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•••••• • R••••••• L••
Latest filing Mar 17, 2026
First filing on the tape Mar 4, 2019 · 19 filings
SEC status approved since Nov 9, 2020
RAUM
$188M
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
9
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$188M as of Mar 17, 2026
Mar 31, 2021$40.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 17, 2026
Mar 31, 20210 then
Employees (5.A)9 as of Mar 17, 2026
Mar 31, 20218 then
Private funds1 as of Mar 17, 2026
Apr 4, 20231 then
RAUM -25% over the last fiscal year+29% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 17, 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
- $20.9MderivedRAUM 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
- -25%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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$131M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.7 institutional_share=0.0 related_bd=false related_bank=true 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••••• F••• L•••••• | Hedge Fund | $81.0M | 9 | Apr 4, 2023 |
Owners and control persons
Schedule A and B, latest filing
- C•••• B••••••• R••• · Partnercontrolsince 01/2023 · owns less than 5%
- E•••• M••••••• P•••• · Founding Partnercontrolsince 01/2017 · owns 50% to 75%
- J••••• S••••••• J••• · Chief Financial Officercontrolsince 01/2017 · owns less than 5%
- M•••••• K•••••• L••••• · Coo & Ccocontrolsince 01/2019 · owns less than 5%
Entity owners
- C• N••••••• L•••••• · Designated Memberdirect · owns less than 5%
Related persons
Schedule D 7.A
- S••••••••• F••• L••banky
- S••••••••• G•••••• P••••••pooled vehicle sponsory
- S••••••••• O••••••• F••• L••banky
- S••••••••• O•••••• F••• L•banky
- S••••••••• P••••••••• L••••••investment advisery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 13 to 9Oct 9, 2025 to Mar 17, 2026
- Advisory employees · 5 to 3Oct 9, 2025 to Mar 17, 2026
- Employees · 10 to 9Oct 9, 2025 to Mar 17, 2026
- Discretionary RAUM · $250M to $188MOct 9, 2025 to Mar 17, 2026
- Pooled vehicle RAUM · $138M to $131MOct 9, 2025 to Mar 17, 2026
- RAUM · $250M to $188MOct 9, 2025 to Mar 17, 2026
- Accounts · 12 to 13May 3, 2024 to Mar 10, 2025
- Advisory employees · 6 to 5May 3, 2024 to Mar 10, 2025
- Advisory activities · 3 to 2May 3, 2024 to Mar 10, 2025
- Employees · 12 to 10May 3, 2024 to Mar 10, 2025
- Financial planning clients · unset to May 3, 2024 to Mar 10, 2025
- HQ state · unset to May 3, 2024 to Mar 10, 2025
- Discretionary RAUM · $233M to $250MMay 3, 2024 to Mar 10, 2025
- Pooled vehicle RAUM · $122M to $138MMay 3, 2024 to Mar 10, 2025
- RAUM · $233M to $250MMay 3, 2024 to Mar 10, 2025
- Accounts · 5 to 12Oct 12, 2023 to Mar 25, 2024
- Pooled vehicle clients · 1 to 4Oct 12, 2023 to Mar 25, 2024
- Discretionary RAUM · $238M to $233MOct 12, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $78.5M to $122MOct 12, 2023 to Mar 25, 2024
- RAUM · $238M to $233MOct 12, 2023 to Mar 25, 2024
- Related bank · false to trueOct 12, 2023 to Mar 25, 2024
- Accounts · 2 to 5Jul 19, 2023 to Oct 12, 2023
- Advisory employees · 3 to 6Jul 19, 2023 to Oct 12, 2023
- Employees · 8 to 12Jul 19, 2023 to Oct 12, 2023
- Discretionary RAUM · $86.8M to $238MJul 19, 2023 to Oct 12, 2023
- Pooled vehicle RAUM · $4.1M to $78.5MJul 19, 2023 to Oct 12, 2023
- RAUM · $86.8M to $238MJul 19, 2023 to Oct 12, 2023
- Advisory employees · 4 to 3Nov 3, 2022 to Apr 4, 2023
- Employees · 9 to 8Nov 3, 2022 to Apr 4, 2023
- Private funds · unset to 1Nov 3, 2022 to Apr 4, 2023
- Discretionary RAUM · $57.0M to $86.8MNov 3, 2022 to Apr 4, 2023
- Pooled vehicle RAUM · $101,487 to $4.1MNov 3, 2022 to Apr 4, 2023
- RAUM · $57.0M to $86.8MNov 3, 2022 to Apr 4, 2023
- Advisory employees · 5 to 4Mar 30, 2022 to Nov 3, 2022
- Advisory employees · 3 to 5Jul 14, 2021 to Mar 30, 2022
- Employees · 8 to 9Jul 14, 2021 to Mar 30, 2022
- Discretionary RAUM · $100,000 to $57.0MJul 14, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $40.0M to $0Jul 14, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $100,000 to $101,487Jul 14, 2021 to Mar 30, 2022
- RAUM · $40.1M to $57.0MJul 14, 2021 to Mar 30, 2022
Signals
5 dated events
- S••••••••• C•••••• • R••••••• L•• reported RAUM $237.8M, up 174% from $86.8M (2023-07-19 to 2023-10-12)Oct 12, 2023 · RAUM change · derived
- Rhys Brandon Cole (Partner) appeared on Schedule A of S••••••••• C•••••• • R••••••• L••Apr 4, 2023 · Control person joined · fact
- J•••• M••• W••••••• (Partner) no longer on Schedule A of S••••••••• C•••••• • R••••••• L•• (listed 2021-03-31, absent 2021-07-14)Jul 14, 2021 · Control person left · inference
- J••• S•••••• J•••• (Chief Financial Officer) appeared on Schedule A of S••••••••• C•••••• • R••••••• L••Oct 20, 2020 · Control person joined · fact
- S••••••••• C•••••• • R••••••• L•• filed its initial SEC registration (Form ADV)Mar 4, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/shadowfall-capital-&-research-llpreportedpublic record, Form ADV, Sep 19, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- +44 (0) 20 79522608reportedpublic record, Form ADV, Mar 17, 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