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• O•• C•••••• M••••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Nov 4, 2019 · 17 filings
SEC status approved since Jul 24, 2020
RAUM
$2.4B
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
28
15 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
19
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$2.4B as of Mar 31, 2026
Mar 31, 2021$561M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 31, 20210 then
Employees (5.A)28 as of Mar 31, 2026
Mar 31, 202113 then
Private funds19 as of Mar 31, 2026
Mar 31, 20212 then
RAUM +17% over the last fiscal year+19% a year over threeIARs 0 to 0offices 2 to 1
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
- $128MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%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
- $2.4B, 19 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$2.4B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 19reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.4B for 19 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
20 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S• O•• C•••••• F••• I• A••••••••• L• | Private Equity Fund | $580M | 69 | Mar 31, 2022 |
| S• O•• C•••••• F••• I• A••••••••• L• | Private Equity Fund | $505M | 34 | Jul 15, 2021 |
| S• O•• C•••••• F••• I••• L•no longer reported | Private Equity Fund | $498M | 28 | Nov 4, 2019 |
| S• O•• C•••••• O••••••••• F••• I• L• | Private Equity Fund | $203M | 7 | Mar 28, 2024 |
| A•••• L• | Private Equity Fund | $150M | 2 | Mar 28, 2024 |
| S• O•• C•••••••• I•• L•• | Private Equity Fund | $64.6M | 2 | Mar 31, 2022 |
| S• O•• C•••••• F••• I••• L•no longer reported | Private Equity Fund | $63.2M | 9 | Nov 4, 2019 |
| S• O•• C•••••••• I••• L•• | Private Equity Fund | $17.9M | 2 | Mar 31, 2022 |
| S• O•• C•••••••• I•• L•• | Private Equity Fund | $17.6M | 2 | Mar 31, 2022 |
| S• O•• C•••••••• X•• L•• | Private Equity Fund | $15.0M | 5 | Mar 31, 2023 |
| S• O•• C•••••••• I•••• L•• | Private Equity Fund | $10.5M | 4 | Jun 14, 2022 |
| S• O•• C•••••••• V•• L•• | Private Equity Fund | $5.5M | 2 | Mar 31, 2022 |
| S• O•• C•••••••• V•••• L•• | Private Equity Fund | $5.0M | 2 | Mar 31, 2022 |
| S• O•• C•••••••• I•• L•• | Private Equity Fund | $4.5M | 1 | Jun 14, 2022 |
| S• O•• C•••••••• X• L•• | Private Equity Fund | $4.5M | 1 | Jun 14, 2022 |
| S• O•• C•••••••• V• L•• | Private Equity Fund | $4.0M | 2 | Mar 31, 2022 |
| S• O•• C•••••••• V••• L•• | Private Equity Fund | $2.9M | 2 | Mar 31, 2022 |
| S• O•• C•••••••• X••• L•• | Private Equity Fund | $1.1M | 2 | Jun 14, 2022 |
| S• O•• C•••••••• I• L•• | Private Equity Fund | $63,795 | 2 | Mar 31, 2022 |
| S• O•• C•••••• F••• I• ••••••••• L•no longer reported | Private Equity Fund | $0 | 0 | Nov 4, 2019 |
Owners and control persons
Schedule A and B, latest filing
- D••••• R•••••• N•• · Limited Partner; Managing Partner; Coocontrolsince 10/2019 · owns 25% to 50%
- G•••••• S•••••• J••• · Limited Partner; Ceo; Managing Partnercontrolsince 10/2019 · owns 25% to 50%
- K•••••• S••••• O•••••• · Ccocontrolsince 01/2023 · owns less than 5%
- M••••••• J••••• C••••••• · Cfocontrolsince 01/2023 · owns less than 5%
- G•••••• S•••••• J••• · Managing Membercontrolsince 10/2019 · owns 75% or more of S• O•• C•••••• M••••••••• L••
Entity owners
- S• O•• C•••••• M••••••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- S• O•• C•••••• L••pooled vehicle sponsorn
- S• O•• C•••••• O••••••••• P••••••• I• L•pooled vehicle sponsorn
- S• O•• C•••••• P••••••• I• L•pooled vehicle sponsorn
- S• O•• C•••••• P••••••• I•• L•pooled vehicle sponsorn
- S• O•• C•••••• S•• P•••••••• L•pooled vehicle sponsorn
- S• O•• C•••••••• I• M••••••• L••pooled vehicle sponsorn
- S• O•• C•••••••• I• M••••••• L••pooled vehicle sponsorn
- S• O•• C•••••••• I•• M••••••• L••pooled vehicle sponsorn
- S• O•• C•••••••• I• M••••••• L••pooled vehicle sponsorn
- S• O•• C•••••••• I• M••••••• L••pooled vehicle sponsorn
- S• O•• C•••••••• V• M••••••• L••pooled vehicle sponsorn
- S• O•• C•••••••• V• M••••••• L••pooled vehicle sponsorn
- S• O•• C•••••••• V•• M••••••• L••pooled vehicle sponsorn
