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••• S••••• C•••••• L••
Latest filing Mar 30, 2026
First filing on the tape Apr 17, 2019 · 12 filings
SEC status approved since May 20, 2019
RAUM
$2.0B
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
34
18 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
7
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$2.0B as of Mar 30, 2026
Mar 30, 2020$413M then
HNW client RAUM$0 as of Mar 30, 2026
Mar 30, 2020$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 30, 20200 then
Employees (5.A)34 as of Mar 30, 2026
Mar 30, 202014 then
Private funds7 as of Mar 30, 2026
Mar 30, 20206 then
RAUM +47% over the last fiscal year+4.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Bank affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- 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
- $283MderivedRAUM 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
- +47%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
- $966M, 7 clientsreportedItem 9.A
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.0B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $966M for 7 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
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•• P••••••• I•••• L• | Private Equity Fund | $935M | 173 | Mar 30, 2020 |
| S•• P••••••• I• L• | Private Equity Fund | $235M | 75 | Mar 29, 2019 |
| S•• P••••••• I•••• L• | Private Equity Fund | $132M | 16 | Mar 30, 2020 |
| S•• P••••••• C•••••• L• | Private Equity Fund | $90.3M | 34 | Mar 29, 2019 |
| S•• P••••••• I•• L• | Private Equity Fund | $19.3M | 6 | Mar 29, 2019 |
| S•• P••••••• I••••••••• L•no longer reported | Venture Capital Fund | $1.4M | 4 | Mar 30, 2020 |
Owners and control persons
Schedule A and B, latest filing
- F•••••••• D••••• A• · Ceocontrolsince 02/2015 · owns less than 5%
- F•••••••• D••••• A• · Trusteecontrolsince 11/2017 · owns 50% to 75% of D•••• A• F••••••• A•• R••••••• G•••• F••••••• R•••••••• T••••
- F•••••••• R•••••••• G•••• · Trusteecontrolsince 11/2017 · owns 50% to 75% of D•••• A• F••••••• A•• R••••••• G•••• F••••••• R•••••••• T••••
- A•••••• B•••• · Cfo, Ccosince 04/2019 · owns less than 5%
Entity owners
- D•••• A• F••••••• A•• R••••••• G•••• F••••••• R•••••••• T•••• · Memberdirect · owns 50% to 75%
- F•••• R••••••• T•••• C•••••• O• D••••••• L•• · Trusteeindirect · owns 75% or more of R••••••• F••••••• F••••• I••••••••• T••••
- F•••• R••••••• T•••• C•••••• O• D••••••• L•• · Trusteeindirect · owns 75% or more of D•••• F••••••• F••••• I••••••••• T••••
- D•••• F••••••• F••••• I••••••••• T•••• · Memberdirect · owns 10% to 25%
- R••••••• F••••••• F••••• I••••••••• T•••• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- S•• P••••••• G• C•••••• L•investment adviserpooled vehicle sponsorn
- S•• P••••••• I• G• L•investment adviserpooled vehicle sponsorn
- S•• P••••••• I• G• L••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Santa Monica, CA8 employees
What changed
consecutive filings, newest first
- Accounts · 5 to 7Dec 1, 2025 to Mar 30, 2026
- Advisory employees · 19 to 18Dec 1, 2025 to Mar 30, 2026
- Pooled vehicle clients · 5 to 7Dec 1, 2025 to Mar 30, 2026
- Assets in custody · $958M to $966MDec 1, 2025 to Mar 30, 2026
- Employees · 33 to 34Dec 1, 2025 to Mar 30, 2026
- Private funds · 5 to 7Dec 1, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.3B to $2.0BDec 1, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.3B to $2.0BDec 1, 2025 to Mar 30, 2026
- RAUM · $1.3B to $2.0BDec 1, 2025 to Mar 30, 2026
- Advisory employees · 24 to 19Feb 27, 2025 to Mar 27, 2025
- Assets in custody · $966M to $958MFeb 27, 2025 to Mar 27, 2025
- Employees · 24 to 33Feb 27, 2025 to Mar 27, 2025
- Financial planning clients · unset to Feb 27, 2025 to Mar 27, 2025
- Discretionary RAUM · $1.4B to $1.3BFeb 27, 2025 to Mar 27, 2025
- Pooled vehicle RAUM · $1.4B to $1.3BFeb 27, 2025 to Mar 27, 2025
- RAUM · $1.4B to $1.3BFeb 27, 2025 to Mar 27, 2025
- Assets in custody · $1.2B to $966MMar 30, 2023 to Mar 26, 2024
- Discretionary RAUM · $1.8B to $1.4BMar 30, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $1.8B to $1.4BMar 30, 2023 to Mar 26, 2024
- RAUM · $1.8B to $1.4BMar 30, 2023 to Mar 26, 2024
- Related adviser · false to trueMar 30, 2023 to Mar 26, 2024
- Advisory employees · 20 to 24Mar 31, 2022 to Mar 30, 2023
- Assets in custody · $900M to $1.2BMar 31, 2022 to Mar 30, 2023
- Employees · 21 to 24Mar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.4B to $1.8BMar 31, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $1.4B to $1.8BMar 31, 2022 to Mar 30, 2023
- RAUM · $1.4B to $1.8BMar 31, 2022 to Mar 30, 2023
- Advisory employees · 16 to 20Mar 31, 2021 to Mar 31, 2022
- Assets in custody · $205M to $900MMar 31, 2021 to Mar 31, 2022
- Employees · 19 to 21Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $544M to $1.4BMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $544M to $1.4BMar 31, 2021 to Mar 31, 2022
- RAUM · $544M to $1.4BMar 31, 2021 to Mar 31, 2022
- Accounts · 6 to 5Mar 30, 2020 to Mar 31, 2021
- Advisory employees · 12 to 16Mar 30, 2020 to Mar 31, 2021
- Pooled vehicle clients · 6 to 5Mar 30, 2020 to Mar 31, 2021
- Assets in custody · $413M to $205MMar 30, 2020 to Mar 31, 2021
- Employees · 14 to 19Mar 30, 2020 to Mar 31, 2021
- HQ city · SANTA MONICA to DALLASMar 30, 2020 to Mar 31, 2021
- HQ state · CA to TXMar 30, 2020 to Mar 31, 2021
Signals
5 dated events
- S••• S••••• C•••••• L•• reported RAUM $2.0B, up 47% from $1.3B (2025-12-01 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- S••• S••••• C•••••• L•• reported RAUM $1.4B, up 164% from $543.5M (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- S••• S••••• C•••••• L•• reported RAUM $543.5M, up 31% from $413.4M (2020-03-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- S••• S••••• C•••••• L•• reported RAUM $413.4M, up 35% from $305.6M (2019-05-10 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- S••• S••••• C•••••• L•• filed its initial SEC registration (Form ADV)Apr 17, 2019 · ria f•••• adv filing · fact
Across DFX
shared identifiers only, never a name match
- S••• S••••• C•••••• L•• · Independent Sponsorsshared crd · capital_provider
- S••• S••••• C•••••• L•• · Private Equityshared crd · organization
- S••• S••••• C•••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/S•••-S•••••-CAPITAL-LLCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (214) 617-4745reportedpublic record, Form ADV, Mar 30, 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