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•••••• P•••••• B•• A••••••• L••
Latest filing Jul 15, 2026
First filing on the tape Nov 12, 2021 · 7 filings
SEC status approved since Dec 14, 2021
RAUM
$473M
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
36
20 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$473M as of Jul 15, 2026
Mar 31, 2022$36.2M then
HNW client RAUM$0 as of Jul 15, 2026
Mar 31, 2022$0 then
State-registered IARs (5.B.3)0 as of Jul 15, 2026
Mar 31, 20220 then
Employees (5.A)36 as of Jul 15, 2026
Mar 31, 202229 then
Private funds: no history
RAUM +16% over the last fiscal year+24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 15, 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
- $473MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%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 investment companiesreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- 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=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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••••• W••••••• T••• · Cco And Cfocontrolsince 10/2021 · owns less than 5%
- L•••• R•••••• T•••••• · Managing Partnercontrolsince 12/2021 · owns less than 5%
- L•••• R•••••• T•••••• · Managing Membercontrolsince 01/2012 · owns 50% to 75% of S•• H••••••• G•• L•••
Entity owners
- S•••••• C•••••• M••••••••• L•• · Sole Memberdirect · owns 75% or more
- S•• H••••••• G•• L••• · General Partnerindirect · owns 75% or more of S•••••• C•••••• M••••••••• H•••••••• L•••
- S•••••• C•••••• M••••••••• H•••••••• L••• · Sole Memberindirect · owns 75% or more of S•••••• C•••••• M••••••••• L••
Related persons
Schedule D 7.A
- S•• I••••••• B• G•• L••pooled vehicle sponsorn
- S•••••• C•••••• M••••••••• L••investment adviseryRAUM $3.5B
- S•••••• C••••• F••• E•••• O••••••• G• I••• L•••pooled vehicle sponsorn
- S•••••• C••••• F••• O••••••• G• I•• L•••pooled vehicle sponsorn
- S•••••• C••••• F••• O••••••• G• I••• L•••pooled vehicle sponsorn
- S•••••• C••••• F••• O••••••• G•• L•••pooled vehicle sponsorn
- S•••••• C••••• M••••• F••• I• G•• L••pooled vehicle sponsorn
- S•••••• C••••• M••••• F••• I• G•• L••pooled vehicle sponsorn
- S•••••• C••••• M••••• F••• I•• G•• L••pooled vehicle sponsorn
- S•••••• S••••• S•••••• F••• G•• L••pooled vehicle sponsorn
Advisers that list S•••••• P•••••• B•• A••••••• L•• as a related person
- 160115 y
Offices
Schedule D 1.F, the 25 largest
- Charlotte, NC2 employees
- Bethesda, MD1 employees
What changed
consecutive filings, newest first
- Business name · S•••••• C•••••• I••••• P•••• L•• to S•••••• P•••••• B•• A••••••• L••Mar 31, 2026 to Jul 15, 2026
- Advisory employees · 18 to 20Mar 31, 2025 to Mar 31, 2026
- Employees · 37 to 36Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $406M to $473MMar 31, 2025 to Mar 31, 2026
- RAUM · $406M to $473MMar 31, 2025 to Mar 31, 2026
- Employees · 36 to 37Mar 30, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 30, 2024 to Mar 31, 2025
- Discretionary RAUM · $353M to $406MMar 30, 2024 to Mar 31, 2025
- RAUM · $353M to $406MMar 30, 2024 to Mar 31, 2025
- Employees · 35 to 36Mar 31, 2023 to Mar 30, 2024
- Discretionary RAUM · $245M to $353MMar 31, 2023 to Mar 30, 2024
- RAUM · $245M to $353MMar 31, 2023 to Mar 30, 2024
- Employees · 29 to 35Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $36.2M to $245MMar 31, 2022 to Mar 31, 2023
- RAUM · $36.2M to $245MMar 31, 2022 to Mar 31, 2023
- Related bank · false to trueMar 31, 2022 to Mar 31, 2023
- Accounts · 0 to 1Nov 12, 2021 to Mar 31, 2022
- Advisory employees · 17 to 18Nov 12, 2021 to Mar 31, 2022
- Employees · 28 to 29Nov 12, 2021 to Mar 31, 2022
- Legal name · S•••••• C•••••• I••••• P•••• L•• to S•••••• P•••••• B•• A••••••• L••Nov 12, 2021 to Mar 31, 2022
- Discretionary RAUM · $0 to $36.2MNov 12, 2021 to Mar 31, 2022
- RAUM · $0 to $36.2MNov 12, 2021 to Mar 31, 2022
Signals
2 dated events
- S•••••• P•••••• B•• A••••••• L•• reported RAUM $352.9M, up 44% from $245.5M (2023-03-31 to 2024-03-30)Mar 30, 2024 · RAUM change · derived
- S•••••• C•••••• I••••• P•••• L•• filed its initial SEC registration (Form ADV)Nov 12, 2021 · 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
- 713-292-5400reportedpublic record, Form ADV, Jul 15, 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