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••••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Sep 4, 2015 · 16 filings
SEC status approved since Sep 15, 2015
RAUM
$1.2B
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
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$1.2B as of Mar 30, 2026
Mar 25, 2016$386M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 25, 20160 then
Employees (5.A)9 as of Mar 30, 2026
Mar 25, 20167 then
Private funds2 as of Mar 30, 2026
Mar 25, 20161 then
RAUM -2.3% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $171MderivedRAUM 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
- -2.3%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 pooled vehiclesreportedItem 5.G
- Custody
- $1.2B, 7 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)
- 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$1.2B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.2B for 7 clientsreported
- 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••• M••••• F••• L•• | Hedge Fund | $856M | 35 | Jan 13, 2016 |
| S••••••• L••• M••••• F••• L•• | Hedge Fund | $177M | 22 | Mar 30, 2020 |
Owners and control persons
Schedule A and B, latest filing
- C•••• R•••••••• W•••••• · Founder And Portfolio Managercontrolsince 06/2015 · owns less than 5%
- S••••••• J•••• N•• · Chief Financial Officer And Chief Compliance Officercontrolsince 01/2021 · owns less than 5%
- C•••• R•••••••• W•••••• · Managing Membercontrolsince 07/2015 · owns 75% or more of S••••••• A••••••• L••
- C•••• R•••••••• W•••••• · Limited Partnercontrolsince 07/2015 · owns 75% or more of S••••••• G••••• L•
Entity owners
- S••••••• G••••• L• · Managing Memberdirect · owns 75% or more
- S••••••• A••••••• L•• · General Partnerindirect · owns F of S••••••• G••••• L•
Related persons
Schedule D 7.A
- S••••••• G• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 6 to 5Mar 28, 2025 to Mar 30, 2026
- Assets in custody · $1.2B to $1.2BMar 28, 2025 to Mar 30, 2026
- Employees · 11 to 9Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.2B to $1.2BMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.2B to $1.2BMar 28, 2025 to Mar 30, 2026
- RAUM · $1.2B to $1.2BMar 28, 2025 to Mar 30, 2026
- Advisory employees · 5 to 6Mar 26, 2024 to Mar 28, 2025
- Assets in custody · $1.0B to $1.2BMar 26, 2024 to Mar 28, 2025
- Employees · 10 to 11Mar 26, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.0B to $1.2BMar 26, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $1.0B to $1.2BMar 26, 2024 to Mar 28, 2025
- RAUM · $1.0B to $1.2BMar 26, 2024 to Mar 28, 2025
- Assets in custody · $806M to $1.0BMar 28, 2023 to Mar 26, 2024
- Employees · 11 to 10Mar 28, 2023 to Mar 26, 2024
- Discretionary RAUM · $806M to $1.0BMar 28, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $806M to $1.0BMar 28, 2023 to Mar 26, 2024
- RAUM · $806M to $1.0BMar 28, 2023 to Mar 26, 2024
- Assets in custody · $935M to $806MMar 25, 2022 to Mar 28, 2023
- Discretionary RAUM · $935M to $806MMar 25, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $935M to $806MMar 25, 2022 to Mar 28, 2023
- RAUM · $935M to $806MMar 25, 2022 to Mar 28, 2023
- Accounts · 6 to 7Jan 7, 2022 to Mar 25, 2022
- Pooled vehicle clients · 6 to 7Jan 7, 2022 to Mar 25, 2022
- Assets in custody · $688M to $935MJan 7, 2022 to Mar 25, 2022
- Employees · 10 to 11Jan 7, 2022 to Mar 25, 2022
- Discretionary RAUM · $688M to $935MJan 7, 2022 to Mar 25, 2022
- Pooled vehicle RAUM · $688M to $935MJan 7, 2022 to Mar 25, 2022
- RAUM · $688M to $935MJan 7, 2022 to Mar 25, 2022
- Assets in custody · $819M to $688MMar 30, 2020 to Mar 30, 2021
- Employees · 11 to 10Mar 30, 2020 to Mar 30, 2021
- Discretionary RAUM · $819M to $688MMar 30, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $819M to $688MMar 30, 2020 to Mar 30, 2021
- RAUM · $819M to $688MMar 30, 2020 to Mar 30, 2021
- Accounts · 4 to 6Feb 18, 2020 to Mar 30, 2020
- Pooled vehicle clients · 4 to 6Feb 18, 2020 to Mar 30, 2020
- Assets in custody · $728M to $819MFeb 18, 2020 to Mar 30, 2020
- Employees · 10 to 11Feb 18, 2020 to Mar 30, 2020
- Private funds · 1 to 2Feb 18, 2020 to Mar 30, 2020
- Discretionary RAUM · $728M to $819MFeb 18, 2020 to Mar 30, 2020
Signals
5 dated events
- S••••••• M••••••••• L•• reported RAUM $1.0B, up 28% from $805.6M (2023-03-28 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- S••••••• M••••••••• L•• reported RAUM $935.0M, up 36% from $687.8M (2022-01-07 to 2022-03-25)Mar 25, 2022 · RAUM change · derived
- David Justin Morgan (Chief Operating Officer And Chief Compliance Officer - Registrant) no longer on Schedule A of S••••••• M••••••••• L•• (listed 2021-03-30, absent 2022-01-07)Jan 7, 2022 · Control person left · inference
- Nmn John Stadnyk (Chief Financial Officer - Registrant) appeared on Schedule A of S••••••• M••••••••• L••Mar 30, 2021 · Control person joined · fact
- S••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Sep 4, 2015 · 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
- sunrivermgmt.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (203) 900-3900reportedpublic record, Form ADV, Mar 30, 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