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•••• M••••••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 298487SEC 801-125926IAPD
Latest filing May 20, 2022
First filing on the tape Sep 20, 2019 · 9 filings
RAUM
$2.0M
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
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$2.0M gross assets
History
9 filings and snapshots on the tape
RAUM$15.4M as of Mar 24, 2022
Mar 6, 2020$107M then
HNW client RAUM: $75,527
State-registered IARs (5.B.3)0 as of Mar 24, 2022
Mar 6, 20200 then
Employees (5.A)6 as of Mar 24, 2022
Mar 6, 20205 then
Private funds2 as of Mar 24, 2022
Mar 6, 20201 then
RAUM -98% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 20, 2022; 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
$2.0MderivedRAUM 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
-86%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
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)
  • 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$2.0M100%
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
$0 for 0 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M••••• F••• I• L•••Hedge Fund$111M15Sep 5, 2019
      M••••• F••• I•• L•••Hedge Fund$13.1M14Mar 24, 2022
      O••••• V•••• H•••••••• L•••Hedge Fund$1.2M2Mar 19, 2021
      Owners and control persons
      Schedule A and B, latest filing
      • C•••• S••••••• B•••• · General Counsel, Chief Compliance Officercontrol
        since 07/2018 · owns less than 5%
      • K••••••••• R••• J•••• · Chief Executive Officercontrol
        since 01/2018 · owns 75% or more
      • K••••••••• R••• J•••• · Managing Membercontrol
        since 01/2018 · owns 75% or more of S••••• P•••• M••••••••• G•• L••
      • O•••••••• K••••• A••••• · Partner
        since 07/2020 · owns less than 5%
      Entity owners
      • S••••• P•••• M••••••••• G•• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • O••••• V•••• G•• L••
        bankpooled vehicle sponsorn
      • S••••• P•••• S•••••••• A•••••••• L••
        investment advisern
      • S• S••• F••••••• L••
        y
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 1
        Mar 24, 2022 to May 20, 2022
      • Pooled vehicle clients · 2 to 1
        Mar 24, 2022 to May 20, 2022
      • Private funds · 2 to 1
        Mar 24, 2022 to May 20, 2022
      • Discretionary RAUM · $15.4M to $2.0M
        Mar 24, 2022 to May 20, 2022
      • HNW RAUM · 75527.0 to unset
        Mar 24, 2022 to May 20, 2022
      • Pooled vehicle RAUM · $15.3M to $2.0M
        Mar 24, 2022 to May 20, 2022
      • RAUM · $15.4M to $2.0M
        Mar 24, 2022 to May 20, 2022
      • Accounts · 2 to 3
        Dec 1, 2021 to Mar 24, 2022
      • Advisory employees · 6 to 5
        Dec 1, 2021 to Mar 24, 2022
      • Advisory activities · 1 to 2
        Dec 1, 2021 to Mar 24, 2022
      • Employees · 7 to 6
        Dec 1, 2021 to Mar 24, 2022
      • Discretionary RAUM · $113M to $15.4M
        Dec 1, 2021 to Mar 24, 2022
      • HNW RAUM · unset to 75527.0
        Dec 1, 2021 to Mar 24, 2022
      • Pooled vehicle RAUM · $113M to $15.3M
        Dec 1, 2021 to Mar 24, 2022
      • RAUM · $113M to $15.4M
        Dec 1, 2021 to Mar 24, 2022
      • Accounts · 1 to 2
        Jul 2, 2020 to Mar 19, 2021
      • Advisory employees · 3 to 6
        Jul 2, 2020 to Mar 19, 2021
      • Advisory activities · 2 to 1
        Jul 2, 2020 to Mar 19, 2021
      • Pooled vehicle clients · 1 to 2
        Jul 2, 2020 to Mar 19, 2021
      • Employees · 5 to 7
        Jul 2, 2020 to Mar 19, 2021
      • Private funds · 1 to 2
        Jul 2, 2020 to Mar 19, 2021
      • Discretionary RAUM · $107M to $113M
        Jul 2, 2020 to Mar 19, 2021
      • Pooled vehicle RAUM · $107M to $113M
        Jul 2, 2020 to Mar 19, 2021
      • RAUM · $107M to $113M
        Jul 2, 2020 to Mar 19, 2021
      • Discretionary RAUM · $70.3M to $107M
        Nov 8, 2019 to Mar 6, 2020
      • Pooled vehicle RAUM · $70.3M to $107M
        Nov 8, 2019 to Mar 6, 2020
      • RAUM · $70.3M to $107M
        Nov 8, 2019 to Mar 6, 2020
      • Private funds · 2 to 1
        Sep 20, 2019 to Nov 8, 2019
      Signals
      3 dated events
      • Therese Anne Sullivan (Chief Operating Officer) no longer on Schedule A of S••••• P•••• M••••••••• L••• (listed 2020-03-06, absent 2020-07-02)
        Jul 2, 2020 · Control person left · inference
      • Allen Gregory Hewett (Co-Founder) no longer on Schedule A of S••••• P•••• M••••••••• L••• (listed 2019-11-08, absent 2020-03-06)
        Mar 6, 2020 · Control person left · inference
      • S••••• P•••• M••••••••• L••• filed its initial SEC registration (Form ADV)
        Sep 20, 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