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••••••• L•••
Latest filing Mar 31, 2026
First filing on the tape Jun 30, 2017 · 17 filings
SEC status approved since Aug 1, 2017
RAUM
$4.4B
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
31
22 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
20
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$4.4B as of Mar 31, 2026
Mar 29, 2018$407M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20180 then
Employees (5.A)31 as of Mar 31, 2026
Mar 29, 20185 then
Private funds20 as of Mar 31, 2026
Mar 29, 201811 then
RAUM +11% over the last fiscal year+24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $211MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%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
- $104M, 3 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$4.4B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 21reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $104M for 3 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
27 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••••• C•••••• F••• I•• L•• | Private Equity Fund | $1.0B | 87 | Mar 28, 2024 |
| S•••••••• T•••••• I••• L•• | Private Equity Fund | $419M | 70 | Mar 30, 2021 |
| S•••••••• C•••••• F••• I•• L••• | Private Equity Fund | $305M | 33 | Mar 29, 2019 |
| S•••••••• C•••••• F••• I••• L•• | Private Equity Fund | $291M | 79 | Mar 30, 2021 |
| S•••••••• H••••••••• H•••••••• L•• | Private Equity Fund | $214M | 31 | Mar 30, 2023 |
| S•••••••• C•••••• F•••• L••• | Other Private Fund | $170M | 10 | Oct 5, 2015 |
| S•••••••• T••••••••• I••• L•• | Private Equity Fund | $131M | 10 | Mar 30, 2021 |
| S•••••••• I•••••••• H•••••••• L•• | Private Equity Fund | $110M | 26 | Mar 28, 2024 |
| S•••••••• T•••••• I•• L••• | Private Equity Fund | $93.3M | 29 | Mar 29, 2019 |
| S•••••••• C•••••• F••• I• A••••• L•• | Private Equity Fund | $85.2M | 4 | Mar 30, 2020 |
| S•••••••• I••••• I•• L•• | Other Private Fund | $58.0M | 19 | Mar 29, 2019 |
| S•••••••• T••••••••• I•• L••• | Private Equity Fund | $51.3M | 4 | Mar 29, 2019 |
| S•••••••• A••• H•••••••• L•• | Other Private Fund | $43.0M | 11 | Mar 30, 2020 |
| S•••••••• I••••• A••••• L•• | Other Private Fund | $30.7M | 23 | Apr 1, 2022 |
| S•••••••• A••• H••••••• I•• L•• | Private Equity Fund | $23.0M | 2 | Mar 30, 2023 |
| S•••••••• I•••••• L••no longer reported | Private Equity Fund | $19.7M | 19 | Mar 31, 2017 |
| S•••••••• I••••• I••• L••no longer reported | Private Equity Fund | $9.8M | 14 | Mar 29, 2019 |
| S•••••••• R••• H•••••••• L•••no longer reported | Private Equity Fund | $2.3M | 26 | Mar 31, 2017 |
| S••••••••• D••••••••• C••••••••• L•••no longer reported | Private Equity Fund | $1.0M | 2 | Oct 5, 2015 |
| S•••••••• R••• H••••••• I•• L••• • S••••• 2•no longer reported | Private Equity Fund | $247,603 | 2 | Jun 30, 2017 |
| S•••••••• R••• H••••••• I•• L••• • S••••• 4•no longer reported | Private Equity Fund | $247,603 | 2 | Jun 30, 2017 |
| S•••••••• R••• H••••••• I•• L••• • S••••• 3•no longer reported | Private Equity Fund | $247,603 | 2 | Jun 30, 2017 |
| S•••••••• R••• H••••••• I•• L••• • S••••• 1•no longer reported | Private Equity Fund | $208,603 | 2 | Jun 30, 2017 |
| S•••••••• R••• H••••••• I•• L••• • S••••• 6•no longer reported | Private Equity Fund | $91,029 | 2 | Jun 30, 2017 |
| S•••••••• R••• H••••••• I•• L••• • S••••• 8•no longer reported | Private Equity Fund | $91,029 | 2 | Jun 30, 2017 |
| S•••••••• R••• H••••••• I•• L••• • S••••• 7•no longer reported | Private Equity Fund | $91,029 | 2 | Jun 30, 2017 |
| S•••••••• R••• H••••••• I•• L••• • S••••• 5•no longer reported | Private Equity Fund | $88,029 | 2 | Jun 30, 2017 |
Owners and control persons
Schedule A and B, latest filing
- B••••• R•••••• J••• · Partner / Chief Financial Officer / Chief Compliance Officercontrolsince 01/2019 · owns 5% to 10%
- E••••• M••••••• C••••••••• · Managing Partnercontrolsince 09/2015 · owns 50% to 75%
- H•••• M•••• C•••••••• · Partner / Chief Operations Officersince 05/2017 · owns 10% to 25%
- M•••••• J•••••• S•••• · Partnersince 01/2021 · owns 10% to 25%
- P••••••• D••••• W•••••• · Operating Partnersince 06/2021 · owns 5% to 10%
