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••••• R••• F•••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Mar 18, 2016 · 31 filings
SEC status approved since Mar 25, 2016
RAUM
$5.4B
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
16 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
15
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$5.4B as of Mar 31, 2026
Mar 31, 2017$2.8B then
HNW client RAUM: $20.0M
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 31, 20170 then
Employees (5.A)31 as of Mar 31, 2026
Mar 31, 201722 then
Private funds15 as of Mar 31, 2026
Mar 31, 20173 then
RAUM -54% over the last fiscal year-11% 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
- $163MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.5%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
- -54%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 vehicles, otherreportedItem 5.G
- Custody
- $2.3B, 22 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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$4.5B85%
- Corporations and businesses$686M13%
- Insurance companies$126M2.4%
- Charitable organizations$9.2M0.2%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 33reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.3B for 22 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.84 institutional_share=0.03 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
37 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- D•••••• A••• · Chief Financial Officercontrolsince 03/2018 · owns less than 5%
- H••••••• P••••••• O••••• · Chief Compliance Officer / General Counselcontrolsince 10/2016 · owns less than 5%
- M••••• C•••• D••••• · Chief Executive Officer And Chief Investment Officercontrolsince 12/2015 · owns less than 5%
- M••••• C•••• D••••• · Trusteecontrolsince 12/2015 · owns F of M•••• C•••••••• P••••••• T••••
- M••••• C•••• D••••• · General Partnercontrolsince 10/2021 · owns F of M•••• C•••••••• P•••••••• L•
- M••••• K••••••• O•••• · Trusteecontrolsince 12/2015 · owns F of M•••• C•••••••• P••••••• T••••
Entity owners
- M•••• C•••••••• P•••••••• L• · Owner / Limited Partnerdirect · owns 25% to 50%
- S••••• R••• E••••••• L• · Owner / Limited Partnerdirect · owns 25% to 50%
- S••••• R••• F•••••••• G• L•• · General Partnerdirect · owns less than 5%
- M•••• C•••••••• P••••••• T•••• · Limited Partnerindirect · owns 75% or more of M•••• C•••••••• P•••••••• L•
- M•••• C•••••••• P•••••••• L• · Owner / Managing Memberindirect · owns 75% or more of S••••• R••• F•••••••• G• L••
- S••••• R••• F•••••••• G• L•• · General Partnerindirect · owns F of S••••• R••• E••••••• L•
Related persons
Schedule D 7.A
- S• S••• F••• G• L••pooled vehicle sponsorn
- S••• C•• G• L••pooled vehicle sponsorn
- S••• L• G• L••pooled vehicle sponsorn
- S••• M••••• F••• G• I• L••pooled vehicle sponsorn
- S••• O• G• L••pooled vehicle sponsorn
- S••• T•• 2••• G• L••pooled vehicle sponsorn
- S••• T•• 2••• G• L••pooled vehicle sponsorn
- S•• C• C•••• L••pooled vehicle sponsorn
- S•• M••••• F••• G• L••pooled vehicle sponsorn
- S•• O••••••• G• L••pooled vehicle sponsorn
- S•• O•••••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- New York, NY15 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $11,575,060,894 to $5,381,022,632 (-54.0%) between the annual amendments of 2025-03-26 and 2026-03-31; the peer median change was +13.0% (631 comparable advisers, 0.0th percentile of changes)peers: asset managers, $5B to $20B (631) · 0.2% percentile
What changed
consecutive filings, newest first
- Accounts · 78 to 33Nov 21, 2025 to Mar 31, 2026
- Advisory employees · 22 to 16Nov 21, 2025 to Mar 31, 2026
- Pooled vehicle clients · 72 to 28Nov 21, 2025 to Mar 31, 2026
- Assets in custody · $4.6B to $2.3BNov 21, 2025 to Mar 31, 2026
- Employees · 43 to 31Nov 21, 2025 to Mar 31, 2026
- Private funds · 35 to 15Nov 21, 2025 to Mar 31, 2026
- Discretionary RAUM · $12B to $5.4BNov 21, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $11B to $4.5BNov 21, 2025 to Mar 31, 2026
- RAUM · $12B to $5.4BNov 21, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 26, 2025 to May 22, 2025
- Private funds · 33 to 35Mar 26, 2025 to May 22, 2025
- Accounts · 58 to 78Nov 20, 2024 to Mar 26, 2025
- Advisory employees · 20 to 22Nov 20, 2024 to Mar 26, 2025
- Pooled vehicle clients · 52 to 72Nov 20, 2024 to Mar 26, 2025
- Assets in custody · $3.8B to $4.6BNov 20, 2024 to Mar 26, 2025
- Employees · 37 to 43Nov 20, 2024 to Mar 26, 2025
- Private funds · 34 to 33Nov 20, 2024 to Mar 26, 2025
- Discretionary RAUM · $8.1B to $12BNov 20, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $7.3B to $11BNov 20, 2024 to Mar 26, 2025
- RAUM · $8.1B to $12BNov 20, 2024 to Mar 26, 2025
- Private funds · 26 to 34Mar 26, 2024 to Nov 20, 2024
- Advisory employees · 19 to 20Sep 12, 2023 to Mar 26, 2024
- Assets in custody · $3.3B to $3.8BSep 12, 2023 to Mar 26, 2024
- Employees · 33 to 37Sep 12, 2023 to Mar 26, 2024
- Discretionary RAUM · $7.7B to $8.1BSep 12, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $7.0B to $7.3BSep 12, 2023 to Mar 26, 2024
- RAUM · $7.7B to $8.1BSep 12, 2023 to Mar 26, 2024
- Private funds · 25 to 26Mar 28, 2023 to Aug 17, 2023
- Accounts · 38 to 58Nov 21, 2022 to Mar 28, 2023
- Advisory employees · 15 to 19Nov 21, 2022 to Mar 28, 2023
- Advisory activities · 4 to 3Nov 21, 2022 to Mar 28, 2023
- Pooled vehicle clients · 29 to 52Nov 21, 2022 to Mar 28, 2023
- Assets in custody · $2.5B to $3.3BNov 21, 2022 to Mar 28, 2023
- Employees · 28 to 33Nov 21, 2022 to Mar 28, 2023
- Private funds · 26 to 25Nov 21, 2022 to Mar 28, 2023
- Discretionary RAUM · $4.4B to $7.7BNov 21, 2022 to Mar 28, 2023
- HNW RAUM · 19954583.0 to unsetNov 21, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $2.0M to $0Nov 21, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $4.0B to $7.0BNov 21, 2022 to Mar 28, 2023
- RAUM · $4.4B to $7.7BNov 21, 2022 to Mar 28, 2023
Signals
5 dated events
- S••••• R••• F•••••••• L• reported RAUM $5.4B, down 54% from $11.6B (2025-11-21 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- S••••• R••• F•••••••• L• reported RAUM $11.6B, up 43% from $8.1B (2024-11-20 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- S••••• R••• F•••••••• L• reported RAUM $7.7B, up 74% from $4.4B (2022-11-21 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- Vinay Kumar (Limited Partner) no longer on Schedule A of S••••• R••• F•••••••• L• (listed 2020-09-08, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- S••••• R••• F•••••••• L• filed its initial SEC registration (Form ADV)Mar 18, 2016 · 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
- S•••••-R•••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 424-371-9753reportedpublic 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