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•••••••• M•••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jun 30, 2023 · 5 filings
SEC status approved since Jul 28, 2023
RAUM
$645M
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
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$645M as of Mar 31, 2026
Mar 29, 2024$576M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20240 then
Employees (5.A)10 as of Mar 31, 2026
Mar 29, 202412 then
Private funds7 as of Mar 31, 2026
Mar 29, 20247 then
RAUM +6.4% over the last fiscal yearIARs 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
- $92.1MderivedRAUM 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
- +6.4%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 vehicles, otherreportedItem 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$645M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- 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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••••• M•••••• P•••••••• L• | Other Private Fund | $259M | 229 | Mar 31, 2021 |
| S•••••••• M•••••• P••••••• I•• L• | Other Private Fund | $158M | 124 | Jun 30, 2023 |
| S•••••••• T•••• S••••••• L• | Other Private Fund | $100M | 100 | Mar 30, 2023 |
| S•••••••• M•• S••••••• L• | Other Private Fund | $26.9M | 27 | Mar 31, 2021 |
| M•• F••••• R••• E••••• P••••••••• I•• L•• | Other Private Fund | $18.4M | 1 | Mar 30, 2023 |
| F••••• H•••••••• L• | Other Private Fund | $9.3M | 2 | Jul 31, 2020 |
| F••••• H••••••• I•• L• | Other Private Fund | $4.9M | 2 | Mar 30, 2022 |
Owners and control persons
Schedule A and B, latest filing
- B••••• W••••••• K••• · Managing Member, Chief Compliance Officercontrolsince 07/2020 · owns 75% or more
Related persons
Schedule D 7.A
- S•••••••• M•••••• P••••••• G•• L•pooled vehicle sponsorn
- S•••••••• M•••••• P••••••• I• G•• L•pooled vehicle sponsorn
- S•••••••• T•••• S•••••• G•• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 12 to 10Mar 30, 2025 to Mar 31, 2026
- Discretionary RAUM · $606M to $645MMar 30, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $606M to $645MMar 30, 2025 to Mar 31, 2026
- RAUM · $606M to $645MMar 30, 2025 to Mar 31, 2026
- Advisory employees · 4 to 8May 23, 2024 to Mar 30, 2025
- Financial planning clients · unset to May 23, 2024 to Mar 30, 2025
- Discretionary RAUM · $576M to $606MMay 23, 2024 to Mar 30, 2025
- Pooled vehicle RAUM · $576M to $606MMay 23, 2024 to Mar 30, 2025
- RAUM · $576M to $606MMay 23, 2024 to Mar 30, 2025
- Advisory employees · 3 to 4Jun 30, 2023 to Mar 29, 2024
- Employees · 9 to 12Jun 30, 2023 to Mar 29, 2024
- Private funds · 14 to 7Jun 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $571M to $576MJun 30, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $571M to $576MJun 30, 2023 to Mar 29, 2024
- RAUM · $571M to $576MJun 30, 2023 to Mar 29, 2024
Signals
1 dated events
- S•••••••• M•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 30, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••••••• M•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- S•••••••• M•••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/spicewoodpartners/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- spicewoodpartners.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 214-489-7090reportedpublic 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