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••••••• T••• C•••••• P•••••••• L•••
Latest filing Mar 31, 2026
First filing on the tape Mar 11, 2022 · 8 filings
SEC status approved since Apr 8, 2022
RAUM
$3.5B
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
30
15 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
12
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$3.5B as of Mar 31, 2026
Mar 31, 2023$968M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 31, 2026
Mar 31, 20233 then
Employees (5.A)30 as of Mar 31, 2026
Mar 31, 202323 then
Private funds12 as of Mar 31, 2026
Mar 31, 20235 then
RAUM +40% over the last fiscal year+54% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $885MderivedRAUM 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
- $295MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +40%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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$3.5B99%
- Other investment advisers$25.4M0.7%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 12reported
- 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=4.0derived
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
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••• T••• C•• 2•••••• L••• | Securitized Asset Fund | $414M | 1 | Mar 28, 2024 |
| S••••••• T••• C•• 2•••••• L••• | Securitized Asset Fund | $407M | 1 | Mar 28, 2024 |
| S••••••• T••• C•• 2•••••• L••• | Securitized Asset Fund | $402M | 1 | Mar 28, 2024 |
| S••••••• T••• C•• 2•••••• L••• | Securitized Asset Fund | $402M | 1 | Oct 27, 2021 |
| S••••••• T••• C•• F•••• L• | Private Equity Fund | $187M | 5 | Oct 27, 2021 |
| S••••••• T••• H••• G•••• C•• D••• F•••• L• | Hedge Fund | $58.6M | 1 | Mar 31, 2023 |
| S••••••• T••• F••••••• R••• L••• F•••• L• | Hedge Fund | $58.0M | 1 | Mar 31, 2023 |
| S••••••• T••• O••••••••• C••••• F•••• L• | Hedge Fund | $28.3M | 6 | Feb 12, 2021 |
| S••••••• T••• C•• 2•••••• L••• | Securitized Asset Fund | $3.2M | 1 | Mar 28, 2024 |
Owners and control persons
Schedule A and B, latest filing
- B••••• B•••••••• K•••• · Chief Compliance Officercontrolsince 03/2020 · owns less than 5%
- O••••• M•••• K•••••• · Chief Executive Officercontrolsince 10/2019 · owns less than 5%
- P•••••• L••• B•••••••• · Chief Investment Officercontrolsince 03/2020 · owns less than 5%
- W•••• C••••••••• A•••• · Director Of Financecontrolsince 07/2020 · owns less than 5%
- Y•••• J•••• F•••••• · Presidentcontrolsince 03/2020 · owns less than 5%
- O••••• M•••• K•••••• · Member/President/Secretary/Treasurercontrolsince 03/2020 · owns F of O•••• F••••• S•••••••• L••
- P•••••• L••• B•••••••• · Elected Managercontrolsince 10/2019 · owns F of T•• S•••• L••
- P•••••• L••• B•••••••• · Owner/General Partnercontrolsince 10/2019 · owns 75% or more of T•• P•••••••• L•
- P•••••••• K••••••• J••• · Trusteecontrolsince 12/2021 · owns 50% to 75% of J• Y••• F••••• 2••• T•••• U•••• 1••••••
- T•••••••• L•••••••• N••••• · Trusteecontrolsince 05/2022 · owns F of O•••• 2••• I••••••••• T••••
- Y•••• J••••• C•••••••• · Trusteecontrolsince 12/2021 · owns 50% to 75% of J• Y••• F••••• 2••• T•••• U•••• 1••••••
Entity owners
- J• Y••• F••••• 2••• T•••• U•••• 1•••••• · Limited Partnerdirect · owns 10% to 25%
- O•••• F••••• S•••••••• L•• · Limited Partnerdirect · owns 25% to 50%
- S••••••• T••• G• H•••••••• L•• · General Partnerdirect · owns less than 5%
- T•• S•••• L•• · Limited Partnerdirect · owns 10% to 25%
- O•••• 2••• I••••••••• T•••• · Ownerindirect · owns 75% or more of O•••• F••••• S•••••••• L••
- O•••• F••••• S•••••••• L•• · Memberindirect · owns 50% to 75% of S••••••• T••• G• H•••••••• L••
- T•• P•••••••• L• · Ownerindirect · owns 75% or more of T•• S•••• L••
Related persons
Schedule D 7.A
- S• F• L••• F••• G•• L••pooled vehicle sponsory
- S• H• C•• F••• G•• L••pooled vehicle sponsory
