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•••••• P••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Apr 21, 2020 · 10 filings
SEC status approved since May 21, 2020
RAUM
$1.2B
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
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$1.2B as of Mar 31, 2026
Mar 31, 2021$219M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 31, 20210 then
Employees (5.A)3 as of Mar 31, 2026
Mar 31, 20211 then
Private funds8 as of Mar 31, 2026
Mar 31, 20212 then
RAUM +29% over the last fiscal year+25% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 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
- $152MderivedRAUM 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
- +29%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
- $1.2B, 8 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.2B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.2B for 8 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•• F••• I•• L• | Private Equity Fund | $243M | 16 | Mar 31, 2022 |
| H•• I••••••• L• | Private Equity Fund | $107M | 6 | Apr 21, 2020 |
| H•• I••••••• I• L• | Private Equity Fund | $95.3M | 11 | Mar 31, 2022 |
| N••••••••• I••••••• L• | Private Equity Fund | $71.2M | 31 | Apr 21, 2020 |
| S••••••••• S•••••• I••••••• L• | Private Equity Fund | $51.6M | 5 | Mar 25, 2024 |
| M••• F•••••• I••••••• L• | Private Equity Fund | $46.2M | 34 | Mar 25, 2024 |
Owners and control persons
Schedule A and B, latest filing
- G••••••••• M•••• R• · Managing Partner; Chief Compliance Officercontrolsince 06/2018 · owns 75% or more
Related persons
Schedule D 7.A
- M•• G• L••pooled vehicle sponsorn
- M••• L••pooled vehicle sponsorn
- S•• F••• I•• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 6 to 8Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 2 to 3Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 6 to 8Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $941M to $1.2BMar 31, 2025 to Mar 31, 2026
- Employees · 2 to 3Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $941M to $1.2BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $941M to $1.2BMar 31, 2025 to Mar 31, 2026
- RAUM · $941M to $1.2BMar 31, 2025 to Mar 31, 2026
- Assets in custody · $615M to $941MMar 25, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 31, 2025
- HQ city · unset to Mar 25, 2024 to Mar 31, 2025
- HQ state · unset to Mar 25, 2024 to Mar 31, 2025
- Private funds · 6 to 8Mar 25, 2024 to Mar 31, 2025
- Discretionary RAUM · $615M to $941MMar 25, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $615M to $941MMar 25, 2024 to Mar 31, 2025
- RAUM · $615M to $941MMar 25, 2024 to Mar 31, 2025
- Accounts · 4 to 6Mar 28, 2023 to Mar 25, 2024
- Advisory employees · 1 to 2Mar 28, 2023 to Mar 25, 2024
- Pooled vehicle clients · 4 to 6Mar 28, 2023 to Mar 25, 2024
- Assets in custody · $789M to $615MMar 28, 2023 to Mar 25, 2024
- Employees · 1 to 2Mar 28, 2023 to Mar 25, 2024
- Private funds · 4 to 6Mar 28, 2023 to Mar 25, 2024
- Discretionary RAUM · $621M to $615MMar 28, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $621M to $615MMar 28, 2023 to Mar 25, 2024
- RAUM · $621M to $615MMar 28, 2023 to Mar 25, 2024
- Discretionary RAUM · $789M to $621MMar 31, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $789M to $621MMar 31, 2022 to Mar 27, 2023
- RAUM · $789M to $621MMar 31, 2022 to Mar 27, 2023
- Accounts · 2 to 4Nov 8, 2021 to Mar 31, 2022
- Pooled vehicle clients · 2 to 4Nov 8, 2021 to Mar 31, 2022
- Assets in custody · $219M to $789MNov 8, 2021 to Mar 31, 2022
- Private funds · 2 to 4Nov 8, 2021 to Mar 31, 2022
- Discretionary RAUM · $219M to $789MNov 8, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $219M to $789MNov 8, 2021 to Mar 31, 2022
- RAUM · $219M to $789MNov 8, 2021 to Mar 31, 2022
- Assets in custody · $209M to $219MApr 21, 2020 to Mar 31, 2021
- Discretionary RAUM · $209M to $219MApr 21, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $209M to $219MApr 21, 2020 to Mar 31, 2021
- RAUM · $209M to $219MApr 21, 2020 to Mar 31, 2021
Signals
4 dated events
- S••••••••• C•••••• P••••••• L•• reported RAUM $1.2B, up 29% from $940.7M (2025-03-31 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- S••••••••• C•••••• P••••••• L•• reported RAUM $940.7M, up 53% from $614.8M (2024-03-25 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- S••••••••• C•••••• P••••••• L•• reported RAUM $788.9M, up 260% from $218.9M (2021-11-08 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- S••••••••• C•••••• P••••••• L•• filed its initial SEC registration (Form ADV)Apr 21, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••••••• C•••••• P••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 646-321-0134reportedpublic record, Form ADV, Mar 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