DFX Intelligence
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SEC-registered adviser
S••••• P•••• C•••••• M••••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Mar 13, 2019 · 10 filings
SEC status approved since Apr 12, 2019
RAUM
$262M
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$262M as of Mar 19, 2026
Mar 13, 2020$333M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 19, 2026
Mar 13, 20200 then
Employees (5.A)3 as of Mar 19, 2026
Mar 13, 20204 then
Private funds1 as of Mar 19, 2026
Mar 13, 20203 then
RAUM -17% over the last fiscal year-1.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 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
- $131MderivedRAUM 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
- -17%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $262M, 2 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$262M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $262M for 2 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••• P•••• R••••••• A••••••• M••••• F••• L• | Hedge Fund | $335M | 74 | Apr 28, 2017 |
| S••••• P•••• R••••••• A••••••• P••••••• L•no longer reported | Hedge Fund | $190M | 43 | Apr 28, 2017 |
| S••••• P•••• R••••••• A••••••• P••••••• O•••••••• L•••no longer reported | Hedge Fund | $143M | 29 | Apr 28, 2017 |
Owners and control persons
Schedule A and B, latest filing
- A••••• B•••••••• E••••• · Managing Member/Ciocontrolsince 05/2009 · owns 75% or more
- D•••••• O•••••• J• · Cco/Coocontrolsince 02/2020 · owns less than 5%
Related persons
Schedule D 7.A
- S••••• P•••• C•••••• P•••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $315M to $262MMar 12, 2025 to Mar 19, 2026
- Discretionary RAUM · $315M to $262MMar 12, 2025 to Mar 19, 2026
- Pooled vehicle RAUM · $315M to $262MMar 12, 2025 to Mar 19, 2026
- RAUM · $315M to $262MMar 12, 2025 to Mar 19, 2026
- Advisory employees · 3 to 2Feb 28, 2024 to Mar 12, 2025
- Assets in custody · $335M to $315MFeb 28, 2024 to Mar 12, 2025
- Financial planning clients · unset to Feb 28, 2024 to Mar 12, 2025
- Discretionary RAUM · $335M to $315MFeb 28, 2024 to Mar 12, 2025
- Pooled vehicle RAUM · $335M to $315MFeb 28, 2024 to Mar 12, 2025
- RAUM · $335M to $315MFeb 28, 2024 to Mar 12, 2025
- Advisory employees · 2 to 3Mar 14, 2023 to Feb 28, 2024
- Assets in custody · $274M to $335MMar 14, 2023 to Feb 28, 2024
- Discretionary RAUM · $274M to $335MMar 14, 2023 to Feb 28, 2024
- Pooled vehicle RAUM · $274M to $335MMar 14, 2023 to Feb 28, 2024
- RAUM · $274M to $335MMar 14, 2023 to Feb 28, 2024
- Advisory employees · 1 to 2Mar 3, 2022 to Mar 14, 2023
- Assets in custody · $214M to $274MMar 3, 2022 to Mar 14, 2023
- Employees · 2 to 3Mar 3, 2022 to Mar 14, 2023
- Discretionary RAUM · $214M to $274MMar 3, 2022 to Mar 14, 2023
- Pooled vehicle RAUM · $214M to $274MMar 3, 2022 to Mar 14, 2023
- RAUM · $214M to $274MMar 3, 2022 to Mar 14, 2023
- Advisory employees · 3 to 1Apr 29, 2021 to Mar 3, 2022
- Assets in custody · unset to 214336339.0Apr 29, 2021 to Mar 3, 2022
- Custody of client assets · false to trueApr 29, 2021 to Mar 3, 2022
- Employees · 4 to 2Apr 29, 2021 to Mar 3, 2022
- Discretionary RAUM · $205M to $214MApr 29, 2021 to Mar 3, 2022
- Pooled vehicle RAUM · $205M to $214MApr 29, 2021 to Mar 3, 2022
- RAUM · $205M to $214MApr 29, 2021 to Mar 3, 2022
- Discretionary RAUM · $226M to $205MMar 26, 2021 to Apr 29, 2021
- Pooled vehicle RAUM · $226M to $205MMar 26, 2021 to Apr 29, 2021
- RAUM · $226M to $205MMar 26, 2021 to Apr 29, 2021
- HQ city · NEW YORK to RIVERHEADMar 13, 2020 to Mar 26, 2021
- Private funds · 3 to 1Mar 13, 2020 to Mar 26, 2021
- Discretionary RAUM · $333M to $226MMar 13, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $333M to $226MMar 13, 2020 to Mar 26, 2021
- RAUM · $333M to $226MMar 13, 2020 to Mar 26, 2021
- Advisory employees · 2 to 3May 1, 2019 to Mar 13, 2020
- Advisory activities · 2 to 1May 1, 2019 to Mar 13, 2020
- Employees · 3 to 4May 1, 2019 to Mar 13, 2020
- Discretionary RAUM · $183M to $333MMay 1, 2019 to Mar 13, 2020
Signals
5 dated events
- S••••• P•••• C•••••• M••••••••• L•• reported RAUM $226.3M, down 32% from $332.9M (2020-03-13 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- S••••• P•••• C•••••• M••••••••• L•• reported RAUM $332.9M, up 82% from $183.1M (2019-05-01 to 2020-03-13)Mar 13, 2020 · RAUM change · derived
- Devine Sean Donohue (Cco/Coo) no longer on Schedule A of S••••• P•••• C•••••• M••••••••• L•• (listed 2019-05-01, absent 2020-03-13)Mar 13, 2020 · Control person left · inference
- J O••••• D••••• (Cco/Coo) appeared on Schedule A of S••••• P•••• C•••••• M••••••••• L••Mar 13, 2020 · Control person joined · fact
- S••••• P•••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 13, 2019 · 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•••••••••.comreportedpublic record, Form ADV, Mar 19, 2026
- Principal office phone
- 914-999-2019reportedpublic record, Form ADV, Mar 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
- 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