DFX Intelligence
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SEC-registered adviser
S••••• C•••••• • P•••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Jun 23, 2021 · 10 filings
SEC status approved since Jul 29, 2021
RAUM
$265M
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
18
18 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$265M as of Mar 31, 2026
Mar 31, 2022$359M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 31, 20220 then
Employees (5.A)18 as of Mar 31, 2026
Mar 31, 202221 then
Private funds1 as of Mar 31, 2026
Mar 31, 20221 then
RAUM +22% over the last fiscal year+5.4% 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
- $53.0MderivedRAUM 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
- +22%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
- $154M, 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)
- compensates persons for client referrals (8.G.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$265M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $154M 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=false 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G••••• V••••••••• V••••••• M•••••• L••• | Hedge Fund | $112M | 78 | Apr 8, 2016 |
Owners and control persons
Schedule A and B, latest filing
- F•••• A•••••• D•••• · Cco/Coocontrolsince 12/2015 · owns less than 5%
- L••••• M•••••• I•• · Chief Legal Officercontrolsince 01/2019 · owns less than 5%
- S•••••• A•••• D•••• · Chief Investment Officercontrolsince 11/2015 · owns 75% or more
Related persons
Schedule D 7.A
- S••••• P••••••• G•• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 7 to 18Dec 1, 2025 to Mar 31, 2026
- Assets in custody · $132M to $154MDec 1, 2025 to Mar 31, 2026
- Employees · 7 to 18Dec 1, 2025 to Mar 31, 2026
- Discretionary RAUM · $216M to $265MDec 1, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $216M to $265MDec 1, 2025 to Mar 31, 2026
- RAUM · $216M to $265MDec 1, 2025 to Mar 31, 2026
- Advisory employees · 6 to 7Feb 27, 2024 to Mar 31, 2025
- Assets in custody · $112M to $132MFeb 27, 2024 to Mar 31, 2025
- Employees · 6 to 7Feb 27, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Feb 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $187M to $216MFeb 27, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $187M to $216MFeb 27, 2024 to Mar 31, 2025
- RAUM · $187M to $216MFeb 27, 2024 to Mar 31, 2025
- Advisory employees · 12 to 6Apr 24, 2023 to Feb 27, 2024
- Assets in custody · $226M to $112MApr 24, 2023 to Feb 27, 2024
- Employees · 15 to 6Apr 24, 2023 to Feb 27, 2024
- Discretionary RAUM · $226M to $187MApr 24, 2023 to Feb 27, 2024
- Pooled vehicle RAUM · $226M to $187MApr 24, 2023 to Feb 27, 2024
- RAUM · $226M to $187MApr 24, 2023 to Feb 27, 2024
- Advisory employees · 18 to 12Sep 9, 2022 to Mar 30, 2023
- Assets in custody · $324M to $226MSep 9, 2022 to Mar 30, 2023
- Employees · 21 to 15Sep 9, 2022 to Mar 30, 2023
- Discretionary RAUM · $359M to $226MSep 9, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $359M to $226MSep 9, 2022 to Mar 30, 2023
- RAUM · $359M to $226MSep 9, 2022 to Mar 30, 2023
- Advisory employees · 15 to 18Jun 24, 2021 to Mar 31, 2022
- Assets in custody · $278M to $324MJun 24, 2021 to Mar 31, 2022
- Employees · 19 to 21Jun 24, 2021 to Mar 31, 2022
- Discretionary RAUM · $319M to $359MJun 24, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $319M to $359MJun 24, 2021 to Mar 31, 2022
- RAUM · $319M to $359MJun 24, 2021 to Mar 31, 2022
- Private funds · 2 to 1Jun 23, 2021 to Jun 24, 2021
Signals
3 dated events
- Joseph Anthony Picone (Chief Financial Officer) no longer on Schedule A of S••••• C•••••• • P•••••••• I••• (listed 2023-03-30, absent 2023-04-24)Apr 24, 2023 · Control person left · inference
- S••••• C•••••• • P•••••••• I••• reported RAUM $225.8M, down 37% from $359.2M (2022-09-09 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- S••••• C•••••• • P•••••••• I••• filed its initial SEC registration (Form ADV)Jun 23, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••• C•••••• • P•••••••• I••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- S•••••COMPANY.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-893-7459reportedpublic 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