DFX Intelligence

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S••••• M••••••••• L•••

Asset manager (funds and pooled vehicles)SEC-registered1 private fundswebsite

Asset manager (funds and pooled vehicles), reporting $234M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-07-10 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $234M
Advisors: 0
RAUM change, 1 year: -36%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-07-10 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

-36.4%
RAUM, one year
RAUM $368M to $234M (-36.4%) on the Form ADV filed 10 Jul 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 311817 · SEC 801-119991 · 11 filingsShow

CRD 311817SEC 801-119991First filing on the tape Nov 17, 2020, latest Jul 10, 2026SEC status approved since Dec 16, 2020IAPD

RAUM

$234M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

11 filings and snapshots on the tape

RAUM -24% a year over three years · the tape starts Nov 17, 2020

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$234M as of Jul 10, 2026

Jun 9, 2022$792M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Jul 10, 2026

Mar 24, 20210 then

Employees (5.A)6 as of Jul 10, 2026

Mar 24, 20214 then

Private funds1 as of Jul 10, 2026

Jun 9, 20221 then

RAUM -36% over the last fiscal year-24% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Jul 10, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $234MderivedRAUM 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: -36%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities: portfolio management for pooled vehiclesreportedItem 5.G
Custody: $234M, 1 clientreportedItem 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)
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

100% pooled investment vehicles

The breakdown by client type, and the client counts1 client typesShow

Pooled investment vehicles$234M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 1reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $234M for 1 clientreported
Compensation: % of AUM, fixed, performancereported
Class basis: RAUM: 0% private clients, 100% pooled funds, 0% institutions; no related broker-dealer; a related bankderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
S••••• P••••••• L•••	Hedge Fund	$234M	35	Apr 12, 2021

Owners and control persons

Schedule A and B, latest filing

K••••••• D•••••• C•••••• · Chief Investment Officer And Limited Partnercontrol
since 11/2020 · owns 50% to 75%
P••••• M•••••• N•••••••• · Chief Compliance Officer, Chief Financial Officer, Chief Operating Officer, And Limited Partnercontrol
since 11/2020 · owns 10% to 25%
W•••••• J••••••• A••• · Portfolio Manager And Limited Partnercontrol
since 11/2020 · owns 10% to 25%
K••••••• D•••••• C•••••• · Membercontrol
since 11/2020 · owns 50% to 75% of S••••• L••

Entity owners

S••••• L•• · General Partner
direct · owns less than 5%

Related persons

Schedule D 7.A

S••••• P••••••• G•• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

, 1 employee

ADV anomalies

1 against comparable advisers; where to look, not conclusions

RAUM down 25 %Change between filings · filing Mar 31, 2026
RAUM (Item 5.F) moved from $367,520,868 to $233,666,374 (-36.0%) between the annual amendments of 2025-03-26 and 2026-03-31; the peer median change was +4.0% (1140 comparable advisers, 7.0th percentile of changes)
peers: asset managers, $100M to $500M (1,140) · 6.8% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Assets in custody · $368M to $234M
Mar 26, 2025 to Mar 31, 2026
Employees · 5 to 6
Mar 26, 2025 to Mar 31, 2026
Discretionary RAUM · $368M to $234M
Mar 26, 2025 to Mar 31, 2026
Pooled vehicle RAUM · $368M to $234M
Mar 26, 2025 to Mar 31, 2026
RAUM · $368M to $234M
Mar 26, 2025 to Mar 31, 2026

