B to $2.4BMar 24, 2023 to Mar 26, 2024
- RAUM · $2.7B to $2.7BMar 24, 2023 to Mar 26, 2024
- Accounts · 16 to 15Mar 28, 2022 to Mar 24, 2023
- Assets in custody · $2.9B to $2.2BMar 28, 2022 to Mar 24, 2023
- Discretionary RAUM · $3.4B to $2.7BMar 28, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · $2.9B to $2.2BMar 28, 2022 to Mar 24, 2023
- RAUM · $3.4B to $2.7BMar 28, 2022 to Mar 24, 2023
- Accounts · 14 to 16Jul 16, 2021 to Mar 28, 2022
- Advisory employees · 14 to 18Jul 16, 2021 to Mar 28, 2022
- Pooled vehicle clients · 10 to 12Jul 16, 2021 to Mar 28, 2022
- Assets in custody · $2.2B to $2.9BJul 16, 2021 to Mar 28, 2022
- Employees · 19 to 22Jul 16, 2021 to Mar 28, 2022
- Other offices · 2 to 1Jul 16, 2021 to Mar 28, 2022
- Discretionary RAUM · $2.7B to $3.4BJul 16, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $2.2B to $2.9BJul 16, 2021 to Mar 28, 2022
- RAUM · $2.7B to $3.4BJul 16, 2021 to Mar 28, 2022
- Other offices · 1 to 2Apr 15, 2021 to Jul 16, 2021
- Private funds · 10 to 12Mar 30, 2021 to Apr 15, 2021
Signals
11 dated events
- S••••• P••••••• P••••• A•••• M••••••••• L•• reported RAUM $3.9B, up 44% from $2.7B (2025-01-03 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- Winters Robin Devereux (Chief Administrative Officer) no longer on Schedule A of S••••• P••••••• P••••• A•••• M••••••••• L•• (listed 2022-03-28, absent 2023-03-24)Mar 24, 2023 · Control person left · inference
- S••••• P••••••• P••••• A•••• M••••••••• L•• reported RAUM $2.7B, up 94% from $1.4B (2020-03-27 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- Hugh Adam Hennessey (Chief Financial Officer) appeared on Schedule A of S••••• P••••••• P••••• A•••• M••••••••• L••Mar 27, 2020 · Control person joined · fact
- Helen Erin White (Chief Compliance Officer) appeared on Schedule A of S••••• P••••••• P••••• A•••• M••••••••• L••Jul 11, 2019 · Control person joined · fact
- James Charles Fitzgerald (Board Member) no longer on Schedule A of S••••• P••••••• P••••• A•••• M••••••••• L•• (listed 2018-10-19, absent 2019-03-07)Mar 7, 2019 · Control person left · inference
- Joseph Martin Mannion (Board Member) appeared on Schedule A of S••••• P••••••• P••••• A•••• M••••••••• L••Mar 7, 2019 · Control person joined · fact
- Michael Darren Black (Board Member) appeared on Schedule A of S••••• P••••••• P••••• A•••• M••••••••• L••Mar 7, 2019 · Control person joined · fact
- Roger Bruce Evans (Board Member) no longer on Schedule A of S••••• P••••••• P••••• A•••• M••••••••• L•• (listed 2018-10-19, absent 2019-03-07)Mar 7, 2019 · Control person left · inference
- S••••• P••••••• P••••• A•••• M••••••••• L•• reported RAUM $870.7M, up 61% from $540.2M (2017-09-07 to 2018-03-26)Mar 26, 2018 · RAUM change · derived
- S••••• P••••••• P••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 13, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••• P••••••• P••••• A•••• M••••••••• L•• · Family Officesshared crd · manager
How to reach
public business contact points only, each with its source
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 617-824-1000reportedpublic 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