DFX Intelligence
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SEC-registered adviser
S••••••• P••••••• L•
Latest filing Jun 26, 2026
First filing on the tape Oct 20, 2022 · 8 filings
SEC status approved since Dec 7, 2022
RAUM
$7.4B
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
28
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$7.4B as of Jun 26, 2026
Mar 30, 2023$2.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 26, 2026
Mar 30, 20230 then
Employees (5.A)28 as of Jun 26, 2026
Mar 30, 202320 then
Private funds2 as of Jun 26, 2026
Mar 30, 20233 then
RAUM +52% over the last fiscal year+55% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 26, 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
- $1.8BderivedRAUM 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
- +52%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 vehiclesreportedItem 5.G
- Custody
- $7.4B, 4 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$7.4B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $7.4B for 4 clientsreported
- 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••• M••••• F••• L• | Hedge Fund | $3.0B | 133 | Oct 20, 2022 |
| S••••••• O•••••• F••• L• | Hedge Fund | $1.2B | 66 | Mar 30, 2023 |
| S••••••• O••••••• F••• L• | Hedge Fund | $757M | 54 | Mar 30, 2023 |
Owners and control persons
Schedule A and B, latest filing
- G••••••• M•••• G•••• · Chief Investment Officer / Limited Partnercontrolsince 02/2022 · owns 75% or more
- L•••••••• G•••••• C••••• · Chief Financial Officercontrolsince 02/2022 · owns less than 5%
- L••••• C••••••• K•• · Chief Operating Officercontrolsince 06/2022 · owns less than 5%
- M•••••• A•••••• D••• · Chief Compliance Officer And General Counselcontrolsince 02/2022 · owns less than 5%
- G••••••• M•••• G•••• · Managing Membercontrolsince 02/2022 · owns 75% or more of S••••••• G• L••
Entity owners
- S••••••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- S••••••• A••••••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 3 to 4Feb 26, 2026 to Mar 30, 2026
- Advisory employees · 10 to 12Feb 26, 2026 to Mar 30, 2026
- BD registered reps · 10 to 0Feb 26, 2026 to Mar 30, 2026
- Pooled vehicle clients · 3 to 4Feb 26, 2026 to Mar 30, 2026
- Assets in custody · $4.8B to $7.4BFeb 26, 2026 to Mar 30, 2026
- Employees · 24 to 28Feb 26, 2026 to Mar 30, 2026
- Discretionary RAUM · $4.8B to $7.4BFeb 26, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $4.8B to $7.4BFeb 26, 2026 to Mar 30, 2026
- RAUM · $4.8B to $7.4BFeb 26, 2026 to Mar 30, 2026
- Private funds · 1 to 2Mar 28, 2025 to Feb 26, 2026
- BD registered reps · 0 to 10Mar 29, 2024 to Mar 28, 2025
- Assets in custody · $3.0B to $4.8BMar 29, 2024 to Mar 28, 2025
- Employees · 23 to 24Mar 29, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $3.0B to $4.8BMar 29, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $3.0B to $4.8BMar 29, 2024 to Mar 28, 2025
- RAUM · $3.0B to $4.8BMar 29, 2024 to Mar 28, 2025
- Advisory employees · 8 to 10Mar 30, 2023 to Mar 29, 2024
- Assets in custody · $2.0B to $3.0BMar 30, 2023 to Mar 29, 2024
- Employees · 20 to 23Mar 30, 2023 to Mar 29, 2024
- Private funds · 3 to 1Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $2.0B to $3.0BMar 30, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $2.0B to $3.0BMar 30, 2023 to Mar 29, 2024
- RAUM · $2.0B to $3.0BMar 30, 2023 to Mar 29, 2024
- Accounts · unset to 3.0Dec 7, 2022 to Mar 30, 2023
- Pooled vehicle clients · unset to 3.0Dec 7, 2022 to Mar 30, 2023
- Assets in custody · $0 to $2.0BDec 7, 2022 to Mar 30, 2023
- Employees · 17 to 20Dec 7, 2022 to Mar 30, 2023
- Private funds · 1 to 3Dec 7, 2022 to Mar 30, 2023
- Discretionary RAUM · unset to 1991328718.0Dec 7, 2022 to Mar 30, 2023
- Non-discretionary RAUM · unset to 0.0Dec 7, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · unset to 1991328718.0Dec 7, 2022 to Mar 30, 2023
- RAUM · unset to 1991328718.0Dec 7, 2022 to Mar 30, 2023
- Related bank · false to trueDec 7, 2022 to Mar 30, 2023
Signals
4 dated events
- ••• LockedMar 30, 2026 · RAUM change · derived
- ••• LockedMar 28, 2025 · RAUM change · derived
- ••• LockedMar 29, 2024 · RAUM change · derived
- ••• LockedOct 20, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••••• P••••••• L• · Independent Sponsorsshared crd · capital_provider
- S••••••• P••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- s•••••••.comreportedpublic record, Form ADV, Jun 26, 2026
- Principal office phone
- 646-974-6340reportedpublic record, Form ADV, Jun 26, 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