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•••• S•••••••• C••••• F••• M••••••••• L••

Former SEC-registered adviserGreenwich, ConnecticutCRD 295464SEC 801-114740IAPD
Latest filing Mar 29, 2020
First filing on the tape Jan 23, 2019 · 2 filings
RAUM
$960M
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
145
56 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$960M as of Mar 29, 2020
Jan 23, 2019$958M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2020
Jan 23, 20190 then
Employees (5.A)145 as of Mar 29, 2020
Jan 23, 2019148 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 29, 2020; 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
$960MderivedRAUM 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
unknownderivedbetween 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 investment companiesreportedItem 5.G
Custody
$960M, 1 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$960M for 1 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M•••• E•••••• A• · Chief Executive Officer, Partner, S••••• P•••• C••••••• L•••control
        since 12/2001 · owns less than 5%
      • O••••• R•••••• J•••• · Chairman, Partner, S••••• P•••• C••••••• L•••control
        since 03/2002 · owns less than 5%
      • M•••• E•••••• A• · Chief Executive Officer, Partnercontrol
        since 12/2001 · owns 25% to 50% of S••••• P•••• C••••••• L•••
      • A••••• J•••• T••••• · Head Trader, Partner, S••••• P•••• C••••••• L•••
        since 11/2008 · owns less than 5%
      • C••• S••••••• P•••• · G•••••• Counsel, S••••• P•••• C••••••• L•••
        since 09/2019 · owns less than 5%
      • D••••• J••••• T•••• · Partner, S••••• P•••• C••••••• L•••
        since 03/2019 · owns less than 5%
      • D•••••• J•••• · Chief Financial Officer - Funds, S••••• P•••• C••••••• L•••
        since 01/2020 · owns less than 5%
      • G••••• M••••••• A•••••• · Head Of Restructuring, Partner, S••••• P•••• C••••••• L•••
        since 01/2003 · owns less than 5%
      • H••••• S••••• · Chief Financial Officer - Management Company, S••••• P•••• C••••••• L•••
        since 01/2020 · owns less than 5%
      • R•••••••• D••••• A• · Partner, S••••• P•••• C••••••• L•••
        since 03/2019 · owns less than 5%
      • S•••••• A•••••• O••••• · Chief Operating Officer, S••••• P•••• C••••••• L•••
        since 02/2018 · owns less than 5%
      • T••••• E••• R•••• · Head Of Investor Relations And Business Development, Partner, S••••• P•••• C••••••• L•••
        since 08/2003 · owns less than 5%
      • W•••••• S•••••• E•••••• · Chief Compliance Officer, S••••• P•••• C••••••• L•••
        since 01/2011 · owns less than 5%
      Entity owners
      • S••••• P•••• C••••••• L••• · Sole Member
        direct · owns 75% or more
      • S••••• P•••• C•••••• M••••••••• L•• · G•••••• Partner
        indirect · owns F of S••••• P•••• C••••••• L•••
      Related persons
      Schedule D 7.A
      • S••••• P•••• C•••••• G•••••• P••••••• L••
        investment adviserbankpooled vehicle sponsorn
      • S••••• P•••• C•••••• O••••••• G•••••• P••••••• L••
        investment adviserbankpooled vehicle sponsorn
      • S••••• P•••• C••••••• L•••
        investment adviserbankyRAUM $46B
      • S••••• P•••• D••••••••• O••••••••• M••••••••• L••
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      • S••••• P•••• D••••••••• O••••••••• O••••••• G•••••• P••••••• L••
        investment adviserbankpooled vehicle sponsorn
      • S••••• P•••• D••••••••• O••••••••• O•••••• G•••••• P••••••• L••
        investment adviserbankpooled vehicle sponsorn
      • S••••• P•••• S••••• G•••••• P••••••• L••
        investment adviserbankpooled vehicle sponsorn
      • S••••• P•••• S•••••••• C••••• F••• G•• L••
        investment adviserbankpooled vehicle sponsorn
      • S••••• P•••• S•••••••• C••••• F••• I• G•••••• P••••••• L••
        investment adviserbankpooled vehicle sponsorn
      • S••••• P•••• S•••••••• C••••• F••• I• M••••••••• L••
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      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 58 to 56
        Jan 23, 2019 to Mar 29, 2020
      • Assets in custody · $958M to $960M
        Jan 23, 2019 to Mar 29, 2020
      • Employees · 148 to 145
        Jan 23, 2019 to Mar 29, 2020
      • Discretionary RAUM · $958M to $960M
        Jan 23, 2019 to Mar 29, 2020
      • RAUM · $958M to $960M
        Jan 23, 2019 to Mar 29, 2020
      Signals
      1 dated events
      • S••••• P•••• S•••••••• C••••• F••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jan 23, 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.
      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