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••••• C•••••• M••••••••• L•••
Latest filing Apr 27, 2026
First filing on the tape Mar 28, 2018 · 13 filings
SEC status approved since Jun 25, 2020
RAUM
$3.7B
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
23
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
12
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$3.7B as of Apr 27, 2026
Mar 25, 2021$530M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 27, 2026
Mar 25, 20210 then
Employees (5.A)23 as of Apr 27, 2026
Mar 25, 20218 then
Private funds12 as of Apr 27, 2026
Mar 25, 20215 then
RAUM +57% over the last fiscal year+36% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 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
- $262MderivedRAUM 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
- +57%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
- $3.7B, 14 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)
- 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$3.7B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 14reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.7B for 14 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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••• C•••••• M••••• F•••• L••• | Hedge Fund | $1.6B | 471 | Nov 6, 2018 |
| S••••• P•••••• E••••• F••• I••• L••• | Private Equity Fund | $195M | 108 | Mar 15, 2023 |
| S••••• P•••••• E••••• F••• I•• L••• | Private Equity Fund | $181M | 125 | Mar 7, 2022 |
| S••••• P•••••• E••••• F••• I• L••• | Private Equity Fund | $25.3M | 59 | Nov 6, 2018 |
| S••••• B• S••• L•• | Private Equity Fund | $8.5M | 32 | Mar 30, 2020 |
| S••••• C•••••• S•••••• O••••••••• F•••• L••• | Hedge Fund | $7.2M | 42 | Mar 30, 2020 |
| S••••• B• S••• L••no longer reported | Private Equity Fund | $94,051 | 29 | Mar 25, 2021 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• M••••••• A•••••• · Chief Financial Officercontrolsince 05/2021 · owns less than 5%
- L•••• G••• B•••••• · Chief Investment Officer; Limited Partnercontrolsince 02/2018 · owns 50% to 75%
- M•••••••• S•••••• J••••• · Chief Operating Officer; Limited Partnercontrolsince 02/2018 · owns less than 5%
- S••••••• H•••••• J•••• · General Counsel; Chief Compliance Officercontrolsince 06/2024 · owns less than 5%
- D••••• C••••••• A••••• · Membercontrolsince 09/2018 · owns 50% to 75% of S• S••••• H••••••• L••
- F•••••••• S••••••• N•• · Membercontrolsince 09/2018 · owns 25% to 50% of S• S••••• H••••••• L••
- L•••• G••• B•••••• · Sole Ownercontrolsince 12/2017 · owns 75% or more of S••••• G• L••
- C•••••• D••••• A•••• · Limited Partnersince 04/2022 · owns 5% to 10%
- L•••• B•••••••• A••••• · Limited Partnersince 01/2024 · owns 5% to 10%
Entity owners
- S••••• G• L•• · General Partnerdirect · owns less than 5%
- S• S••••• H••••••• L•• · Limited Partnerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- S••••• C••••••• L••bankpooled vehicle sponsorn
- S••••• C••••• G• I• L••bankpooled vehicle sponsorn
- S••••• P•••••• E••••• G• I• L••bankpooled vehicle sponsorn
- S••••• P•••••• E••••• G• I•• L••bankpooled vehicle sponsorn
- S••••• P•••••• E••••• G• I••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 10 to 12Aug 20, 2025 to Mar 31, 2026
- Assets in custody · $2.3B to $3.7BAug 20, 2025 to Mar 31, 2026
- Employees · 20 to 23Aug 20, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.3B to $3.7BAug 20, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $2.3B to $3.7BAug 20, 2025 to Mar 31, 2026
- RAUM · $2.3B to $3.7BAug 20, 2025 to Mar 31, 2026
- Accounts · 8 to 14Jul 3, 2024 to Mar 28, 2025
- Advisory employees · 9 to 10Jul 3, 2024 to Mar 28, 2025
