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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Former SEC-registered adviser
S•••••••• C•••••• P•••••••• L••
Latest filing Mar 17, 2026
First filing on the tape Jun 21, 2024 · 3 filings
SEC status approved since Aug 19, 2024
RAUM
$357M
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
12
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$357M as of Mar 17, 2026
Apr 29, 2025$255M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 17, 2026
Apr 29, 20250 then
Employees (5.A)12 as of Mar 17, 2026
Apr 29, 202511 then
Private funds2 as of Mar 17, 2026
Apr 29, 20252 then
RAUM +40% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 17, 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
- $179MderivedRAUM 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
- +40%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $357M, 2 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$357M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $357M for 2 clientsreported
- Compensation
- performancereported
- Class basis
- absent from the latest SEC rosterderived
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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••••• I•• L•• | Venture Capital Fund | $207M | 3 | Oct 26, 2021 |
| S••••••••• L•• | Venture Capital Fund | $71.8M | 4 | Oct 26, 2021 |
Owners and control persons
Schedule A and B, latest filing
- U••••••• C•••••••• K••••••••• · Managing Partnercontrolsince 08/2021 · owns less than 5%
- W•••••• S•••••• L• · Manager, Beneficiarycontrolsince 08/2021 · owns 75% or more of S•• P••••••••• L••
- W•••••• T••••• L• · Manager, Beneficiarycontrolsince 08/2021 · owns 75% or more of 8•• I••••••••• L••
- B••••• I•••••• S•••• · Chief Compliance Officersince 06/2024 · owns less than 5%
Entity owners
- 8•• I••••••••• L•• · Investor Memberdirect · owns 75% or more
- S•• P••••••••• L•• · Investor Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 5 to 6Apr 29, 2025 to Mar 17, 2026
- Assets in custody · $255M to $357MApr 29, 2025 to Mar 17, 2026
- Employees · 11 to 12Apr 29, 2025 to Mar 17, 2026
- Discretionary RAUM · $255M to $357MApr 29, 2025 to Mar 17, 2026
- Pooled vehicle RAUM · $255M to $357MApr 29, 2025 to Mar 17, 2026
- RAUM · $255M to $357MApr 29, 2025 to Mar 17, 2026
- Advisory employees · 6 to 5Jun 21, 2024 to Apr 29, 2025
- Assets in custody · $279M to $255MJun 21, 2024 to Apr 29, 2025
- Employees · 10 to 11Jun 21, 2024 to Apr 29, 2025
- Financial planning clients · unset to Jun 21, 2024 to Apr 29, 2025
- Private funds · 4 to 2Jun 21, 2024 to Apr 29, 2025
- Discretionary RAUM · $279M to $255MJun 21, 2024 to Apr 29, 2025
- Pooled vehicle RAUM · $279M to $255MJun 21, 2024 to Apr 29, 2025
- RAUM · $279M to $255MJun 21, 2024 to Apr 29, 2025
Signals
3 dated events
- S•••••••• C•••••• P•••••••• L•• no longer on the SEC adviser roster (last listed 2026-08-03, RAUM $357.2M)Sep 1, 2026 · Left the SEC roster · derived
- S•••••••• C•••••• P•••••••• L•• reported RAUM $357.2M, up 40% from $254.7M (2025-04-29 to 2026-03-17)Mar 17, 2026 · RAUM change · derived
- S•••••••• C•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Jun 21, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••••••• C•••••• P•••••••• L•• · Venture Capitalshared crd · organization
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
- Former SEC-registered adviserderiveda 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