- S••••••• T••• C•• A•••••••• L•••investment adviseryRAUM $744M
- S••••••• T••• C•• F••• G•• L••pooled vehicle sponsory
- S••••••• T••• O••••••••• C••••• F••• G•• L••pooled vehicle sponsory
Advisers that list S••••••• T••• C•••••• P•••••••• L••• as a related person
- 314626 y
Offices
Schedule D 1.F, the 25 largest
- New York, NY5 employees
What changed
consecutive filings, newest first
- Accounts · 10 to 12Feb 6, 2026 to Mar 31, 2026
- Advisory activities · 2 to 3Feb 6, 2026 to Mar 31, 2026
- Pooled vehicle clients · 10 to 12Feb 6, 2026 to Mar 31, 2026
- Employees · 28 to 30Feb 6, 2026 to Mar 31, 2026
- Private funds · 10 to 12Feb 6, 2026 to Mar 31, 2026
- Discretionary RAUM · $2.5B to $3.5BFeb 6, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $2.5B to $3.5BFeb 6, 2026 to Mar 31, 2026
- RAUM · $2.5B to $3.5BFeb 6, 2026 to Mar 31, 2026
- Accounts · 9 to 10Feb 18, 2025 to Mar 17, 2025
- Advisory employees · 14 to 15Feb 18, 2025 to Mar 17, 2025
- Pooled vehicle clients · 9 to 10Feb 18, 2025 to Mar 17, 2025
- Employees · 26 to 28Feb 18, 2025 to Mar 17, 2025
- Financial planning clients · unset to Feb 18, 2025 to Mar 17, 2025
- Private funds · 9 to 10Feb 18, 2025 to Mar 17, 2025
- Discretionary RAUM · $1.8B to $2.5BFeb 18, 2025 to Mar 17, 2025
- Pooled vehicle RAUM · $1.8B to $2.5BFeb 18, 2025 to Mar 17, 2025
- RAUM · $1.8B to $2.5BFeb 18, 2025 to Mar 17, 2025
- Accounts · 7 to 9Mar 31, 2023 to Mar 28, 2024
- BD registered reps · 3 to 4Mar 31, 2023 to Mar 28, 2024
- Pooled vehicle clients · 7 to 9Mar 31, 2023 to Mar 28, 2024
- Employees · 23 to 26Mar 31, 2023 to Mar 28, 2024
- State-registered IARs · 3 to 4Mar 31, 2023 to Mar 28, 2024
- Private funds · 5 to 9Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $968M to $1.8BMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $968M to $1.8BMar 31, 2023 to Mar 28, 2024
- RAUM · $968M to $1.8BMar 31, 2023 to Mar 28, 2024
- Accounts · 4 to 7Nov 9, 2022 to Mar 31, 2023
- Advisory employees · 12 to 14Nov 9, 2022 to Mar 31, 2023
- BD registered reps · 1 to 3Nov 9, 2022 to Mar 31, 2023
- Pooled vehicle clients · 4 to 7Nov 9, 2022 to Mar 31, 2023
- Employees · 17 to 23Nov 9, 2022 to Mar 31, 2023
- State-registered IARs · 1 to 3Nov 9, 2022 to Mar 31, 2023
- Private funds · 3 to 5Nov 9, 2022 to Mar 31, 2023
- Discretionary RAUM · $766M to $968MNov 9, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $766M to $968MNov 9, 2022 to Mar 31, 2023
- RAUM · $766M to $968MNov 9, 2022 to Mar 31, 2023
- Accounts · 1 to 4Mar 11, 2022 to Nov 9, 2022
- Advisory activities · 1 to 2Mar 11, 2022 to Nov 9, 2022
- Pooled vehicle clients · 1 to 4Mar 11, 2022 to Nov 9, 2022
- Employees · 16 to 17Mar 11, 2022 to Nov 9, 2022
Signals
6 dated events
- S••••••• T••• C•••••• P•••••••• L••• reported RAUM $3.5B, up 40% from $2.5B (2026-02-06 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- S••••••• T••• C•••••• P•••••••• L••• reported RAUM $2.5B, up 41% from $1.8B (2025-02-18 to 2025-03-17)Mar 17, 2025 · RAUM change · derived
- S••••••• T••• C•••••• P•••••••• L••• reported RAUM $1.8B, up 85% from $968.3M (2023-03-31 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Nathan Lawrence Tonomura (Trustee) appeared on Schedule A of S••••••• T••• C•••••• P•••••••• L•••Mar 28, 2024 · Control person joined · fact
- S••••••• T••• C•••••• P•••••••• L••• reported RAUM $968.3M, up 26% from $766.3M (2022-11-09 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- S••••••• T••• C•••••• P•••••••• L••• filed its initial SEC registration (Form ADV)Mar 11, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••••• T••• C•••••• P•••••••• L••• · Independent Sponsorsshared crd · capital_provider
- S••••••• T••• C•••••• P•••••••• L••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- sycamorelp.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 214-251-8250reportedpublic 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