- S• O•• C•••••••• V••• M••••••• L••pooled vehicle sponsorn
- S• O•• C•••••••• X• M••••••• L••pooled vehicle sponsorn
- S• O•• C•••••••• X• M••••••• L••pooled vehicle sponsorn
- S• O•• C•••••••• X•• M••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Redwood City, CA8 employees
- London, United Kingdom5 employees
What changed
consecutive filings, newest first
- Accounts · 17 to 19Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 16 to 15Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 17 to 19Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $2.1B to $2.4BMar 31, 2025 to Mar 31, 2026
- Employees · 30 to 28Mar 31, 2025 to Mar 31, 2026
- HQ city · WAYNE to REDWOOD CITYMar 31, 2025 to Mar 31, 2026
- HQ state · PA to CAMar 31, 2025 to Mar 31, 2026
- Other offices · 2 to 1Mar 31, 2025 to Mar 31, 2026
- Private funds · 17 to 19Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.1B to $2.4BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $2.1B to $2.4BMar 31, 2025 to Mar 31, 2026
- RAUM · $2.1B to $2.4BMar 31, 2025 to Mar 31, 2026
- Advisory employees · 13 to 16Jul 17, 2024 to Mar 31, 2025
- Assets in custody · $1.6B to $2.1BJul 17, 2024 to Mar 31, 2025
- Employees · 24 to 30Jul 17, 2024 to Mar 31, 2025
- Financial planning clients · unset to Jul 17, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.6B to $2.1BJul 17, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.6B to $2.1BJul 17, 2024 to Mar 31, 2025
- RAUM · $1.6B to $2.1BJul 17, 2024 to Mar 31, 2025
- Assets in custody · $1.6B to $1.6BMar 28, 2024 to Jul 17, 2024
- Discretionary RAUM · $1.6B to $1.6BMar 28, 2024 to Jul 17, 2024
- Pooled vehicle RAUM · $1.6B to $1.6BMar 28, 2024 to Jul 17, 2024
- RAUM · $1.6B to $1.6BMar 28, 2024 to Jul 17, 2024
- Accounts · 15 to 17Jun 23, 2023 to Mar 28, 2024
- Advisory employees · 15 to 13Jun 23, 2023 to Mar 28, 2024
- Pooled vehicle clients · 15 to 17Jun 23, 2023 to Mar 28, 2024
- Assets in custody · $1.4B to $1.6BJun 23, 2023 to Mar 28, 2024
- Private funds · 15 to 17Jun 23, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.4B to $1.6BJun 23, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.4B to $1.6BJun 23, 2023 to Mar 28, 2024
- RAUM · $1.4B to $1.6BJun 23, 2023 to Mar 28, 2024
- Accounts · 14 to 15Jan 20, 2023 to Mar 31, 2023
- Advisory employees · 13 to 15Jan 20, 2023 to Mar 31, 2023
- Pooled vehicle clients · 14 to 15Jan 20, 2023 to Mar 31, 2023
- Assets in custody · $1.1B to $1.4BJan 20, 2023 to Mar 31, 2023
- Employees · 21 to 24Jan 20, 2023 to Mar 31, 2023
- Private funds · 14 to 15Jan 20, 2023 to Mar 31, 2023
- Discretionary RAUM · $1.1B to $1.4BJan 20, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $1.1B to $1.4BJan 20, 2023 to Mar 31, 2023
- RAUM · $1.1B to $1.4BJan 20, 2023 to Mar 31, 2023
Signals
7 dated events
- S• O•• C•••••• M••••••••• L• reported RAUM $2.1B, up 31% from $1.6B (2024-07-17 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- James Matthew Foy (Limited Partner; Coo) no longer on Schedule A of S• O•• C•••••• M••••••••• L• (listed 2024-03-28, absent 2024-07-17)Jul 17, 2024 · Control person left · inference
- S• O•• C•••••• M••••••••• L• reported RAUM $1.4B, up 32% from $1.1B (2023-01-20 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Chalmers James Macadam (Cfo) appeared on Schedule A of S• O•• C•••••• M••••••••• L•Mar 31, 2023 · Control person joined · fact
- Oshrine Sasha Keough (Cco) appeared on Schedule A of S• O•• C•••••• M••••••••• L•Jan 20, 2023 · Control person joined · fact
- S• O•• C•••••• M••••••••• L• reported RAUM $1.1B, up 57% from $690.7M (2021-12-17 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- S• O•• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Nov 4, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S• O•• C•••••• M••••••••• L• · Independent Sponsorsshared crd · capital_provider
- S• O•• C•••••• M••••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/sr-one/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- s••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (408)-303-2673reportedpublic 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