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•••••• A••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2020 · 14 filings
SEC status approved since Jan 14, 2020
RAUM
$874M
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
16
16 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
4
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$874M as of Mar 31, 2026
Mar 29, 2021$361M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20210 then
Employees (5.A)16 as of Mar 31, 2026
Mar 29, 20218 then
Private funds4 as of Mar 31, 2026
Mar 29, 20213 then
RAUM +31% over the last fiscal year+35% 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
- $87.4MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $841M, 9 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
- 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$874M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $841M for 9 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••••• O••••••••• F••• L••• | Hedge Fund | $284M | 25 | Apr 19, 2013 |
| S•••••••• S••••• F•••• L••• | Private Equity Fund | $70.0M | 2 | Mar 30, 2020 |
| S•••••••• P••••• O••••••••• F•••• L••• | Hedge Fund | $36.5M | 1 | Mar 29, 2019 |
| S•••••••• S••••• F••• I•• L••• | Private Equity Fund | $0 | 0 | Mar 28, 2024 |
Owners and control persons
Schedule A and B, latest filing
- K•••••• M••••• M••••••• · Vice Presidentcontrolsince 02/2013 · owns less than 5%
- L•••••••• G•••• · Directorcontrolsince 02/2013 · owns less than 5%
- S•••• S•••••• R•••• · Chief Financial Officercontrolsince 10/2021 · owns less than 5%
- W••••• A•••• T•••••• · G•••••• Counsel And Chief Compliance Officercontrolsince 10/2024 · owns less than 5%
- L•••••••• G•••• · Shareholdercontrolsince 02/2013 · owns 75% or more of G••• H•••••••• I•••
Entity owners
- S•••••••• C•••••• M••••••••• · Memberdirect · owns 75% or more
- G••• H•••••••• I••• · Shareholderindirect · owns 75% or more of S•••••••• C•••••• M•••••••••
Related persons
Schedule D 7.A
- S•••••••• C•••••• S••••• I• G• L•pooled vehicle sponsorn
- S•••••••• C•••••• S••••• L••••••pooled vehicle sponsorn
- S•••••••• O••••••••• G•••••• P•••••• L•••pooled vehicle sponsorn
- S•••••••• P••••• G•••••• P•••••• L•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Dubai, United Arab Emirates4 employees
- London, United Kingdom3 employees
What changed
consecutive filings, newest first
- Accounts · 11 to 10May 6, 2025 to Mar 31, 2026
- Advisory employees · 15 to 16May 6, 2025 to Mar 31, 2026
- Assets in custody · $609M to $841MMay 6, 2025 to Mar 31, 2026
- Employees · 15 to 16May 6, 2025 to Mar 31, 2026
- Discretionary RAUM · $669M to $874MMay 6, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $646M to $874MMay 6, 2025 to Mar 31, 2026
- RAUM · $669M to $874MMay 6, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to May 6, 2025
- Accounts · 9 to 11Oct 16, 2024 to Mar 31, 2025
- Advisory employees · 12 to 15Oct 16, 2024 to Mar 31, 2025
- Pooled vehicle clients · 8 to 10Oct 16, 2024 to Mar 31, 2025
- Assets in custody · $389M to $609MOct 16, 2024 to Mar 31, 2025
- Employees · 12 to 15Oct 16, 2024 to Mar 31, 2025
- Discretionary RAUM · $414M to $669MOct 16, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $391M to $646MOct 16, 2024 to Mar 31, 2025
- RAUM · $414M to $669MOct 16, 2024 to Mar 31, 2025
- Related adviser · false to trueOct 16, 2024 to Mar 31, 2025
- Accounts · 7 to 9May 12, 2023 to Mar 28, 2024
- Advisory employees · 10 to 12May 12, 2023 to Mar 28, 2024
- Pooled vehicle clients · 6 to 8May 12, 2023 to Mar 28, 2024
- Assets in custody · $351M to $389MMay 12, 2023 to Mar 28, 2024
- Employees · 10 to 12May 12, 2023 to Mar 28, 2024
- Private funds · 3 to 4May 12, 2023 to Mar 28, 2024
- Discretionary RAUM · $371M to $414MMay 12, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $352M to $391MMay 12, 2023 to Mar 28, 2024
- RAUM · $371M to $414MMay 12, 2023 to Mar 28, 2024
- Assets in custody · $332M to $351MMar 31, 2023 to May 12, 2023
- Discretionary RAUM · $353M to $371MMar 31, 2023 to May 12, 2023
- Pooled vehicle RAUM · $334M to $352MMar 31, 2023 to May 12, 2023
- RAUM · $353M to $371MMar 31, 2023 to May 12, 2023
- Accounts · 6 to 7Jul 6, 2022 to Mar 31, 2023
- Advisory employees · 7 to 10Jul 6, 2022 to Mar 31, 2023
- Advisory activities · 1 to 2Jul 6, 2022 to Mar 31, 2023
- Assets in custody · $380M to $332MJul 6, 2022 to Mar 31, 2023
- Discretionary RAUM · $381M to $353MJul 6, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $381M to $334MJul 6, 2022 to Mar 31, 2023
- RAUM · $381M to $353MJul 6, 2022 to Mar 31, 2023
- Assets in custody · $416M to $380MNov 4, 2021 to Mar 31, 2022
- Discretionary RAUM · $416M to $381MNov 4, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $416M to $381MNov 4, 2021 to Mar 31, 2022
Signals
5 dated events
- S•••••••• C•••••• A••••••• L•• reported RAUM $873.7M, up 31% from $669.4M (2025-05-06 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- S•••••••• C•••••• A••••••• L•• reported RAUM $669.4M, up 62% from $414.4M (2024-10-16 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- Therese Anne Wynne (General Counsel And Chief Compliance Officer) appeared on Schedule A of S•••••••• C•••••• A••••••• L••Oct 16, 2024 · Control person joined · fact
- S•••••••• C•••••• A••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 30, 2020 · Succession (Item 4) · fact
- S•••••••• C•••••• A••••••• L•• filed its initial SEC registration (Form ADV)Mar 30, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••••••• C•••••• A••••••• L•• · Independent Sponsorsshared crd · capital_provider
- S•••••••• C•••••• A••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- S••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 646-780-1102reportedpublic 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