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•••••• P••••••• M••••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Jun 29, 2022 · 11 filings
SEC status approved since Jul 29, 2022
RAUM
$686M
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
11
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
13
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$686M as of Mar 31, 2026
Mar 30, 2023$471M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20230 then
Employees (5.A)11 as of Mar 31, 2026
Mar 30, 20237 then
Private funds13 as of Mar 31, 2026
Mar 30, 20238 then
RAUM +1.3% over the last fiscal year+13% 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
- $52.8MderivedRAUM 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
- +1.3%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
- 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)
- 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$686M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 13reported
- 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=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
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•• C•••••• P••••••• I• L• | Private Equity Fund | $290M | 54 | Mar 18, 2021 |
| S•• P•••••• P•••• S•••••••• F••• I• L• | Private Equity Fund | $58.8M | 5 | Aug 13, 2020 |
| S•• E••••••••• F••• I• L• | Private Equity Fund | $49.1M | 9 | Mar 31, 2022 |
| S•• C•••••• P••••••• I••• L• | Private Equity Fund | $47.5M | 23 | Mar 31, 2022 |
| S•• C••••••• P••••••• I••• L• | Private Equity Fund | $40.3M | 1 | Mar 30, 2023 |
| S•• E••••••••• C••••••• I• L• | Private Equity Fund | $25.0M | 2 | Mar 28, 2024 |
| S•• C••••••• P••••••• I••• L• | Private Equity Fund | $24.0M | 8 | Mar 30, 2023 |
| S•• C••••••• P••••••• I• L• | Private Equity Fund | $16.2M | 3 | Mar 30, 2023 |
| S•• S•••••• F••• I•• L• | Private Equity Fund | $8.6M | 6 | Mar 18, 2021 |
| S•• P•••••• P•••• C••••••• •••••• L• | Private Equity Fund | $2.1M | 1 | Mar 28, 2024 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• R••••• N•• · Managing Partnercontrolsince 01/2020 · owns less than 5%
- G•••••••• S•••• G••••• · Partnercontrolsince 01/2020 · owns less than 5%
- M•••••• G••• M••• · Chief Compliance Officercontrolsince 08/2022 · owns less than 5%
- W•••••• M•••••• R••• · Operating Partnercontrolsince 01/2020 · owns less than 5%
- A•••••• R••••• N•• · Membercontrolsince 01/2020 · owns 25% to 50% of S•• C•••••• P•••••••• L••
- G•••••••• S•••• G••••• · Membercontrolsince 01/2020 · owns 25% to 50% of S•• C•••••• P•••••••• L••
- S••••• C••••••••• L••• · Membercontrolsince 01/2020 · owns F of S•• C•••••• P•••••••• L••
- W•••••• M•••••• R••• · Membercontrolsince 01/2020 · owns F of S•• C•••••• P•••••••• L••
Entity owners
- S•• C•••••• P•••••••• L•• · General Partnerdirect · owns 75% or more
Related persons
Schedule D 7.A
- S•• C•••••• P••••••• C•••••••• G•• L•pooled vehicle sponsorn
- S•• C•••••• P••••••• G• I• L•pooled vehicle sponsorn
- S•• E••••••••• F••• G• I• L•pooled vehicle sponsorn
- S•• S•••••• F••• G• I•• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- New York, NY3 employees
What changed
consecutive filings, newest first
- Accounts · 12 to 13Nov 25, 2025 to Mar 31, 2026
- Advisory employees · 10 to 7Nov 25, 2025 to Mar 31, 2026
- Pooled vehicle clients · 12 to 13Nov 25, 2025 to Mar 31, 2026
- Employees · 15 to 11Nov 25, 2025 to Mar 31, 2026
- Private funds · 12 to 13Nov 25, 2025 to Mar 31, 2026
- Discretionary RAUM · $677M to $686MNov 25, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $677M to $686MNov 25, 2025 to Mar 31, 2026
- RAUM · $677M to $686MNov 25, 2025 to Mar 31, 2026
- Accounts · 10 to 12Jun 18, 2024 to Mar 28, 2025
- Advisory employees · 6 to 10Jun 18, 2024 to Mar 28, 2025
- Pooled vehicle clients · 10 to 12Jun 18, 2024 to Mar 28, 2025
- Employees · 8 to 15Jun 18, 2024 to Mar 28, 2025
- Financial planning clients · unset to Jun 18, 2024 to Mar 28, 2025
- Private funds · 10 to 12Jun 18, 2024 to Mar 28, 2025
- Discretionary RAUM · $471M to $677MJun 18, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $471M to $677MJun 18, 2024 to Mar 28, 2025
- RAUM · $471M to $677MJun 18, 2024 to Mar 28, 2025
- Accounts · 8 to 10Mar 30, 2023 to Mar 28, 2024
- Advisory employees · 7 to 6Mar 30, 2023 to Mar 28, 2024
- Pooled vehicle clients · 8 to 10Mar 30, 2023 to Mar 28, 2024
- Employees · 7 to 8Mar 30, 2023 to Mar 28, 2024
- Private funds · 8 to 10Mar 30, 2023 to Mar 28, 2024
- Accounts · 5 to 8Dec 21, 2022 to Mar 30, 2023
- Pooled vehicle clients · 5 to 8Dec 21, 2022 to Mar 30, 2023
- Private funds · 5 to 8Dec 21, 2022 to Mar 30, 2023
- Discretionary RAUM · $282M to $471MDec 21, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $282M to $471MDec 21, 2022 to Mar 30, 2023
- RAUM · $282M to $471MDec 21, 2022 to Mar 30, 2023
- Private funds · 10 to 5Jun 29, 2022 to Dec 13, 2022
Signals
4 dated events
- S•• C•••••• P••••••• M••••••••• L• reported RAUM $676.8M, up 44% from $471.4M (2024-06-18 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- S•• C•••••• P••••••• M••••••••• L• reported RAUM $471.4M, up 67% from $281.9M (2022-12-21 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Gil M••••• (Chief Compliance Officer) appeared on Schedule A of S•• C•••••• P••••••• M••••••••• L•Dec 13, 2022 · Control person joined · fact
- S•• C•••••• P••••••• M••••••••• L• filed its initial SEC registration (Form ADV)Jun 29, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•• C•••••• P••••••• M••••••••• L• · Independent Sponsorsshared crd · capital_provider
- S•• C•••••• P••••••• M••••••••• L• · Private Equityshared crd · organization
- S•• C•••••• P••••••• M••••••••• L• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/ser-capital-partners/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- sercapitalpartners.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-873-1011reportedpublic 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