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••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 292281SEC 801-112838IAPD
Latest filing Mar 31, 2022
First filing on the tape Mar 14, 2018 · 6 filings
RAUM
$495M
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
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$435M gross assets
History
6 filings and snapshots on the tape
RAUM$495M as of Mar 31, 2022
Mar 27, 2019$347M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Mar 27, 20190 then
Employees (5.A)8 as of Mar 31, 2022
Mar 27, 20198 then
Private funds1 as of Mar 31, 2022
Mar 27, 20191 then
RAUM +9.1% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2022; 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
$124MderivedRAUM 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
$435M, 3 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$495M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$435M for 3 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
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 departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•••••••• P••••••• M••••• F••• L•Hedge Fund$435M46Mar 14, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • F••••• A•••••• J••••• · Limited Partner/Chief Operating Officer/General Counsel/Chief Compliance Officercontrol
        since 07/2017 · owns 10% to 25%
      • G•••••••• B••••• M•••••• · Limited Partner/Founder/Portfolio Managercontrol
        since 07/2017 · owns 75% or more
      • Z••••••• D•••••• B•••• · Trustee - T•• G••••••• F••••• 2••• T••••control
        since 12/2017 · owns less than 5%
      • G•••••••• B••••• M•••••• · Trustee - T•• G••••••• F••••• 2••• T••••control
        since 12/2017 · owns F of T•• G••••••• F••••• 2••• T••••
      • G•••••••• B••••• M•••••• · Owner/Managing Membercontrol
        since 07/2017 · owns 75% or more of S•••••••• P••••••• G• L••
      • Z••••••• D•••••• B•••• · Trustee - T•• G••••••• F••••• 2••• T••••control
        since 12/2017 · owns F of T•• G••••••• F••••• 2••• T••••
      Entity owners
      • S•••••••• P••••••• G• L•• · General Partner
        direct · owns less than 5%
      • T•• G••••••• F••••• 2••• T•••• · Limited Partner
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • S•••••••• P••••••• F••• G• L•
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 4
        Mar 26, 2021 to Mar 31, 2022
      • Pooled vehicle clients · 3 to 4
        Mar 26, 2021 to Mar 31, 2022
      • Assets in custody · $454M to $435M
        Mar 26, 2021 to Mar 31, 2022
      • Discretionary RAUM · $454M to $495M
        Mar 26, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $454M to $495M
        Mar 26, 2021 to Mar 31, 2022
      • RAUM · $454M to $495M
        Mar 26, 2021 to Mar 31, 2022
      • Assets in custody · $408M to $454M
        Mar 27, 2020 to Mar 26, 2021
      • Discretionary RAUM · $408M to $454M
        Mar 27, 2020 to Mar 26, 2021
      • Pooled vehicle RAUM · $408M to $454M
        Mar 27, 2020 to Mar 26, 2021
      • RAUM · $408M to $454M
        Mar 27, 2020 to Mar 26, 2021
      • Assets in custody · $347M to $408M
        Mar 27, 2019 to Mar 27, 2020
      • Discretionary RAUM · $347M to $408M
        Mar 27, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $347M to $408M
        Mar 27, 2019 to Mar 27, 2020
      • RAUM · $347M to $408M
        Mar 27, 2019 to Mar 27, 2020
      • Advisory employees · 5 to 6
        Aug 10, 2018 to Mar 27, 2019
      • Assets in custody · $258M to $347M
        Aug 10, 2018 to Mar 27, 2019
      • Discretionary RAUM · $258M to $347M
        Aug 10, 2018 to Mar 27, 2019
      • Pooled vehicle RAUM · $258M to $347M
        Aug 10, 2018 to Mar 27, 2019
      • RAUM · $258M to $347M
        Aug 10, 2018 to Mar 27, 2019
      • Accounts · unset to 3.0
        Mar 14, 2018 to Aug 10, 2018
      • Assets in custody · $0 to $258M
        Mar 14, 2018 to Aug 10, 2018
      • Discretionary RAUM · unset to 258488104.0
        Mar 14, 2018 to Aug 10, 2018
      • Non-discretionary RAUM · unset to 0.0
        Mar 14, 2018 to Aug 10, 2018
      • Pooled vehicle RAUM · $0 to $258M
        Mar 14, 2018 to Aug 10, 2018
      • RAUM · unset to 258488104.0
        Mar 14, 2018 to Aug 10, 2018
      Signals
      1 dated events
      • S•••••••• P••••••• L• filed its initial SEC registration (Form ADV)
        Mar 14, 2018 · 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.
      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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026