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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Former SEC-registered adviser

S••••••••• P•••••••

Former SEC-registered adviserChicago, IllinoisCRD 287968SEC 801-124707websiteIAPD
Legal name S••••••••• P•••••••• L••
Latest filing Sep 24, 2024
First filing on the tape Mar 23, 2022 · 10 filings
SEC status approved since Apr 22, 2022
RAUM
$42.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$40.1M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$21.0M
derived; firm RAUM over IAPD count
Employees
9
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$42.1M as of Mar 25, 2024
Mar 28, 2023$506M then
HNW client RAUM$29.9M as of Mar 25, 2024
Mar 28, 2023$444M then
State-registered IARs (5.B.3)2 as of Mar 25, 2024
Mar 28, 20232 then
Employees (5.A)9 as of Mar 25, 2024
Mar 28, 20238 then
Private funds: no history
RAUM -92% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Sep 24, 2024; every figure names its basis
RAUM per advisor
$21.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
13derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.0MderivedHNW RAUM over HNW clients
Average account
$452,606derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
4.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.5derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-92%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-92%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, publications, otherreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$29.9M71%
  • Individuals$10.2M24%
  • Charitable organizations$1.7M4.0%
  • Other investment advisers$310,2750.7%
Individual clients
15reported
HNW clients
10reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
93reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
A•••• D••••• D•••••Chartered Financial AnalystChicago, IlJun 1, 201722 y2
P••• S••••• C•••••••Chartered Financial AnalystChicago, Il Jun 1, 201711 y0
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C•••••••• P•••• S••••• · Owner, Managing Member & Director Of Reasearchcontrol
      since 03/2017 · owns 25% to 50%
    • D•••••• A••••• D••••• · Owner, Managing Member & Chief Compliance Officercontrol
      since 03/2017 · owns 25% to 50%
    • D•••••• D••••• · Owner
      since 08/2017 · owns less than 5%
    • D•••••• E••••• · Owner
      since 08/2017 · owns less than 5%
    • D•••••• J••• · Owner
      since 08/2017 · owns 5% to 10%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Chicago, Il · principal200
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 771 to 93
      Mar 28, 2023 to Mar 25, 2024
    • HNW clients · 194 to 10
      Mar 28, 2023 to Mar 25, 2024
    • Individual clients · 138 to 15
      Mar 28, 2023 to Mar 25, 2024
    • Pension plan clients · 10.0 to unset
      Mar 28, 2023 to Mar 25, 2024
    • Employees · 8 to 9
      Mar 28, 2023 to Mar 25, 2024
    • Discretionary RAUM · $506M to $42.1M
      Mar 28, 2023 to Mar 25, 2024
    • HNW RAUM · $444M to $29.9M
      Mar 28, 2023 to Mar 25, 2024
    • Individual RAUM · $36.9M to $10.2M
      Mar 28, 2023 to Mar 25, 2024
    • Pension RAUM · $12.3M to $0
      Mar 28, 2023 to Mar 25, 2024
    • RAUM · $506M to $42.1M
      Mar 28, 2023 to Mar 25, 2024
    • Accounts · 236 to 771
      Nov 30, 2022 to Mar 28, 2023
    • Corporate clients · unset to 0.0
      Nov 30, 2022 to Mar 28, 2023
    • HNW clients · 85 to 194
      Nov 30, 2022 to Mar 28, 2023
    • Individual clients · 89 to 138
      Nov 30, 2022 to Mar 28, 2023
    • Pension plan clients · 8 to 10
      Nov 30, 2022 to Mar 28, 2023
    • Employees · 6 to 8
      Nov 30, 2022 to Mar 28, 2023
    • Other offices · 0 to 1
      Nov 30, 2022 to Mar 28, 2023
    • Discretionary RAUM · $194M to $506M
      Nov 30, 2022 to Mar 28, 2023
    • HNW RAUM · $147M to $444M
      Nov 30, 2022 to Mar 28, 2023
    • Individual RAUM · $33.3M to $36.9M
      Nov 30, 2022 to Mar 28, 2023
    • Pension RAUM · $5.8M to $12.3M
      Nov 30, 2022 to Mar 28, 2023
    • RAUM · $194M to $506M
      Nov 30, 2022 to Mar 28, 2023
    Signals
    4 dated events
    • S••••••••• P••••••• no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $42.1M)
      Mar 6, 2025 · Left the SEC roster · derived
    • S••••••••• P••••••• reported RAUM $42.1M, down 92% from $506.4M (2023-03-28 to 2024-03-25)
      Mar 25, 2024 · RAUM change · derived
    • S••••••••• P••••••• reported RAUM $506.4M, up 161% from $193.9M (2022-11-30 to 2023-03-28)
      Mar 28, 2023 · RAUM change · derived
    • S••••••••• P••••••• filed its initial SEC registration (Form ADV)
      Mar 23, 2022 · 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
    Firm profile
    LINKEDIN.COM/COMPANY/S•••••••••-PARTNERSreportedpublic record, Form ADV, Sep 19, 2026
    Website
    S•••••••••-PARTNERS.COMreportedpublic record, Form ADV, Sep 19, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $21.0Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026