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•••• C••••••
Legal name S•••• P•••• C•••••• L••
Latest filing Mar 2, 2026
First filing on the tape Jun 23, 2020 · 8 filings
SEC status approved since Jul 23, 2020
RAUM
$1.5B
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
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$1.5B as of Mar 2, 2026
Mar 15, 2021$434M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 2, 2026
Mar 15, 20210 then
Employees (5.A)5 as of Mar 2, 2026
Mar 15, 20216 then
Private funds1 as of Mar 2, 2026
Mar 15, 20211 then
RAUM +37% over the last fiscal year+53% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 2, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $299MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 97%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
- +37%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 vehiclesreportedItem 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
- 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)
- 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
- Sovereign wealth funds$1.1B73%
- Pension and profit-sharing plans$350M23%
- Pooled investment vehicles$46.8M3.1%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.03 institutional_share=0.97 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•••• P•••• C•••••• P••••••• M••••• F••• L• | Hedge Fund | $120M | 38 | Mar 27, 2020 |
| S•••• P•••• C•••••• P••••••• L•no longer reported | Hedge Fund | $104M | 11 | Apr 1, 2016 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• M•••••• · Chief Financial Officercontrolsince 01/2022 · owns less than 5%
- S••••••• C••••••• R••• · Chief Compliance Officer / Chief Operating Officercontrolsince 03/2020 · owns less than 5%
- W••••••• R••••••• J••• · Chief Investment Officer / Portfolio Managercontrolsince 10/2014 · owns less than 5%
- W••••••• R••••••• J••• · Limited Partnercontrolsince 05/2019 · owns 75% or more of S•••• P•••• C•••••• M••••••••• L•
- W••••••• R••••••• J••• · Managing Membercontrolsince 05/2019 · owns 75% or more of S•••• L••
Entity owners
- S•••• P•••• C•••••• M••••••••• L• · Sole Member / Managing Memberdirect · owns 75% or more
- S•••• L•• · General Partnerindirect · owns F of S•••• P•••• C•••••• M••••••••• L•
Related persons
Schedule D 7.A
- S•••• L••y
- S•••• P•••• C•••••• G• L••bankpooled vehicle sponsorn
- S•••• P•••• C•••••• M••••••••• L•y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $1.1B to $1.5BMar 17, 2025 to Mar 2, 2026
- Pension RAUM · $323M to $350MMar 17, 2025 to Mar 2, 2026
- Pooled vehicle RAUM · $78.4M to $46.8MMar 17, 2025 to Mar 2, 2026
- RAUM · $1.1B to $1.5BMar 17, 2025 to Mar 2, 2026
- Financial planning clients · unset to Feb 5, 2024 to Mar 17, 2025
- Discretionary RAUM · $451M to $1.1BFeb 5, 2024 to Mar 17, 2025
- Pension RAUM · $162M to $323MFeb 5, 2024 to Mar 17, 2025
- Pooled vehicle RAUM · $120M to $78.4MFeb 5, 2024 to Mar 17, 2025
- RAUM · $451M to $1.1BFeb 5, 2024 to Mar 17, 2025
- Other offices · 1 to 0Feb 9, 2023 to Feb 5, 2024
- Discretionary RAUM · $421M to $451MFeb 9, 2023 to Feb 5, 2024
- Pension RAUM · $121M to $162MFeb 9, 2023 to Feb 5, 2024
- Pooled vehicle RAUM · $171M to $120MFeb 9, 2023 to Feb 5, 2024
- RAUM · $421M to $451MFeb 9, 2023 to Feb 5, 2024
- Advisory employees · 4 to 3Sep 12, 2022 to Feb 9, 2023
- Employees · 6 to 5Sep 12, 2022 to Feb 9, 2023
- Other offices · 0 to 1Sep 12, 2022 to Feb 9, 2023
- Discretionary RAUM · $757M to $421MSep 12, 2022 to Feb 9, 2023
- Pension RAUM · $184M to $121MSep 12, 2022 to Feb 9, 2023
- Pooled vehicle RAUM · $325M to $171MSep 12, 2022 to Feb 9, 2023
- RAUM · $757M to $421MSep 12, 2022 to Feb 9, 2023
- Accounts · 4 to 5Mar 15, 2021 to Feb 28, 2022
- Pension plan clients · unset to 1.0Mar 15, 2021 to Feb 28, 2022
- Discretionary RAUM · $434M to $757MMar 15, 2021 to Feb 28, 2022
- Pension RAUM · $100M to $184MMar 15, 2021 to Feb 28, 2022
- Pooled vehicle RAUM · $334M to $325MMar 15, 2021 to Feb 28, 2022
- RAUM · $434M to $757MMar 15, 2021 to Feb 28, 2022
- Accounts · 3 to 4Jun 23, 2020 to Mar 15, 2021
- Advisory activities · 1 to 2Jun 23, 2020 to Mar 15, 2021
- Employees · 5 to 6Jun 23, 2020 to Mar 15, 2021
- Private funds · 2 to 1Jun 23, 2020 to Mar 15, 2021
- Discretionary RAUM · $205M to $434MJun 23, 2020 to Mar 15, 2021
- Pension RAUM · unset to 100000000.0Jun 23, 2020 to Mar 15, 2021
- Pooled vehicle RAUM · $205M to $334MJun 23, 2020 to Mar 15, 2021
- RAUM · $205M to $434MJun 23, 2020 to Mar 15, 2021
Signals
7 dated events
- S•••• P•••• C•••••• reported RAUM $1.5B, up 37% from $1.1B (2025-03-17 to 2026-03-02)Mar 2, 2026 · RAUM change · derived
- S•••• P•••• C•••••• reported RAUM $1.1B, up 142% from $450.8M (2024-02-05 to 2025-03-17)Mar 17, 2025 · RAUM change · derived
- S•••• P•••• C•••••• reported RAUM $420.9M, down 44% from $757.4M (2022-09-12 to 2023-02-09)Feb 9, 2023 · RAUM change · derived
- S•••• P•••• C•••••• reported RAUM $757.4M, up 75% from $433.9M (2021-03-15 to 2022-02-28)Feb 28, 2022 · RAUM change · derived
- Michael Bartlett (Chief Financial Officer) appeared on Schedule A of S•••• P•••• C••••••Feb 28, 2022 · Control person joined · fact
- S•••• P•••• C•••••• reported RAUM $433.9M, up 111% from $205.2M (2020-06-23 to 2021-03-15)Mar 15, 2021 · RAUM change · derived
- S•••• P•••• C•••••• filed its initial SEC registration (Form ADV)Jun 23, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••• P•••• C•••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- S••••P••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (646) 847-3320reportedpublic record, Form ADV, Mar 2, 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
- Institutional managerderiveda 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