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••• E••••• P•••••••• L•
Latest filing Mar 27, 2026
First filing on the tape Oct 28, 2016 · 20 filings
SEC status approved since Nov 8, 2016
RAUM
$1.9B
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
15
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$1.9B as of Mar 27, 2026
Mar 10, 2017$353M then
HNW client RAUM$0 as of Mar 27, 2026
Mar 16, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 10, 20170 then
Employees (5.A)15 as of Mar 27, 2026
Mar 10, 20179 then
Private funds2 as of Mar 27, 2026
Mar 10, 20171 then
RAUM -9.1% over the last fiscal year-8.1% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Mar 27, 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
- $487MderivedRAUM 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
- -9.1%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
- yesreportedItem 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)
- 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$1.9B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••• P•••••••• L• | Hedge Fund | $2.0B | 407 | Oct 28, 2016 |
| S••• L••• O••••••••• L• | Hedge Fund | $418M | 41 | Feb 28, 2024 |
Owners and control persons
Schedule A and B, latest filing
- A•••••••• J•••••••• K•••• · Chief Operating Officercontrolsince 11/2022 · owns less than 5%
- L•••• J••••••• L••• · Chief Compliance Officer/Vp Operationscontrolsince 07/2022 · owns less than 5%
- L•••••••• J••••• D•••• · Chief Financial Officercontrolsince 11/2022 · owns less than 5%
- S••••• G••• N•• · Chief Investment Officercontrolsince 03/2016 · owns less than 5%
- S••••• D•••••••• E•••• · Trusteecontrolsince 06/2012 · owns F of 2••• G•• A•• D••••••• S•••• F••••• T••••
- S••••• G••• N•• · Managing Membercontrolsince 03/2016 · owns F of S••• E••••• H•••••••• L••
- S••••• G••• N•• · Trusteecontrolsince 06/2012 · owns F of 2••• G•• A•• D••••••• S•••• F••••• T••••
Entity owners
- S••• E••••• H•••••••• L•• · General Partnerdirect · owns less than 5%
- 2••• G•• A•• D••••••• S•••• F••••• T•••• · Ownerindirect · owns 75% or more of S••• Equity Holdings LLC
- 2••• G•• A•• D••••••• S•••• F••••• T•••• · Limited Partnerdirect · owns 75% or more
Related persons
Schedule D 7.A
- S••• E••••• L••• O••••••••• L••bankpooled vehicle sponsorn
- S••• E••••• P•••••••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Stamford, CT1 employees
What changed
consecutive filings, newest first
- Advisory employees · 5 to 4Mar 27, 2025 to Mar 27, 2026
- Other offices · 1 to 0Mar 27, 2025 to Mar 27, 2026
- Discretionary RAUM · $2.1B to $1.9BMar 27, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $2.1B to $1.9BMar 27, 2025 to Mar 27, 2026
- RAUM · $2.1B to $1.9BMar 27, 2025 to Mar 27, 2026
- Advisory employees · 6 to 5Mar 27, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $2.4B to $2.1BMar 27, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $2.4B to $2.1BMar 27, 2024 to Mar 27, 2025
- RAUM · $2.4B to $2.1BMar 27, 2024 to Mar 27, 2025
- Accounts · 2 to 4Feb 28, 2024 to Mar 27, 2024
- Advisory employees · 5 to 6Feb 28, 2024 to Mar 27, 2024
- Pooled vehicle clients · 2 to 4Feb 28, 2024 to Mar 27, 2024
- Employees · 13 to 15Feb 28, 2024 to Mar 27, 2024
- Discretionary RAUM · $2.5B to $2.4BFeb 28, 2024 to Mar 27, 2024
