DFX Intelligence

RIA Intelligence

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SEC-registered adviser

S•• I••••••••• M••••••••• L•••

Asset manager (funds and pooled vehicles)New York, New YorkCRD 299036SEC 801-114411website IAPD

Latest filing Jul 1, 2026

First filing on the tape Nov 9, 2018 · 21 filings

SEC status approved since Dec 19, 2018

RAUM

$3.6B

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

n/a

derived; firm RAUM over IAPD count

Employees

12 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

21 filings and snapshots on the tape

RAUM$3.6B as of Jul 1, 2026

Feb 20, 2019$3.2B then

HNW client RAUM$0 as of Jul 1, 2026

Feb 20, 2019$0 then

State-registered IARs (5.B.3)0 as of Jul 1, 2026

Feb 20, 20190 then

Employees (5.A)26 as of Jul 1, 2026

Feb 20, 201916 then

Private funds1 as of Jul 1, 2026

Feb 20, 20191 then

RAUM -9.3% over the last fiscal year+2.9% 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: $893MderivedRAUM 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: +4.1%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 testimonials (5.L.1.c)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$3.6B100%

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 4reported
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

Every departure Every arrival

Private funds

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

Fund	Type	Gross assets	Owners	First reported
S•• S••••••••• P••••••• M••••• F••• L•••	Hedge Fund	$3.6B	362	Jun 29, 2012
S•• T••• M••••• F••• L•••••no longer reported	Hedge Fund	$0	1	May 11, 2020

Owners and control persons

Schedule A and B, latest filing

B•••••• M•••• S••••• · Chief Operating Officercontrol
since 11/2018 · owns less than 5%
K••••••• S•••• C••••••••• · Deputy Chief Operating Officer / Chief Financial Officercontrol
since 11/2018 · owns less than 5%
M•••••• C••••••••• M•••••• · General Counsel And Chief Compliance Officercontrol
since 01/2019 · owns less than 5%
S•••• A•••••• J•••••••• · Chief Investment Officer / Chief Executive Officer / Limited Partnercontrol
since 08/2018 · owns 50% to 75%
B•••••• M•••• S••••• · Managing Directorcontrol
since 12/2018 · owns F of S•• I••••••••• M••••••••• •••• L••
K••••••• S•••• C••••••••• · Managing Directorcontrol
since 12/2018 · owns F of S•• I••••••••• M••••••••• •••• L••
M•••••• C••••••••• M•••••• · General Counsel And Chief Compliance Officercontrol
since 02/2019 · owns F of S•• I••••••••• M••••••••• •••• L••
S•••• A•••••• J•••••••• · Member / Managing Directorcontrol
since 08/2018 · owns 75% or more of S•• I••••••••• M••••••••• •••• L••
B••••••••• G•••• M••• · Limited Partner
since 12/2018 · owns 5% to 10%
D••••••••• C•••• A••••• · Limited Partner
since 12/2018 · owns 5% to 10%
D•••••••• J••••• B•••• · Limited Partner
since 12/2018 · owns 5% to 10%
S•••••••• S••••• M•••• · Limited Partner
since 12/2018 · owns 5% to 10%
V••••• A•••• D•• · Limited Partner
since 12/2018 · owns 5% to 10%

Entity owners

S•• I••••••••• M••••••••• •••• L•• · General Partner
direct · owns less than 5%
U•• A••••••• H•••••• L•• · Shareholder
indirect · owns 75% or more of U•• A••••••• I•••
U•• A••••••• I••• · Shareholder
indirect · owns 75% or more of U•• A•••• M••••••••• ••••••••• L••
U•• A•••• M••••••••• ••••••••• L•• · Limited Partner
direct · owns 5% to 10%
U•• A• · Shareholder
indirect · owns 25% to 50% of U•• A••••••• H•••••• L•• · public reporting company
U•• G•••• A• · Shareholder
indirect · owns 75% or more of U•• A• · public reporting company