Related persons
Schedule D 7.A
- C••••••••• D• G•• L••pooled vehicle sponsorn
- S•••••••• C•••••• G•• L••investment adviserbankpooled vehicle sponsory
- S•••••••• C•••••• I• G•• L••investment adviserbankpooled vehicle sponsorn
- S•••••••• C•••••• I•• G• L••investment adviserbankpooled vehicle sponsory
- S•••••••• C•••••• I• G•• L••investment adviserbankpooled vehicle sponsory
- S•••••••• C••••••• G•• L••investment adviserbankpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- New York, NY9 employees
What changed
consecutive filings, newest first
- Accounts · 19 to 21Sep 8, 2025 to Mar 31, 2026
- Advisory employees · 17 to 22Sep 8, 2025 to Mar 31, 2026
- Pooled vehicle clients · 19 to 21Sep 8, 2025 to Mar 31, 2026
- Assets in custody · $88.5M to $104MSep 8, 2025 to Mar 31, 2026
- Employees · 26 to 31Sep 8, 2025 to Mar 31, 2026
- Private funds · 19 to 20Sep 8, 2025 to Mar 31, 2026
- Discretionary RAUM · $4.0B to $4.4BSep 8, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $4.0B to $4.4BSep 8, 2025 to Mar 31, 2026
- RAUM · $4.0B to $4.4BSep 8, 2025 to Mar 31, 2026
- HQ city · SAN FRANCISCO to BURLINGAMEMar 31, 2025 to Sep 8, 2025
- Accounts · 16 to 19Apr 29, 2024 to Mar 31, 2025
- Advisory employees · 15 to 17Apr 29, 2024 to Mar 31, 2025
- Pooled vehicle clients · 16 to 19Apr 29, 2024 to Mar 31, 2025
- Assets in custody · $88.7M to $88.5MApr 29, 2024 to Mar 31, 2025
- Employees · 24 to 26Apr 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Apr 29, 2024 to Mar 31, 2025
- Private funds · 16 to 19Apr 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $3.5B to $4.0BApr 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $3.5B to $4.0BApr 29, 2024 to Mar 31, 2025
- RAUM · $3.5B to $4.0BApr 29, 2024 to Mar 31, 2025
- Accounts · 14 to 16Apr 27, 2023 to Mar 28, 2024
- Advisory employees · 10 to 15Apr 27, 2023 to Mar 28, 2024
- Pooled vehicle clients · 14 to 16Apr 27, 2023 to Mar 28, 2024
- Assets in custody · $76.8M to $88.7MApr 27, 2023 to Mar 28, 2024
- Employees · 16 to 24Apr 27, 2023 to Mar 28, 2024
- Private funds · 14 to 16Apr 27, 2023 to Mar 28, 2024
- Discretionary RAUM · $2.3B to $3.5BApr 27, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $2.3B to $3.5BApr 27, 2023 to Mar 28, 2024
- RAUM · $2.3B to $3.5BApr 27, 2023 to Mar 28, 2024
- Accounts · 21 to 14Jun 8, 2022 to Mar 30, 2023
- Advisory employees · 8 to 10Jun 8, 2022 to Mar 30, 2023
- Pooled vehicle clients · 21 to 14Jun 8, 2022 to Mar 30, 2023
- Assets in custody · $67.9M to $76.8MJun 8, 2022 to Mar 30, 2023
- Employees · 14 to 16Jun 8, 2022 to Mar 30, 2023
- Private funds · 21 to 14Jun 8, 2022 to Mar 30, 2023
- Discretionary RAUM · $2.0B to $2.3BJun 8, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $2.0B to $2.3BJun 8, 2022 to Mar 30, 2023
- RAUM · $2.0B to $2.3BJun 8, 2022 to Mar 30, 2023
- Advisory employees · 7 to 8May 11, 2022 to Jun 8, 2022
- Employees · 15 to 14May 11, 2022 to Jun 8, 2022
Signals
6 dated events
- S•••••••• C••••••• L••• reported RAUM $3.5B, up 53% from $2.3B (2023-04-27 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- S•••••••• C••••••• L••• reported RAUM $1.9B, up 117% from $853.4M (2020-03-30 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- S•••••••• C••••••• L••• reported RAUM $853.4M, up 41% from $604.7M (2019-03-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- S•••••••• C••••••• L••• reported RAUM $604.7M, up 49% from $407.1M (2018-09-13 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- John Robert Bacon (Chief Financial Officer) appeared on Schedule A of S•••••••• C••••••• L•••Mar 29, 2019 · Control person joined · fact
- S•••••••• C••••••• L••• filed its initial SEC registration (Form ADV)Jun 30, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••••••• C••••••• L••• · Independent Sponsorsshared crd · capital_provider
- S•••••••• C••••••• L••• · Private Equityshared crd · organization
- S•••••••• C••••••• L••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/S••••••••-CAPITALreportedpublic record, Form ADV, Sep 18, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415.914.0782reportedpublic record, Form ADV, Mar 31, 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