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•••• P••••••• L•
Latest filing Mar 24, 2026
First filing on the tape Aug 27, 2019 · 15 filings
SEC status approved since Sep 26, 2019
RAUM
$1.2B
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
10
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$1.2B as of Mar 24, 2026
Mar 27, 2020$698M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 27, 20200 then
Employees (5.A)10 as of Mar 24, 2026
Mar 27, 20209 then
Private funds1 as of Mar 24, 2026
Mar 27, 20201 then
RAUM +0.4% over the last fiscal year+5.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 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
- $413MderivedRAUM 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
- +0.4%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)
- 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$1.2B100%
- 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
- $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=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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••• C•••••• P••••••• M••••• F•••• L••• | Hedge Fund | $1.5B | 83 | Aug 27, 2019 |
| S•••• B••••• F•••• L• | Hedge Fund | $33.6M | 6 | Mar 30, 2022 |
Owners and control persons
Schedule A and B, latest filing
- F•••••• P••••• R••••• O••• · Limited Partnercontrolsince 07/2019 · owns 25% to 50%
- P•••••• C••••• D•••• · Limited Partnercontrolsince 07/2019 · owns 25% to 50%
- S••••• W••••••• C••••• · Cfo/Cco/Limited Partnercontrolsince 07/2019 · owns less than 5%
- F•••••• P••••• R••••• O••• · Membercontrolsince 07/2019 · owns 50% to 75% of S•••• P••••••• L••
- P•••••• C••••• D•••• · Membercontrolsince 07/2019 · owns 50% to 75% of S•••• P••••••• L••
Entity owners
- S•••• P••••••• L•• · G•••••• P••••••direct · owns less than 5%
Related persons
Schedule D 7.A
- S•••• C•••••• P••••••• G•• L••investment adviserbankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $1.2B to $1.2BMar 21, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $1.2B to $1.2BMar 21, 2025 to Mar 24, 2026
- RAUM · $1.2B to $1.2BMar 21, 2025 to Mar 24, 2026
- Advisory employees · 6 to 5Mar 25, 2024 to Mar 21, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 21, 2025
- Discretionary RAUM · $1.5B to $1.2BMar 25, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · $1.5B to $1.2BMar 25, 2024 to Mar 21, 2025
- RAUM · $1.5B to $1.2BMar 25, 2024 to Mar 21, 2025
- Accounts · 4 to 3Aug 31, 2023 to Mar 25, 2024
- Pooled vehicle clients · 4 to 3Aug 31, 2023 to Mar 25, 2024
- Private funds · 2 to 1Aug 31, 2023 to Mar 25, 2024
- Discretionary RAUM · $1.0B to $1.5BAug 31, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $1.0B to $1.5BAug 31, 2023 to Mar 25, 2024
- RAUM · $1.0B to $1.5BAug 31, 2023 to Mar 25, 2024
- Employees · 11 to 10Mar 28, 2023 to Aug 8, 2023
- Advisory employees · 5 to 6Mar 30, 2022 to Mar 28, 2023
- Discretionary RAUM · $1.1B to $1.0BMar 30, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $1.1B to $1.0BMar 30, 2022 to Mar 28, 2023
- RAUM · $1.1B to $1.0BMar 30, 2022 to Mar 28, 2023
- Accounts · 3 to 4Mar 30, 2021 to Mar 30, 2022
- Pooled vehicle clients · 3 to 4Mar 30, 2021 to Mar 30, 2022
- Employees · 9 to 11Mar 30, 2021 to Mar 30, 2022
- Private funds · 1 to 2Mar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $967M to $1.1BMar 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $967M to $1.1BMar 30, 2021 to Mar 30, 2022
- RAUM · $967M to $1.1BMar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $698M to $967MFeb 21, 2021 to Mar 30, 2021
- Pooled vehicle RAUM · $698M to $967MFeb 21, 2021 to Mar 30, 2021
- RAUM · $698M to $967MFeb 21, 2021 to Mar 30, 2021
- Discretionary RAUM · $695M to $698MJan 23, 2020 to Mar 27, 2020
- Pooled vehicle RAUM · $695M to $698MJan 23, 2020 to Mar 27, 2020
- RAUM · $695M to $698MJan 23, 2020 to Mar 27, 2020
- Accounts · 0 to 3Aug 27, 2019 to Jan 23, 2020
- Pooled vehicle clients · unset to 3.0Aug 27, 2019 to Jan 23, 2020
- Employees · 8 to 9Aug 27, 2019 to Jan 23, 2020
- Discretionary RAUM · $0 to $695MAug 27, 2019 to Jan 23, 2020
- Pooled vehicle RAUM · unset to 694672835.0Aug 27, 2019 to Jan 23, 2020
- RAUM · $0 to $695MAug 27, 2019 to Jan 23, 2020
- Related adviser · false to trueAug 27, 2019 to Jan 23, 2020
Signals
5 dated events
- S•••• P••••••• L• reported RAUM $1.5B, up 40% from $1.0B (2023-08-31 to 2024-03-25)Mar 25, 2024 · RAUM change · derived
- Frances Annmarie Greene (Partner/Head Of Investor Relations) no longer on Schedule A of S•••• P••••••• L• (listed 2023-03-28, absent 2023-08-08)Aug 8, 2023 · Control person left · inference
- S•••• P••••••• L• reported RAUM $966.8M, up 39% from $697.7M (2021-02-21 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- Frances Annmarie Greene (Partner/Head Of Investor Relations) appeared on Schedule A of S•••• P••••••• L•Nov 10, 2020 · Control person joined · fact
- S•••• P••••••• L• filed its initial SEC registration (Form ADV)Aug 27, 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
- Principal office phone
- 617-702-7399reportedpublic record, Form ADV, Mar 24, 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