Related persons

Schedule D 7.A

S•• F••• •••• L•••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Discretionary RAUM · $4.1B to $3.6B
Mar 20, 2026 to Jul 1, 2026
Pooled vehicle RAUM · $4.1B to $3.6B
Mar 20, 2026 to Jul 1, 2026
RAUM · $4.1B to $3.6B
Mar 20, 2026 to Jul 1, 2026
Advisory employees · 11 to 12
Jan 13, 2026 to Mar 20, 2026
Discretionary RAUM · $3.9B to $4.1B
Jan 13, 2026 to Mar 20, 2026
Pooled vehicle RAUM · $3.9B to $4.1B
Jan 13, 2026 to Mar 20, 2026
RAUM · $3.9B to $4.1B
Jan 13, 2026 to Mar 20, 2026
Employees · 27 to 26
Mar 12, 2025 to Jan 13, 2026
Financial planning clients · unset to
Jan 24, 2025 to Mar 12, 2025
Discretionary RAUM · $3.6B to $3.9B
Jan 24, 2025 to Mar 12, 2025
Pooled vehicle RAUM · $3.6B to $3.9B
Jan 24, 2025 to Mar 12, 2025
RAUM · $3.6B to $3.9B
Jan 24, 2025 to Mar 12, 2025
Employees · 25 to 27
Aug 8, 2024 to Jan 24, 2025
Discretionary RAUM · $3.3B to $3.6B
Jul 19, 2023 to Mar 26, 2024
Pooled vehicle RAUM · $3.3B to $3.6B
Jul 19, 2023 to Mar 26, 2024
RAUM · $3.3B to $3.6B
Jul 19, 2023 to Mar 26, 2024
Employees · 24 to 25
Apr 26, 2022 to Mar 24, 2023
Discretionary RAUM · $3.8B to $3.3B
Apr 26, 2022 to Mar 24, 2023
Pooled vehicle RAUM · $3.8B to $3.3B
Apr 26, 2022 to Mar 24, 2023
RAUM · $3.8B to $3.3B
Apr 26, 2022 to Mar 24, 2023
Advisory employees · 7 to 11
Mar 26, 2021 to Mar 18, 2022
Employees · 23 to 24
Mar 26, 2021 to Mar 18, 2022
Discretionary RAUM · $3.3B to $3.8B
Mar 26, 2021 to Mar 18, 2022
Pooled vehicle RAUM · $3.3B to $3.8B
Mar 26, 2021 to Mar 18, 2022
RAUM · $3.3B to $3.8B
Mar 26, 2021 to Mar 18, 2022
Employees · 19 to 23
May 12, 2020 to Mar 26, 2021
Private funds · 2 to 1
May 12, 2020 to Mar 26, 2021
Discretionary RAUM · $3.7B to $3.3B
May 12, 2020 to Mar 26, 2021
Pooled vehicle RAUM · $3.7B to $3.3B
May 12, 2020 to Mar 26, 2021
RAUM · $3.7B to $3.3B
May 12, 2020 to Mar 26, 2021
Private funds · 1 to 2
Mar 30, 2020 to May 11, 2020
Advisory employees · 9 to 7
Jan 14, 2020 to Mar 30, 2020
Employees · 16 to 19
Jan 14, 2020 to Mar 30, 2020
Discretionary RAUM · $3.2B to $3.7B
Jan 14, 2020 to Mar 30, 2020
Pooled vehicle RAUM · $3.2B to $3.7B
Jan 14, 2020 to Mar 30, 2020
RAUM · $3.2B to $3.7B
Jan 14, 2020 to Mar 30, 2020
Accounts · 0 to 4
Nov 9, 2018 to Feb 20, 2019
Advisory employees · 0 to 9
Nov 9, 2018 to Feb 20, 2019
Pooled vehicle clients · 0 to 4
Nov 9, 2018 to Feb 20, 2019
Assets in custody · unset to 0.0
Nov 9, 2018 to Feb 20, 2019

Signals

2 dated events

Matthew Christopher Marvin (General Counsel And Chief Compliance Officer) appeared on Schedule A of S•• I••••••••• M••••••••• L•••
Feb 20, 2019 · Control person joined · fact
S•• I••••••••• M••••••••• L••• filed its initial SEC registration (Form ADV)
Nov 9, 2018 · 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

Website: spfim.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 212-457-8745reportedpublic 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: 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