Full history · 47 changes

Assets in custody · $439M to $368M
Mar 28, 2024 to Mar 26, 2025
Financial planning clients · unset to
Mar 28, 2024 to Mar 26, 2025
HQ city · unset to
Mar 28, 2024 to Mar 26, 2025
HQ state · unset to
Mar 28, 2024 to Mar 26, 2025
Discretionary RAUM · $439M to $368M
Mar 28, 2024 to Mar 26, 2025
Pooled vehicle RAUM · $439M to $368M
Mar 28, 2024 to Mar 26, 2025
RAUM · $439M to $368M
Mar 28, 2024 to Mar 26, 2025
Assets in custody · $528M to $439M
Mar 30, 2023 to Mar 28, 2024
Employees · 4 to 5
Mar 30, 2023 to Mar 28, 2024
Discretionary RAUM · $528M to $439M
Mar 30, 2023 to Mar 28, 2024
Pooled vehicle RAUM · $528M to $439M
Mar 30, 2023 to Mar 28, 2024
RAUM · $528M to $439M
Mar 30, 2023 to Mar 28, 2024
Assets in custody · $792M to $528M
Jun 9, 2022 to Mar 30, 2023
Discretionary RAUM · $792M to $528M
Jun 9, 2022 to Mar 30, 2023
Pooled vehicle RAUM · $792M to $528M
Jun 9, 2022 to Mar 30, 2023
RAUM · $792M to $528M
Jun 9, 2022 to Mar 30, 2023
Other offices · 0 to 1
Mar 23, 2022 to Apr 29, 2022
Assets in custody · $1.7B to $792M
Apr 12, 2021 to Mar 23, 2022
Discretionary RAUM · $1.7B to $792M
Apr 12, 2021 to Mar 23, 2022
Pooled vehicle RAUM · $1.7B to $792M
Apr 12, 2021 to Mar 23, 2022
RAUM · $1.7B to $792M
Apr 12, 2021 to Mar 23, 2022
Accounts · unset to 1.0
Mar 24, 2021 to Apr 12, 2021
Advisory activities · 2 to 1
Mar 24, 2021 to Apr 12, 2021
Business name · S••••• M••••••••• to S••••• M••••••••• L•••
Mar 24, 2021 to Apr 12, 2021
Pooled vehicle clients · unset to 1.0
Mar 24, 2021 to Apr 12, 2021
Assets in custody · unset to 1719312991.0
Mar 24, 2021 to Apr 12, 2021
Custody of client assets · false to true
Mar 24, 2021 to Apr 12, 2021
HQ city · BROOKLYN to unset
Mar 24, 2021 to Apr 12, 2021
HQ state · NY to unset
Mar 24, 2021 to Apr 12, 2021
Private funds · unset to 1
Mar 24, 2021 to Apr 12, 2021
Discretionary RAUM · unset to 1719312991.0
Mar 24, 2021 to Apr 12, 2021
Non-discretionary RAUM · unset to 0.0
Mar 24, 2021 to Apr 12, 2021
Pooled vehicle RAUM · unset to 1719312991.0
Mar 24, 2021 to Apr 12, 2021
RAUM · unset to 1719312991.0
Mar 24, 2021 to Apr 12, 2021
Related bank · false to true
Mar 24, 2021 to Apr 12, 2021
Accounts · 0.0 to unset
Nov 17, 2020 to Mar 24, 2021
Advisory employees · 3 to 4
Nov 17, 2020 to Mar 24, 2021
Advisory activities · 1 to 2
Nov 17, 2020 to Mar 24, 2021
Legal name · S••••• M••••••••• LP to S••••• M••••••••• L•••
Nov 17, 2020 to Mar 24, 2021
Discretionary RAUM · 0.0 to unset
Nov 17, 2020 to Mar 24, 2021
Non-discretionary RAUM · 0.0 to unset
Nov 17, 2020 to Mar 24, 2021
RAUM · 0.0 to unset
Nov 17, 2020 to Mar 24, 2021

Signals

5 dated events

••• Locked
Mar 31, 2026 · RAUM change · derived
••• Locked
Mar 30, 2023 · RAUM change · derived
••• Locked
Mar 23, 2022 · RAUM change · derived
••• Locked
Mar 24, 2021 · Control person joined · fact
••• Locked
Nov 17, 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

Website: ••• Lockedreportedpublic record, Form ADV, Jul 10, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jul 10, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months.