- Pooled vehicle clients · 8 to 14Jul 3, 2024 to Mar 28, 2025
- Assets in custody · $2.0B to $2.3BJul 3, 2024 to Mar 28, 2025
- Employees · 17 to 20Jul 3, 2024 to Mar 28, 2025
- Financial planning clients · unset to Jul 3, 2024 to Mar 28, 2025
- Private funds · 6 to 12Jul 3, 2024 to Mar 28, 2025
- Discretionary RAUM · $2.0B to $2.3BJul 3, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $2.0B to $2.3BJul 3, 2024 to Mar 28, 2025
- RAUM · $2.0B to $2.3BJul 3, 2024 to Mar 28, 2025
- Accounts · 9 to 8Mar 15, 2023 to Mar 26, 2024
- Advisory employees · 8 to 9Mar 15, 2023 to Mar 26, 2024
- Pooled vehicle clients · 9 to 8Mar 15, 2023 to Mar 26, 2024
- Assets in custody · $1.3B to $2.0BMar 15, 2023 to Mar 26, 2024
- Employees · 15 to 17Mar 15, 2023 to Mar 26, 2024
- Private funds · 7 to 6Mar 15, 2023 to Mar 26, 2024
- Discretionary RAUM · $1.5B to $2.0BMar 15, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $1.5B to $2.0BMar 15, 2023 to Mar 26, 2024
- RAUM · $1.5B to $2.0BMar 15, 2023 to Mar 26, 2024
- Accounts · 8 to 9Mar 7, 2022 to Mar 15, 2023
- Advisory employees · 6 to 8Mar 7, 2022 to Mar 15, 2023
- Pooled vehicle clients · 8 to 9Mar 7, 2022 to Mar 15, 2023
- Assets in custody · $944M to $1.3BMar 7, 2022 to Mar 15, 2023
- Employees · 13 to 15Mar 7, 2022 to Mar 15, 2023
- Private funds · 6 to 7Mar 7, 2022 to Mar 15, 2023
- Discretionary RAUM · $1.1B to $1.5BMar 7, 2022 to Mar 15, 2023
- Pooled vehicle RAUM · $1.1B to $1.5BMar 7, 2022 to Mar 15, 2023
- RAUM · $1.1B to $1.5BMar 7, 2022 to Mar 15, 2023
- Accounts · 7 to 8Apr 5, 2021 to Mar 7, 2022
- Advisory employees · 5 to 6Apr 5, 2021 to Mar 7, 2022
- Pooled vehicle clients · 7 to 8Apr 5, 2021 to Mar 7, 2022
- Assets in custody · $510M to $944MApr 5, 2021 to Mar 7, 2022
- Employees · 8 to 13Apr 5, 2021 to Mar 7, 2022
- Private funds · 5 to 6Apr 5, 2021 to Mar 7, 2022
Signals
10 dated events
- S••••• C•••••• M••••••••• L••• reported RAUM $3.7B, up 57% from $2.3B (2025-08-20 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- James Harold Schaaff (General Counsel; Chief Compliance Officer) appeared on Schedule A of S••••• C•••••• M••••••••• L•••Jul 3, 2024 · Control person joined · fact
- S••••• C•••••• M••••••••• L••• reported RAUM $2.0B, up 35% from $1.5B (2023-03-15 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- S••••• C•••••• M••••••••• L••• reported RAUM $1.5B, up 29% from $1.1B (2022-03-07 to 2023-03-15)Mar 15, 2023 · RAUM change · derived
- S••••• C•••••• M••••••••• L••• reported RAUM $1.1B, up 116% from $529.5M (2021-04-05 to 2022-03-07)Mar 7, 2022 · RAUM change · derived
- Anthony Michael Coppola (Chief Financial Officer) appeared on Schedule A of S••••• C•••••• M••••••••• L•••Mar 7, 2022 · Control person joined · fact
- S••••• C•••••• M••••••••• L••• reported RAUM $529.5M, up 81% from $292.2M (2020-05-19 to 2021-03-25)Mar 25, 2021 · RAUM change · derived
- Arthur Charles Davis (Member) appeared on Schedule A of S••••• C•••••• M••••••••• L•••May 19, 2020 · Control person joined · fact
- Nmn Stephen Friedman (Member) appeared on Schedule A of S••••• C•••••• M••••••••• L•••May 19, 2020 · Control person joined · fact
- S••••• C•••••• M••••••••• L••• filed its initial SEC registration (Form ADV)Mar 28, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••• C•••••• M••••••••• L••• · Independent Sponsorsshared crd · capital_provider
- S••••• C•••••• M••••••••• L••• · Private Equityshared crd · organization
- S••••• C•••••• M••••••••• L••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- soleuscapital.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 475-208-3178reportedpublic record, Form ADV, Apr 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