DFX Intelligence

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S•••••• A•••• M••••••••• L•

Asset manager (funds and pooled vehicles)SEC-registered1 private funds· New York, New Yorkwebsite

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $268M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-23 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $268M
Advisors: 0
RAUM change, 1 year: +49%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-23 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 23 Mar 2026, RAUM $179M to $268M (+49.5%) on the Form ADV filed 23 Mar 2026.

Every filed figure, and the identifiersCRD 298418 · SEC 801-121898 · 6 filingsShow

CRD 298418SEC 801-121898First filing on the tape Jun 28, 2021, latest Mar 23, 2026SEC status approved since Jul 29, 2021IAPD

RAUM

$268M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

6 filings and snapshots on the tape

RAUM +2.1% a year over three years · the tape starts Jun 28, 2021

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$268M as of Mar 23, 2026

Mar 30, 2022$543M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 23, 2026

Mar 30, 20220 then

Employees (5.A)6 as of Mar 23, 2026

Mar 30, 20226 then

Private funds1 as of Mar 23, 2026

Mar 30, 20221 then

RAUM +49% over the last fiscal year+2.1% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 23, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $89.2MderivedRAUM 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: +49%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-based, otherreportedItem 5.E
Advisory activities: portfolio management for pooled vehiclesreportedItem 5.G
Custody: $15.1M, 1 clientreportedItem 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)
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% pooled investment vehicles

The breakdown by client type, and the client counts1 client typesShow

Pooled investment vehicles$268M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 3reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $15.1M for 1 clientreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 0% private clients, 100% pooled funds, 0% institutions; no related broker-dealer; a related bankderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
S•••••• M••••• F•••• L•	Hedge Fund	$268M	40	Sep 5, 2018

Owners and control persons

Schedule A and B, latest filing

S••••••• T•••••• T••• · M••••••• M••••• O• S•••••• G•• L••control
since 06/2018 · owns 75% or more of S•••••• G•• L••
C••••••• M••••••• F••• · Limited Partner & Chief Compliance Officer
since 06/2018 · owns 10% to 25%
K•••• T•••••• E• · Chief Financial Officer
since 01/2021 · owns less than 5%
S••••••• T•••••• T••• · Limited Partner
since 06/2018 · owns 75% or more

Entity owners

S•••••• G•• L•• · General Partner
direct · owns less than 5%

Who runs the funds

related persons named most often on the Form D filings of the firm's funds; 4 fund-person rows in all

Name	Where	Funds	Filings	Named
T••••• T••• W••••executive officerdirector	New York, NY	1	9	Sep 18, 2020 to Sep 21, 2026
V•••••• T••• B••••••executive officerdirector	Grand Cayman, E9	1	9	Sep 18, 2020 to Sep 21, 2026
M•••••• F••• C••••••executive officer	New York, NY	1	6	Dec 21, 2021 to Sep 21, 2026
T••••• T••• S••••••executive officer	New York, NY	1	5	Sep 18, 2020 to Sep 21, 2026

SEC Form D, item 3 (related persons: executive officers, directors and promoters of the issuer), every amendment on EDGAR. A name links to its IAPD record only when it matches exactly one Schedule A owner of the same adviser (2 of 4 here); every other name is as filed and is not joined to anyone.

13F holdings

quarter ended Jun 30, 2026, filed Aug 14, 2026

Reported value: $238M+18.7% on Mar 31, 2026 ($200M)reportedsec.gov
Positions: 64 in 58 issuers+12.3% on the quarterreported
Concentration: top 10 issuers 32%, largest 5.6%derivedlargest: Devon Energy Corp New
Filed as: S•••••• A•••• M••••••••• L•reportedmatched by the 13F filer reports this CRD

Related persons

Schedule D 7.A

S•••••• A•••••••• L••
bankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

, 1 employee

ADV anomalies

1 against comparable advisers; where to look, not conclusions

RAUM up 25 %Change between filings · filing Mar 23, 2026
RAUM (Item 5.F) moved from $179,074,298 to $267,673,684 (+49.0%) between the annual amendments of 2025-03-28 and 2026-03-23; the peer median change was +4.0% (1140 comparable advisers, 90.0th percentile of changes)
peers: asset managers, $100M to $500M (1,140) · 90% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Assets in custody · $5.4M to $15.1M
Mar 28, 2025 to Mar 23, 2026
Discretionary RAUM · $179M to $268M
Mar 28, 2025 to Mar 23, 2026
Pooled vehicle RAUM · $179M to $268M
Mar 28, 2025 to Mar 23, 2026
RAUM · $179M to $268M
Mar 28, 2025 to Mar 23, 2026
Assets in custody · $7.4M to $5.4M
Mar 27, 2024 to Mar 28, 2025

Full history · 25 changes

Financial planning clients · unset to
Mar 27, 2024 to Mar 28, 2025
Discretionary RAUM · $242M to $179M
Mar 27, 2024 to Mar 28, 2025
Pooled vehicle RAUM · $242M to $179M
Mar 27, 2024 to Mar 28, 2025
RAUM · $242M to $179M
Mar 27, 2024 to Mar 28, 2025
Assets in custody · $7.6M to $7.4M
Mar 31, 2023 to Mar 27, 2024
Discretionary RAUM · $252M to $242M
Mar 31, 2023 to Mar 27, 2024
Pooled vehicle RAUM · $252M to $242M
Mar 31, 2023 to Mar 27, 2024
RAUM · $252M to $242M
Mar 31, 2023 to Mar 27, 2024
Assets in custody · $15.9M to $7.6M
Mar 30, 2022 to Mar 31, 2023
Other offices · 0 to 1
Mar 30, 2022 to Mar 31, 2023
Discretionary RAUM · $543M to $252M
Mar 30, 2022 to Mar 31, 2023
Pooled vehicle RAUM · $543M to $252M
Mar 30, 2022 to Mar 31, 2023
RAUM · $543M to $252M
Mar 30, 2022 to Mar 31, 2023
Advisory employees · 4 to 5
Jun 28, 2021 to Mar 30, 2022
Assets in custody · $36.9M to $15.9M
Jun 28, 2021 to Mar 30, 2022
Employees · 5 to 6
Jun 28, 2021 to Mar 30, 2022
Private funds · 2 to 1
Jun 28, 2021 to Mar 30, 2022
Discretionary RAUM · $1.5B to $543M
Jun 28, 2021 to Mar 30, 2022
Pooled vehicle RAUM · $1.5B to $543M
Jun 28, 2021 to Mar 30, 2022
RAUM · $1.5B to $543M
Jun 28, 2021 to Mar 30, 2022

Signals

6 dated events

••• Locked
Mar 23, 2026 · ria indirect owner change · fact
••• Locked
Mar 23, 2026 · ria ownership band change · fact
••• Locked
Mar 31, 2023 · RAUM change · derived
••• Locked
Mar 30, 2022 · RAUM change · derived
••• Locked
Mar 30, 2022 · ria registration change · fact

Full timeline · 6 events

••• Locked
Jun 28, 2021 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

S•••••• A•••• M••••••••• L• · Venture Capital
same CRD · organization

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Mar 23, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 23, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Across the graphs

S•••••• A•••• M••••••••• L• is the same institution as 1 record in Venture Capital.

Venture Capital1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

Checking your plan…

Not yet on record: net advisor flow, 12 months.