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

1•• S••••• P••••••• L•

Asset manager (funds and pooled vehicles)New York, New YorkCRD 308929SEC 801-118703IAPD
Latest filing Mar 20, 2026
First filing on the tape Apr 13, 2020 · 9 filings
SEC status approved since May 11, 2020
RAUM
$3.9B
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
14
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$3.9B as of Mar 20, 2026
Mar 29, 2021$1.1B then
HNW client RAUM$0 as of Mar 20, 2026
Mar 29, 2021$0 then
State-registered IARs (5.B.3)0 as of Mar 20, 2026
Mar 29, 20210 then
Employees (5.A)14 as of Mar 20, 2026
Mar 29, 202110 then
Private funds3 as of Mar 20, 2026
Mar 29, 20213 then
RAUM +38% over the last fiscal year+22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 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
$1.3BderivedRAUM 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
+38%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
$3.9B, 3 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$3.9B100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
3reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$3.9B for 3 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
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      1•• S••••• P••••••• M••••• F••• L•Hedge Fund$2.1B179Sep 8, 2020
      1•• S••••• P••••••• O•••••• L•Hedge Fund$981M88Sep 8, 2020
      1•• S••••• P••••••• O••••••• L•••Hedge Fund$618M91Sep 8, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • A•••• K••••• R•••••• · Chief Financial Officer & Chief Compliance Officercontrol
        since 11/2019 · owns less than 5%
      • D••••• J••••••• A•••••• · Chief Operating Officer & Head Of Business Developmentcontrol
        since 03/2020 · owns less than 5%
      • R••••••••• P••••• W•••••• · Managing Partner & Ciocontrol
        since 10/2019 · owns 75% or more
      • R••••••••• P••••• W•••••• · Managing Membercontrol
        since 10/2019 · owns 75% or more of 1•• S••••• P••••••• G• L••
      • W••••••• E••••• · Trusteecontrol
        since 06/2020 · owns F of 1•• S••••• T••••
      Entity owners
      • 1•• S••••• P••••••• G• L•• · General Partner
        direct · owns less than 5%
      • 1•• S••••• T•••• · Limited Partner
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • 1•• S••••• P••••••• F••• G• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $2.8B to $3.9B
        Mar 28, 2025 to Mar 20, 2026
      • Discretionary RAUM · $2.8B to $3.9B
        Mar 28, 2025 to Mar 20, 2026
      • Pooled vehicle RAUM · $2.8B to $3.9B
        Mar 28, 2025 to Mar 20, 2026
      • RAUM · $2.8B to $3.9B
        Mar 28, 2025 to Mar 20, 2026
      • Advisory employees · 9 to 10
        Mar 26, 2024 to Mar 28, 2025
      • Assets in custody · $2.1B to $2.8B
        Mar 26, 2024 to Mar 28, 2025
      • Employees · 13 to 14
        Mar 26, 2024 to Mar 28, 2025
      • Financial planning clients · unset to
        Mar 26, 2024 to Mar 28, 2025
      • Discretionary RAUM · $2.1B to $2.8B
        Mar 26, 2024 to Mar 28, 2025
      • Pooled vehicle RAUM · $2.1B to $2.8B
        Mar 26, 2024 to Mar 28, 2025
      • RAUM · $2.1B to $2.8B
        Mar 26, 2024 to Mar 28, 2025
      • Advisory employees · 8 to 9
        May 8, 2023 to Mar 26, 2024
      • Assets in custody · $2.1B to $2.1B
        May 8, 2023 to Mar 26, 2024
      • Employees · 12 to 13
        May 8, 2023 to Mar 26, 2024
      • Discretionary RAUM · $2.1B to $2.1B
        May 8, 2023 to Mar 26, 2024
      • Pooled vehicle RAUM · $2.1B to $2.1B
        May 8, 2023 to Mar 26, 2024
      • RAUM · $2.1B to $2.1B
        May 8, 2023 to Mar 26, 2024
      • Advisory employees · 6 to 8
        Mar 21, 2022 to Mar 29, 2023
      • Assets in custody · $1.7B to $2.1B
        Mar 21, 2022 to Mar 29, 2023
      • Employees · 10 to 12
        Mar 21, 2022 to Mar 29, 2023
      • Discretionary RAUM · $1.7B to $2.1B
        Mar 21, 2022 to Mar 29, 2023
      • Pooled vehicle RAUM · $1.7B to $2.1B
        Mar 21, 2022 to Mar 29, 2023
      • RAUM · $1.7B to $2.1B
        Mar 21, 2022 to Mar 29, 2023
      • Assets in custody · $399M to $1.7B
        Mar 29, 2021 to Mar 21, 2022
      • Discretionary RAUM · $1.1B to $1.7B
        Mar 29, 2021 to Mar 21, 2022
      • Pooled vehicle RAUM · $1.1B to $1.7B
        Mar 29, 2021 to Mar 21, 2022
      • RAUM · $1.1B to $1.7B
        Mar 29, 2021 to Mar 21, 2022
      • Related bank · false to true
        Mar 29, 2021 to Mar 21, 2022
      • Advisory employees · 5 to 6
        Sep 8, 2020 to Mar 29, 2021
      • Assets in custody · $433M to $399M
        Sep 8, 2020 to Mar 29, 2021
      • Employees · 8 to 10
        Sep 8, 2020 to Mar 29, 2021
      • Discretionary RAUM · $866M to $1.1B
        Sep 8, 2020 to Mar 29, 2021
      • Pooled vehicle RAUM · $866M to $1.1B
        Sep 8, 2020 to Mar 29, 2021
      • RAUM · $866M to $1.1B
        Sep 8, 2020 to Mar 29, 2021
      • Accounts · 0 to 3
        Apr 13, 2020 to Sep 8, 2020
      • Advisory employees · 4 to 5
        Apr 13, 2020 to Sep 8, 2020
      • Pooled vehicle clients · 0 to 3
        Apr 13, 2020 to Sep 8, 2020
      • Assets in custody · $0 to $433M
        Apr 13, 2020 to Sep 8, 2020
      • Custody of client assets · false to true
        Apr 13, 2020 to Sep 8, 2020
      • Employees · 6 to 8
        Apr 13, 2020 to Sep 8, 2020
      Signals
      6 dated events
      • 1•• S••••• P••••••• L• reported RAUM $3.9B, up 38% from $2.8B (2025-03-28 to 2026-03-20)
        Mar 20, 2026 · RAUM change · derived
      • 1•• S••••• P••••••• L• reported RAUM $2.8B, up 33% from $2.1B (2024-03-26 to 2025-03-28)
        Mar 28, 2025 · RAUM change · derived
      • 1•• S••••• P••••••• L• reported RAUM $1.7B, up 52% from $1.1B (2021-03-29 to 2022-03-21)
        Mar 21, 2022 · RAUM change · derived
      • 1•• S••••• P••••••• L• reported RAUM $1.1B, up 30% from $866.0M (2020-09-08 to 2021-03-29)
        Mar 29, 2021 · RAUM change · derived
      • Eloise Watkins (Trustee) appeared on Schedule A of 1•• S••••• P••••••• L•
        Sep 8, 2020 · Control person joined · fact
      • 1•• S••••• P••••••• L• filed its initial SEC registration (Form ADV)
        Apr 13, 2020 · 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
      212-804-9760reportedpublic record, Form ADV, Mar 20, 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