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•••••• M••••••••• L••
Latest filing Jul 16, 2026
First filing on the tape Oct 25, 2017 · 21 filings
SEC status approved since Nov 27, 2017
RAUM
$2.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
16%
$329M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$2.0B
derived; firm RAUM over IAPD count
Employees
11
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$2.0B as of Jul 16, 2026
Mar 23, 2018$16.2M then
HNW client RAUM$329M as of Jul 16, 2026
Mar 25, 2019$89.5M then
State-registered IARs (5.B.3)0 as of Jul 16, 2026
Mar 23, 20181 then
Employees (5.A)11 as of Jul 16, 2026
Mar 23, 20186 then
Private funds1 as of Jul 16, 2026
Mar 23, 20181 then
RAUM +13% over the last fiscal year+17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $2.0BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.1MderivedHNW RAUM over HNW clients
- Average account
- $26.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 11.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$1.2B59%
- Pooled investment vehicles$394M20%
- High-net-worth individuals$329M17%
- Corporations and businesses$31.4M1.6%
- Charitable organizations$28.6M1.5%
- Other investment advisers$19.2M1.0%
- Pension and profit-sharing plans$1.5M0.1%
- Individual clients
- n/areported
- HNW clients
- 54reported
- Pension plan clients
- n/areported
- Charitable clients
- 8reported
- Accounts
- 77reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.16 fund_share=0.78 institutional_share=0.01 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• A••••• R•••••••• | Greenbrae, Ca | May 29, 2026 | 29 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••• P•••••••• L•no longer reported | Hedge Fund | $16.2M | 37 | Oct 25, 2017 |
Owners and control persons
Schedule A and B, latest filing
- H••••••• P••••••• T• · Chief Operating Officercontrolsince 08/2016 · owns less than 5%
- R••••••••• J••••• A••••• · Presidentcontrolsince 03/2015 · owns 75% or more
- Z••••• J•••• •••• · Chief Compliance Officer / Chief Financial Officercontrolsince 09/2022 · owns less than 5%
- L••••••• S••••••• M••••• · Membersince 10/2015 · owns 5% to 10%
- B••••• A•••• W•••••• · Managersince 02/1994 · owns 25% to 50% of E••••••• M••••••••• L••
Entity owners
- E••••••• M••••••••• L•• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ city · SAN FRANCISCO to GREENBRAEMar 31, 2026 to Jun 9, 2026
- Accounts · 80 to 77May 30, 2025 to Mar 31, 2026
- Advisory employees · 4 to 5May 30, 2025 to Mar 31, 2026
- Charity clients · 9 to 8May 30, 2025 to Mar 31, 2026
- HNW clients · 55 to 54May 30, 2025 to Mar 31, 2026
- Pension plan clients · 2.0 to unsetMay 30, 2025 to Mar 31, 2026
- Pooled vehicle clients · unset to 1.0May 30, 2025 to Mar 31, 2026
- Employees · 10 to 11May 30, 2025 to Mar 31, 2026
- Private funds · unset to 1May 30, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.8B to $2.0BMay 30, 2025 to Mar 31, 2026
- HNW RAUM · $320M to $329MMay 30, 2025 to Mar 31, 2026
- Pension RAUM · $17.8M to $1.5MMay 30, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · unset to 394148000.0May 30, 2025 to Mar 31, 2026
- RAUM · $1.8B to $2.0BMay 30, 2025 to Mar 31, 2026
- Financial planning clients · unset to Apr 29, 2025 to May 30, 2025
- Accounts · 81 to 80Mar 26, 2024 to Apr 29, 2025
- BD registered reps · 0 to 1Mar 26, 2024 to Apr 29, 2025
- Charity clients · 10 to 9Mar 26, 2024 to Apr 29, 2025
- Corporate clients · 8 to 7Mar 26, 2024 to Apr 29, 2025
- HNW clients · 54 to 55Mar 26, 2024 to Apr 29, 2025
- Discretionary RAUM · $1.4B to $1.8BMar 26, 2024 to Apr 29, 2025
- HNW RAUM · $213M to $320MMar 26, 2024 to Apr 29, 2025
- Pension RAUM · $16.6M to $17.8MMar 26, 2024 to Apr 29, 2025
- RAUM · $1.4B to $1.8BMar 26, 2024 to Apr 29, 2025
- Accounts · 86 to 81Mar 3, 2023 to Mar 26, 2024
- Charity clients · 9 to 10Mar 3, 2023 to Mar 26, 2024
- Corporate clients · 9 to 8Mar 3, 2023 to Mar 26, 2024
- HNW clients · 55 to 54Mar 3, 2023 to Mar 26, 2024
- Pension plan clients · 3 to 2Mar 3, 2023 to Mar 26, 2024
- Discretionary RAUM · $1.3B to $1.4BMar 3, 2023 to Mar 26, 2024
- HNW RAUM · $145M to $213MMar 3, 2023 to Mar 26, 2024
- Pension RAUM · $170M to $16.6MMar 3, 2023 to Mar 26, 2024
- RAUM · $1.3B to $1.4BMar 3, 2023 to Mar 26, 2024
- Accounts · 109 to 86Sep 19, 2022 to Mar 3, 2023
- Charity clients · 12 to 9Sep 19, 2022 to Mar 3, 2023
- Corporate clients · 18 to 9Sep 19, 2022 to Mar 3, 2023
- HNW clients · 63 to 55Sep 19, 2022 to Mar 3, 2023
- Pension plan clients · 2 to 3Sep 19, 2022 to Mar 3, 2023
- Other offices · 1 to 0Sep 19, 2022 to Mar 3, 2023
- Discretionary RAUM · $3.8B to $1.3BSep 19, 2022 to Mar 3, 2023
Signals
7 dated events
- S••••••• C•••••• M••••••••• L•• reported RAUM $1.8B, up 28% from $1.4B (2024-03-26 to 2025-04-29)Apr 29, 2025 · RAUM change · derived
- S••••••• C•••••• M••••••••• L•• reported RAUM $1.3B, down 67% from $3.8B (2022-09-19 to 2023-03-03)Mar 3, 2023 · RAUM change · derived
- Xavier William Minor (Chief Compliance Officer) no longer on Schedule A of S••••••• C•••••• M••••••••• L•• (listed 2022-03-24, absent 2022-09-19)Sep 19, 2022 · Control person left · inference
- (Nmn) John Zhang (Chief Compliance Officer / Chief Financial Officer) appeared on Schedule A of S••••••• C•••••• M••••••••• L••Sep 19, 2022 · Control person joined · fact
- S••••••• C•••••• M••••••••• L•• reported RAUM $3.3B, up 292% from $844.2M (2021-02-10 to 2021-03-27)Mar 27, 2021 · RAUM change · derived
- S••••••• C•••••• M••••••••• L•• reported RAUM $844.2M, up 313% from $204.7M (2019-05-09 to 2020-03-28)Mar 28, 2020 · RAUM change · derived
- S••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Oct 25, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- S••••••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/spyglass-capital-managementreportedpublic record, Form ADV, Sep 19, 2026
- Website
- s••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 415-318-2366reportedpublic record, Form ADV, Jul 16, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $2.0Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026