DFX Intelligence

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S••••••••• A•••• M••••••••• C•••••• L••

Asset manager (funds and pooled vehicles)SEC-registered3 private funds· Newport Beach, Californiawebsite

Asset manager (funds and pooled vehicles), based in Newport Beach, California, reporting $1.4B of regulatory assets.

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

As of 2026-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $1.4B
Advisors: 0
RAUM change, 1 year: +11%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 27 Mar 2026, RAUM $1.27B to $1.41B (+11.1%) on the Form ADV filed 27 Mar 2026.

Every filed figure, and the identifiersCRD 324111 · SEC 801-128115 · 5 filingsShow

CRD 324111SEC 801-128115First filing on the tape May 5, 2023, latest Mar 27, 2026SEC status approved since Jun 2, 2023IAPD

RAUM

$1.4B

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

8 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

5 filings and snapshots on the tape

RAUM +11% over the last fiscal year · the tape starts May 5, 2023

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

RAUM$1.4B as of Mar 27, 2026

Mar 28, 2024$614M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 27, 2026

Mar 28, 20240 then

Employees (5.A)14 as of Mar 27, 2026

Mar 28, 20245 then

Private funds3 as of Mar 27, 2026

Mar 28, 20241 then

RAUM +11% over the last fiscal yearIARs 0 to 0offices 0 to 1

Practice profile

derived from the filing of Mar 27, 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: $471MderivedRAUM 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: +11%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 assetsreportedItem 5.E
Advisory activities: portfolio management for pooled vehiclesreportedItem 5.G
Custody: $1.4B, 3 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)
receives research or other products from a broker-dealer, soft dollars (8.E)
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

100% pooled investment vehicles

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

Pooled investment vehicles$1.4B100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 3reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $1.4B for 3 clientsreported
Compensation: % of AUMreported
Class basis: RAUM: 0% private clients, 100% pooled funds, 0% institutions; no related broker-dealer; no 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

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

Fund	Type	Gross assets	Owners	First reported
S••••••••• P•••••• L•	Hedge Fund	$1.4B	2	Nov 17, 2022
S••••••••• P•••••• F••••••• F••• L•	Hedge Fund	$1.3B	1	Mar 27, 2026
S••••••••• P•••••• I••••••••• P••••••• F••• L•	Hedge Fund	$558,158	2	Mar 27, 2026

Owners and control persons

Schedule A and B, latest filing

B••••••• M•••• A••••• · Chief Operating Officer, Chief Compliance Officercontrol
since 11/2022 · owns less than 5%
N••••••• G••••• N••••• · Chief Executive Officer/ Chief Investment Officercontrol
since 11/2022 · owns less than 5%
N••••••• G••••• N••••• · O•••• S••••••••• P•••• L••control
since 02/2023 · owns 75% or more of S••••••••• P•••• L••

Entity owners

S••••••••• H••••••• L•• · Managing Member
direct · owns 75% or more
S••••••••• P•••• L•• · Managing Member
indirect · owns 75% or more of S••••••••• H••••••• L••

Related persons

Schedule D 7.A

S••••••••• P•••••• G•• L••
bankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 1 to 3
Mar 27, 2025 to Mar 27, 2026
Advisory employees · 5 to 8
Mar 27, 2025 to Mar 27, 2026
Pooled vehicle clients · 1 to 3
Mar 27, 2025 to Mar 27, 2026
Assets in custody · $1.3B to $1.4B
Mar 27, 2025 to Mar 27, 2026
Employees · 8 to 14
Mar 27, 2025 to Mar 27, 2026

Full history · 26 changes

Other offices · 0 to 1
Mar 27, 2025 to Mar 27, 2026
Private funds · 1 to 3
Mar 27, 2025 to Mar 27, 2026
Discretionary RAUM · $1.3B to $1.4B
Mar 27, 2025 to Mar 27, 2026
Pooled vehicle RAUM · $1.3B to $1.4B
Mar 27, 2025 to Mar 27, 2026
RAUM · $1.3B to $1.4B
Mar 27, 2025 to Mar 27, 2026
Assets in custody · $614M to $1.3B
Sep 25, 2024 to Mar 27, 2025
Employees · 6 to 8
Sep 25, 2024 to Mar 27, 2025
Financial planning clients · unset to
Sep 25, 2024 to Mar 27, 2025
Discretionary RAUM · $614M to $1.3B
Sep 25, 2024 to Mar 27, 2025
Pooled vehicle RAUM · $614M to $1.3B
Sep 25, 2024 to Mar 27, 2025
RAUM · $614M to $1.3B
Sep 25, 2024 to Mar 27, 2025
Related bank · true to false
Sep 25, 2024 to Mar 27, 2025
Advisory employees · 4 to 5
Mar 28, 2024 to Sep 25, 2024
Employees · 5 to 6
Mar 28, 2024 to Sep 25, 2024
Advisory employees · 2 to 4
May 5, 2023 to Mar 28, 2024
Assets in custody · $152M to $614M
May 5, 2023 to Mar 28, 2024
Employees · 3 to 5
May 5, 2023 to Mar 28, 2024
Private funds · 2 to 1
May 5, 2023 to Mar 28, 2024
Discretionary RAUM · $152M to $614M
May 5, 2023 to Mar 28, 2024
Pooled vehicle RAUM · $152M to $614M
May 5, 2023 to Mar 28, 2024
RAUM · $152M to $614M
May 5, 2023 to Mar 28, 2024

Signals

9 dated events

••• Locked
Mar 27, 2026 · ria office opened · fact
••• Locked
Mar 27, 2026 · private fund first reported · fact
••• Locked
Mar 27, 2026 · private fund first reported · fact
••• Locked
Mar 27, 2026 · private fund gav change · fact
••• Locked
Mar 27, 2026 · ria private fund assets change · fact

Full timeline · 9 events

••• Locked
Mar 27, 2025 · RAUM change · derived
••• Locked
Mar 28, 2024 · ria registration change · fact
••• Locked
Mar 28, 2024 · RAUM change · derived
••• Locked
May 5, 2023 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

S••••••••• A•••• M••••••••• C•••••• L•• · Venture Capital
same CRD · organization

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 27, 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

Across the graphs

S••••••••• A•••• M••••••••• C•••••• L•• is the same institution as 1 record in Venture Capital.

Venture Capital1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

Checking your plan…

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