- Pooled vehicle RAUM · $2.5B to $2.4BFeb 28, 2024 to Mar 27, 2024
- RAUM · $2.5B to $2.4BFeb 28, 2024 to Mar 27, 2024
- Private funds · 1 to 2Mar 28, 2023 to Feb 28, 2024
- Discretionary RAUM · $4.0B to $2.5BNov 22, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $4.0B to $2.5BNov 22, 2022 to Mar 27, 2023
- RAUM · $4.0B to $2.5BNov 22, 2022 to Mar 27, 2023
- Employees · 12 to 13Mar 25, 2021 to Mar 31, 2022
- Discretionary RAUM · $4.5B to $4.0BMar 25, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $4.5B to $4.0BMar 25, 2021 to Mar 31, 2022
- RAUM · $4.5B to $4.0BMar 25, 2021 to Mar 31, 2022
- Advisory employees · 4 to 5Mar 26, 2020 to Mar 25, 2021
- Assets in custody · $2.6B to $0Mar 26, 2020 to Mar 25, 2021
- Employees · 10 to 12Mar 26, 2020 to Mar 25, 2021
- Discretionary RAUM · $2.6B to $4.5BMar 26, 2020 to Mar 25, 2021
- Pooled vehicle RAUM · $2.6B to $4.5BMar 26, 2020 to Mar 25, 2021
- RAUM · $2.6B to $4.5BMar 26, 2020 to Mar 25, 2021
- Assets in custody · $1.3B to $2.6BMar 22, 2019 to Mar 26, 2020
- Financial planning clients · 0 to unsetMar 22, 2019 to Mar 26, 2020
- Discretionary RAUM · $1.3B to $2.6BMar 22, 2019 to Mar 26, 2020
- Pooled vehicle RAUM · $1.3B to $2.6BMar 22, 2019 to Mar 26, 2020
- RAUM · $1.3B to $2.6BMar 22, 2019 to Mar 26, 2020
- Assets in custody · $874M to $1.3BDec 7, 2018 to Mar 22, 2019
- Employees · 9 to 10Dec 7, 2018 to Mar 22, 2019
- Discretionary RAUM · $887M to $1.3BDec 7, 2018 to Mar 22, 2019
- Pooled vehicle RAUM · $887M to $1.3BDec 7, 2018 to Mar 22, 2019
Signals
11 dated events
- S••• E••••• P•••••••• L• reported RAUM $2.5B, down 37% from $4.0B (2022-11-22 to 2023-03-27)Mar 27, 2023 · RAUM change · derived
- David James Lindberg (Chief Financial Officer) appeared on Schedule A of S••• E••••• P•••••••• L•Nov 22, 2022 · Control person joined · fact
- Keith Jeremiah Atkisson (Chief Operating Officer) appeared on Schedule A of S••• E••••• P•••••••• L•Nov 22, 2022 · Control person joined · fact
- Pei Cindy Yang (Chief Financial Officer/Chief Operating Officer) no longer on Schedule A of S••• E••••• P•••••••• L• (listed 2022-07-12, absent 2022-11-22)Nov 22, 2022 · Control person left · inference
- Elise Danielle Simon (Trustee) appeared on Schedule A of S••• E••••• P•••••••• L•Jul 12, 2022 · Control person joined · fact
- Jessica Lane (Chief Compliance Officer/Vp Operations) appeared on Schedule A of S••• E••••• P•••••••• L•Jul 1, 2022 · Control person joined · fact
- S••• E••••• P•••••••• L• reported RAUM $4.5B, up 78% from $2.6B (2020-03-26 to 2021-03-25)Mar 25, 2021 · RAUM change · derived
- S••• E••••• P•••••••• L• reported RAUM $2.6B, up 94% from $1.3B (2019-03-22 to 2020-03-26)Mar 26, 2020 · RAUM change · derived
- S••• E••••• P•••••••• L• reported RAUM $1.3B, up 48% from $887.2M (2018-12-07 to 2019-03-22)Mar 22, 2019 · RAUM change · derived
- S••• E••••• P•••••••• L• reported RAUM $887.2M, up 125% from $393.9M (2017-03-28 to 2018-03-16)Mar 16, 2018 · RAUM change · derived
- S••• E••••• P•••••••• L• filed its initial SEC registration (Form ADV)Oct 28, 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•••EQUITY.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 415-318-8960reportedpublic record, Form ADV, Mar 27, 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