DFX Intelligence

RIA Intelligence

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SEC-registered adviser

S•• I••••••••• L•

Asset manager (funds and pooled vehicles)CRD 283397SEC 801-108352website IAPD

Latest filing Mar 26, 2026

First filing on the tape Aug 29, 2016 · 21 filings

SEC status approved since Feb 16, 2017

RAUM

$1.2B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

21 filings and snapshots on the tape

RAUM$1.2B as of Mar 26, 2026

Mar 27, 2018$705M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 26, 2026

Mar 27, 20180 then

Employees (5.A)4 as of Mar 26, 2026

Mar 27, 20186 then

Private funds11 as of Mar 26, 2026

Mar 27, 20184 then

RAUM -1.0% over the last fiscal year-3.9% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 26, 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: $90.6MderivedRAUM 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: -1.0%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, 13 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)
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)
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$1.2B100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 13reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $1.2B for 13 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

Every departure Every arrival

Private funds

16 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
R•• W••••••••• L•	Hedge Fund	$278M	12	Mar 28, 2019
S•• I••••••••• F•••• L•	Hedge Fund	$253M	53	Apr 27, 2016
S•• F•••• F•••• L•	Hedge Fund	$118M	20	Mar 30, 2021
S•• C••• E•••••• L•	Hedge Fund	$111M	30	Mar 27, 2018
M••• H•••••••• L••	Hedge Fund	$102M	2	Mar 30, 2021
R•• R••••••••• L•	Hedge Fund	$101M	10	Mar 28, 2019
R•• I••••••••• F•••• L•	Hedge Fund	$82.9M	1	Mar 29, 2022
S•• L•••••• L• •••••••• Z•••• P•••••••• L••••no longer reported	Hedge Fund	$66.2M	35	Mar 14, 2012
S•• G••••• A••••• F•••• L•no longer reported	Hedge Fund	$46.8M	16	Jun 30, 2017
S•• A•• A•••• F•••• L•	Hedge Fund	$45.2M	33	Jun 30, 2017
S•• G••••• O••••••••• L•	Hedge Fund	$43.9M	17	Mar 28, 2019
S•• C••• E••••• L••••••••• L•	Hedge Fund	$43.2M	25	Mar 29, 2022
S•• S••••• L••••••••• L•	Hedge Fund	$30.0M	9	Mar 18, 2024
S•• E••••• • M•••••• L•	Hedge Fund	$25.3M	7	Mar 30, 2021
S•• C•••••••• F••• ••••••••• L•no longer reported	Hedge Fund	$2.4M	1	Mar 26, 2020
S•• C•••••••• F••• •••••••• L•no longer reported	Hedge Fund	$2.4M	1	Mar 26, 2020

Owners and control persons

Schedule A and B, latest filing

C••••• S••••••• J••• · Limited Partnercontrol
since 03/2016 · owns 25% to 50%
D••••• K•••• S•••••••• · Chief Operating Officer, Chief Compliance Officer, And Chief Financial Officercontrol
since 03/2016 · owns less than 5%
S•••••• I••••• R••••• · Chairman And Chief Global Strategist - Limited Partner Of S•• I••••••••• L•control
since 05/2017 · owns 25% to 50%
C••••• S••••••• J••• · Membercontrol
since 01/2018 · owns 50% to 75% of S• P••••••• I••••••••• L••
S•••••• I••••• R••••• · Membercontrol
since 01/2018 · owns 50% to 75% of S• P••••••• I••••••••• L••

Entity owners

S• P••••••• I••••••••• L•• · General Partner
direct · owns less than 5%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

