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 Jul 1, 2026
First filing on the tape Aug 27, 2021 · 15 filings
SEC status approved since Oct 1, 2021
RAUM
$350M
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
9
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
10
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$350M as of Jul 1, 2026
Mar 29, 2022$4.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 1, 2026
Mar 29, 20220 then
Employees (5.A)9 as of Jul 1, 2026
Mar 29, 202212 then
Private funds10 as of Jul 1, 2026
Mar 29, 202215 then
RAUM -30% over the last fiscal year-60% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 1, 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
- $29.2MderivedRAUM 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
- -30%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 vehicles, otherreportedItem 5.G
- 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)
- 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$208M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 12reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.59 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
18 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- D••••••• D••••• M•••••• · Chief Investment Officer, Directorcontrolsince 02/2020 · owns less than 5%
- O••••• R••••••• T••••• · Chief Compliance Officercontrolsince 08/2021 · owns less than 5%
- P•••••• B•••• N•• · Directorcontrolsince 02/2018 · owns less than 5%
- S•••• D• Q••••••• B•••••••• N•• · Chief Operation Officer And Directorcontrolsince 07/2019 · owns less than 5%
- D• A•••••• L•••••••• L•••••••• N•• · Managercontrolsince 05/2018 · owns F of S•• C•••••• H•••••• L•••
- D• A••••• X•••••• R••••••• R•••••••• E•••••••• · Ownercontrolsince 05/2018 · owns 25% to 50% of S•• C•••••• H•••••• L•••
- M•••• D• G•••• B••••• N•• · Managercontrolsince 05/2018 · owns F of S•• C•••••• H•••••• L•••
- P•••••• B•••• N•• · Managercontrolsince 05/2018 · owns F of S•• C•••••• H•••••• L•••
- P•••• P•••• A••••••••• K••••••••• N•• · Managercontrolsince 07/2019 · owns F of S•• C•••••• H•••••• L•••
Entity owners
- S•• C•••••• H•••••• L••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- S•• C•••••• M••••••••• S•••••••• P••• L•••investment adviserbankn
- S•• G••••• D• R••••••• L••••investment adviserbankn
- S•• I••••••••• A•••• M••••••••• L•••investment adviserbankn
- S•• P•••••••• S••••• S•••investment adviserbankn
- S•• P•••••• E••••• G••••• D• R••••••• L••••investment advisern
- S•• S••••••• D• I••••••••• L••••investment advisern
- S•• S•• G••••• D• R••••••• L••••investment advisern
- S•••••••• G• I• L••pooled vehicle sponsory
- S••••••• G• I• L••pooled vehicle sponsorn
- S•••• B• G• I• L••pooled vehicle sponsorn
- S•••• B• G• I•• L••pooled vehicle sponsorn
- S•••• G• I• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $500,000,000 to $350,000,000 (-30.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +8.0% (161 comparable advisers, 8.0th percentile of changes)peers: other advisers, $100M to $500M (161) · 8.1% percentile
What changed
consecutive filings, newest first
- Accounts · 11 to 12May 7, 2025 to Mar 31, 2026
- Advisory employees · 5 to 6May 7, 2025 to Mar 31, 2026
- Employees · 12 to 9May 7, 2025 to Mar 31, 2026
- Private funds · 11 to 10May 7, 2025 to Mar 31, 2026
- Discretionary RAUM · $500M to $350MMay 7, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $375M to $208MMay 7, 2025 to Mar 31, 2026
- RAUM · $500M to $350MMay 7, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to May 7, 2025
- Accounts · 15 to 11Feb 4, 2025 to Mar 31, 2025
- Pooled vehicle clients · 15 to 10Feb 4, 2025 to Mar 31, 2025
- Employees · 11 to 12Feb 4, 2025 to Mar 31, 2025
- Private funds · 15 to 11Feb 4, 2025 to Mar 31, 2025
- Discretionary RAUM · $360M to $500MFeb 4, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $360M to $375MFeb 4, 2025 to Mar 31, 2025
- RAUM · $360M to $500MFeb 4, 2025 to Mar 31, 2025
- Advisory employees · 8 to 5Mar 31, 2023 to Mar 28, 2024
- Employees · 17 to 11Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $5.6B to $360MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $5.6B to $360MMar 31, 2023 to Mar 28, 2024
- RAUM · $5.6B to $360MMar 31, 2023 to Mar 28, 2024
- Employees · 12 to 17Feb 23, 2023 to Mar 31, 2023
- Other offices · 0 to 1Feb 23, 2023 to Mar 31, 2023
- Discretionary RAUM · $3.5B to $5.6BFeb 23, 2023 to Mar 31, 2023
- Non-discretionary RAUM · $773M to $0Feb 23, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $4.2B to $5.6BFeb 23, 2023 to Mar 31, 2023
- RAUM · $4.2B to $5.6BFeb 23, 2023 to Mar 31, 2023
- Related bank · false to trueFeb 23, 2023 to Mar 31, 2023
- Accounts · 10 to 15Feb 24, 2022 to Mar 29, 2022
- Advisory employees · 6 to 8Feb 24, 2022 to Mar 29, 2022
- Pooled vehicle clients · 10 to 15Feb 24, 2022 to Mar 29, 2022
- Assets in custody · 3058909821.0 to unsetFeb 24, 2022 to Mar 29, 2022
- Custody of client assets · true to falseFeb 24, 2022 to Mar 29, 2022
- Employees · 9 to 12Feb 24, 2022 to Mar 29, 2022
- Private funds · 12 to 15Feb 24, 2022 to Mar 29, 2022
- Discretionary RAUM · $3.1B to $3.5BFeb 24, 2022 to Mar 29, 2022
- Non-discretionary RAUM · $707M to $773MFeb 24, 2022 to Mar 29, 2022
- Pooled vehicle RAUM · $3.8B to $4.2BFeb 24, 2022 to Mar 29, 2022
- RAUM · $3.8B to $4.2BFeb 24, 2022 to Mar 29, 2022
- Private funds · 10 to 12Oct 5, 2021 to Feb 24, 2022
- Private funds · 20 to 10Aug 27, 2021 to Oct 5, 2021
Signals
6 dated events
- S•• C•••••• M••••••••• L•• reported RAUM $350.0M, down 30% from $500.0M (2025-05-07 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- S•• C•••••• M••••••••• L•• reported RAUM $500.0M, up 39% from $359.7M (2025-02-04 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- S•• C•••••• M••••••••• L•• reported RAUM $359.7M, down 94% from $5.6B (2023-03-31 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- S•• C•••••• M••••••••• L•• reported RAUM $5.6B, up 32% from $4.2B (2023-02-23 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Rodrigues Estevinha Rogerio Do Amaral Xavier (Owner) appeared on Schedule A of S•• C•••••• M••••••••• L••Oct 5, 2021 · Control person joined · fact
- S•• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 27, 2021 · 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/spx-capitalreportedpublic record, Form ADV, Sep 19, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (212) 386-5810reportedpublic record, Form ADV, Jul 1, 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
- Other 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