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••••••••• P•••••• E•••••
Legal name S••••••••• I••••••••• M••••••••• L••
Latest filing Aug 31, 2026
First filing on the tape Nov 4, 2019 · 16 filings
SEC status approved since Dec 4, 2019
RAUM
$1.6B
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
20
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
11
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$1.6B as of Aug 31, 2026
Mar 23, 2020$315M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 31, 2026
Mar 23, 20200 then
Employees (5.A)20 as of Aug 31, 2026
Mar 23, 20207 then
Private funds11 as of Aug 31, 2026
Mar 23, 20205 then
RAUM +22% over the last fiscal year+24% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Aug 31, 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
- $113MderivedRAUM 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
- +22%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
- yesreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.6B100%
- 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
- $0 for 0 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
11 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••••• P•••••• E••••• I•• L••• | Private Equity Fund | $408M | 98 | Mar 29, 2022 |
| S••••••••• S••••••••• F••• I• L••• | Private Equity Fund | $398M | 95 | Jul 17, 2018 |
| S••••••••• I•• B• L• | Private Equity Fund | $78.6M | 4 | Mar 28, 2024 |
| S••••••••• I•• A• L• | Private Equity Fund | $36.6M | 5 | Mar 28, 2024 |
| S••••••••• I• E• L• | Private Equity Fund | $32.1M | 4 | Mar 29, 2022 |
| S• S••••••••• I• A• L••no longer reported | Private Equity Fund | $27.4M | 1 | Jul 17, 2018 |
| S••••••••• I• C• L••no longer reported | Private Equity Fund | $20.9M | 1 | Nov 4, 2019 |
| S••••••••• S••••••••• A••••••••• F••• I• L••• | Private Equity Fund | $19.3M | 13 | Mar 30, 2021 |
| S••••••••• R••••••••• L••no longer reported | Private Equity Fund | $6.5M | 1 | Nov 4, 2019 |
| S• S••••••••• I• B• L••no longer reported | Private Equity Fund | $4.7M | 4 | Nov 4, 2019 |
| S••••••••• I• D• L•no longer reported | Venture Capital Fund | $49,020 | 3 | Mar 30, 2021 |
Owners and control persons
Schedule A and B, latest filing
- G•••••• J••••• B••••• · Managing Partnercontrolsince 04/2018 · owns less than 5%
- G••••••• B••••• A•••••• · Managing Partnercontrolsince 06/2018 · owns less than 5%
- G••••••••• T•••••• P• · Chief Compliance Officercontrolsince 08/2019 · owns less than 5%
- P•••••• G••••••• D•••• · Managing Partnercontrolsince 04/2018 · owns less than 5%
- G•••••• J••••• B••••• · Managing Membercontrolsince 12/2021 · owns 75% or more of Gamett Holdco LLC
- G••••••• B••••• A•••••• · Managing Membercontrolsince 02/2019 · owns 75% or more of Mbsc Ventures LLC
- P•••••• G••••••• D•••• · Managing Membercontrolsince 12/2021 · owns 75% or more of Collabor8 Partners LLC
Entity owners
- C•••••••• P••••••• L•• · Memberdirect · owns 25% to 50%
- G••••• H••••• L•• · Memberdirect · owns 50% to 75%
- M••• V••••••• L•• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- S••••••••• P•••••• E••••• I•• G• L••pooled vehicle sponsorn
- S••••••••• S••••••••• F••• I• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Charleston, SC2 employees
What changed
consecutive filings, newest first
- Accounts · 12 to 14Aug 14, 2025 to Mar 30, 2026
- Advisory employees · 14 to 11Aug 14, 2025 to Mar 30, 2026
- Advisory activities · 2 to 1Aug 14, 2025 to Mar 30, 2026
- Pooled vehicle clients · 12 to 14Aug 14, 2025 to Mar 30, 2026
- Employees · 21 to 20Aug 14, 2025 to Mar 30, 2026
- Other offices · 1 to 0Aug 14, 2025 to Mar 30, 2026
- Private funds · 9 to 11Aug 14, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.4B to $1.6BAug 14, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.4B to $1.6BAug 14, 2025 to Mar 30, 2026
- RAUM · $1.4B to $1.6BAug 14, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.3B to $1.4BMar 28, 2025 to Aug 14, 2025
- Pooled vehicle RAUM · $1.3B to $1.4BMar 28, 2025 to Aug 14, 2025
- RAUM · $1.3B to $1.4BMar 28, 2025 to Aug 14, 2025
- Accounts · 9 to 12Jun 12, 2024 to Mar 28, 2025
- Advisory employees · 11 to 14Jun 12, 2024 to Mar 28, 2025
- Pooled vehicle clients · 8 to 12Jun 12, 2024 to Mar 28, 2025
- Assets in custody · unset to 0.0Jun 12, 2024 to Mar 28, 2025
- Custody of client assets · false to trueJun 12, 2024 to Mar 28, 2025
- Employees · 14 to 21Jun 12, 2024 to Mar 28, 2025
- Financial planning clients · unset to Jun 12, 2024 to Mar 28, 2025
- Private funds · 6 to 9Jun 12, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.1B to $1.3BJun 12, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $39.5M to $0Jun 12, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $1.1B to $1.3BJun 12, 2024 to Mar 28, 2025
- RAUM · $1.1B to $1.3BJun 12, 2024 to Mar 28, 2025
- Accounts · 7 to 9Mar 29, 2023 to Mar 28, 2024
- Advisory employees · 7 to 11Mar 29, 2023 to Mar 28, 2024
- Pooled vehicle clients · 6 to 8Mar 29, 2023 to Mar 28, 2024
- Employees · 10 to 14Mar 29, 2023 to Mar 28, 2024
- Other offices · 0 to 1Mar 29, 2023 to Mar 28, 2024
- Private funds · 4 to 6Mar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $787M to $1.1BMar 29, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $37.1M to $39.5MMar 29, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $787M to $1.1BMar 29, 2023 to Mar 28, 2024
- RAUM · $824M to $1.1BMar 29, 2023 to Mar 28, 2024
- Accounts · 8 to 7May 5, 2022 to Mar 29, 2023
- Advisory employees · 8 to 7May 5, 2022 to Mar 29, 2023
- Pooled vehicle clients · 7 to 6May 5, 2022 to Mar 29, 2023
- Other offices · 1 to 0May 5, 2022 to Mar 29, 2023
- Private funds · 5 to 4May 5, 2022 to Mar 29, 2023
Signals
5 dated events
- Sweetwater Private Equity reported RAUM $1.1B, up 38% from $823.9M (2023-03-29 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Sweetwater Private Equity reported RAUM $887.6M, up 49% from $596.0M (2021-04-29 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- Sweetwater Private Equity reported RAUM $586.1M, up 86% from $314.7M (2020-10-30 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- Sweetwater Private Equity reported RAUM $314.7M, up 52% from $206.8M (2019-11-04 to 2020-03-23)Mar 23, 2020 · RAUM change · derived
- Sweetwater Investment Management Llc filed its initial SEC registration (Form ADV)Nov 4, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Sweetwater Private Equity · Independent Sponsorsshared crd · capital_provider
- Sweetwater Private Equity · Private Equityshared crd · organization
- Sweetwater Private Equity · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/sweetwater-private-equity/?viewAsMemberreportedpublic record, Form ADV, Sep 18, 2026
- Website
- SWEETWATERPE.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 760-652-6353reportedpublic record, Form ADV, Aug 31, 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