, 1 employees

What changed

consecutive filings, newest first

Advisory employees · 2 to 4
Mar 21, 2025 to Mar 26, 2026
Assets in custody · $1.2B to $1.2B
Mar 21, 2025 to Mar 26, 2026
Employees · 2 to 4
Mar 21, 2025 to Mar 26, 2026
Discretionary RAUM · $1.2B to $1.2B
Mar 21, 2025 to Mar 26, 2026
Pooled vehicle RAUM · $1.2B to $1.2B
Mar 21, 2025 to Mar 26, 2026
RAUM · $1.2B to $1.2B
Mar 21, 2025 to Mar 26, 2026
Accounts · 15 to 13
Sep 13, 2024 to Mar 21, 2025
Advisory employees · 4 to 2
Sep 13, 2024 to Mar 21, 2025
Pooled vehicle clients · 15 to 13
Sep 13, 2024 to Mar 21, 2025
Assets in custody · $1.2B to $1.2B
Sep 13, 2024 to Mar 21, 2025
Employees · 4 to 2
Sep 13, 2024 to Mar 21, 2025
Financial planning clients · unset to
Sep 13, 2024 to Mar 21, 2025
HQ city · ORINDA to
Sep 13, 2024 to Mar 21, 2025
HQ state · CA to
Sep 13, 2024 to Mar 21, 2025
Other offices · 2 to 1
Sep 13, 2024 to Mar 21, 2025
Discretionary RAUM · $1.2B to $1.2B
Sep 13, 2024 to Mar 21, 2025
Pooled vehicle RAUM · $1.2B to $1.2B
Sep 13, 2024 to Mar 21, 2025
RAUM · $1.2B to $1.2B
Sep 13, 2024 to Mar 21, 2025
Accounts · 17 to 15
Sep 26, 2023 to Mar 18, 2024
Pooled vehicle clients · 17 to 15
Sep 26, 2023 to Mar 18, 2024
Assets in custody · $1.3B to $1.2B
Sep 26, 2023 to Mar 18, 2024
Employees · 9 to 4
Sep 26, 2023 to Mar 18, 2024
Discretionary RAUM · $1.3B to $1.2B
Sep 26, 2023 to Mar 18, 2024
Pooled vehicle RAUM · $1.3B to $1.2B
Sep 26, 2023 to Mar 18, 2024
RAUM · $1.3B to $1.2B
Sep 26, 2023 to Mar 18, 2024
Assets in custody · $2.3B to $1.3B
Jan 5, 2023 to Mar 27, 2023
Discretionary RAUM · $2.3B to $1.3B
Jan 5, 2023 to Mar 27, 2023
Pooled vehicle RAUM · $2.3B to $1.3B
Jan 5, 2023 to Mar 27, 2023
RAUM · $2.3B to $1.3B
Jan 5, 2023 to Mar 27, 2023
Related adviser · true to false
Jan 5, 2023 to Mar 27, 2023
Employees · 11 to 9
Jul 28, 2022 to Jan 5, 2023
Other offices · 3 to 2
Jul 28, 2022 to Jan 5, 2023
Advisory employees · 5 to 4
Mar 29, 2022 to Apr 28, 2022
Employees · 12 to 11
Mar 29, 2022 to Apr 28, 2022
Other offices · 4 to 3
Mar 29, 2022 to Apr 28, 2022
Accounts · 16 to 17
Mar 30, 2021 to Mar 29, 2022
Pooled vehicle clients · 16 to 17
Mar 30, 2021 to Mar 29, 2022
Assets in custody · $2.2B to $2.3B
Mar 30, 2021 to Mar 29, 2022
Employees · 10 to 12
Mar 30, 2021 to Mar 29, 2022
Other offices · 2 to 4
Mar 30, 2021 to Mar 29, 2022

Signals

6 dated events

Jahryun Willis Koo (Chief Financial Officer) no longer on Schedule A of S•• I••••••••• L• (listed 2024-03-18, absent 2024-09-13)
Sep 13, 2024 · Control person left · inference
S•• I••••••••• L• reported RAUM $1.3B, down 41% from $2.3B (2023-01-05 to 2023-03-27)
Mar 27, 2023 · RAUM change · derived
S•• I••••••••• L• reported RAUM $2.2B, up 32% from $1.7B (2020-05-06 to 2021-03-30)
Mar 30, 2021 · RAUM change · derived
S•• I••••••••• L• reported RAUM $1.5B, up 107% from $705.2M (2018-03-27 to 2019-03-28)
Mar 28, 2019 · RAUM change · derived
S•• I••••••••• L• reported RAUM $705.2M, up 71% from $413.5M (2017-06-30 to 2018-03-27)
Mar 27, 2018 · RAUM change · derived
S•• I••••••••• L• filed its initial SEC registration (Form ADV)
Aug 29, 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: w••.s•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 925.253.1800reportedpublic record, Form ADV, Mar 26, 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