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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S•• P•••••••
Legal name S•• P••••••• L•
Latest filing Jul 8, 2026
First filing on the tape Mar 15, 2023 · 9 filings
SEC status approved since Apr 14, 2023
RAUM
$646M
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
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$646M as of Jul 8, 2026
Mar 25, 2024$783M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 8, 2026
Mar 25, 20240 then
Employees (5.A)5 as of Jul 8, 2026
Mar 25, 20246 then
Private funds2 as of Jul 8, 2026
Mar 25, 20241 then
RAUM -21% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 8, 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
- $323MderivedRAUM 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
- -21%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
- 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)
- 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$646M100%
- 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
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•• C•• ••• L• | Private Equity Fund | $783M | 2 | Aug 11, 2023 |
Owners and control persons
Schedule A and B, latest filing
- S•••••••• E•••• S••••• · Partnercontrolsince 10/2020 · owns 25% to 50%
- S••••••• J•••••• L••••• · Partnercontrolsince 10/2020 · owns 25% to 50%
- W••••• A••••••• F•••••••• · Partnercontrolsince 10/2020 · owns 25% to 50%
- S•••••••• E•••• S••••• · Membercontrolsince 10/2021 · owns 25% to 50% of S•• A••••••• L••
- S••••••• J•••••• L••••• · Membercontrolsince 10/2021 · owns 25% to 50% of S•• A••••••• L••
- W••••• A••••••• F•••••••• · Membercontrolsince 10/2021 · owns 25% to 50% of S•• A••••••• L••
- T•••••••• S••••• L••• · Chief Compliance Officersince 08/2024 · owns less than 5%
Entity owners
- S•• A••••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- A•• A••••••••• L••broker-dealern
- S•• C•• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Jul 8, 2026broker-dealer affiliate (Item 7.A.1): yes on the filing of 2026-03-30, no on the filing of 2026-07-08peers: asset managers, $500M to $1B (784)
What changed
consecutive filings, newest first
- Related broker-dealer · true to falseMar 30, 2026 to Jul 8, 2026
- Accounts · 1 to 2Mar 10, 2025 to Mar 30, 2026
- Advisory employees · 6 to 5Mar 10, 2025 to Mar 30, 2026
- Pooled vehicle clients · 1 to 2Mar 10, 2025 to Mar 30, 2026
- Employees · 6 to 5Mar 10, 2025 to Mar 30, 2026
- Private funds · 1 to 2Mar 10, 2025 to Mar 30, 2026
- Discretionary RAUM · $814M to $646MMar 10, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $814M to $646MMar 10, 2025 to Mar 30, 2026
- RAUM · $814M to $646MMar 10, 2025 to Mar 30, 2026
- Financial planning clients · unset to Aug 23, 2024 to Mar 10, 2025
- Discretionary RAUM · $783M to $814MAug 23, 2024 to Mar 10, 2025
- Pooled vehicle RAUM · $783M to $814MAug 23, 2024 to Mar 10, 2025
- RAUM · $783M to $814MAug 23, 2024 to Mar 10, 2025
- Advisory employees · 5 to 6Aug 11, 2023 to Mar 25, 2024
- Employees · 5 to 6Aug 11, 2023 to Mar 25, 2024
- Discretionary RAUM · $855M to $783MAug 11, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $855M to $783MAug 11, 2023 to Mar 25, 2024
- RAUM · $855M to $783MAug 11, 2023 to Mar 25, 2024
- Accounts · unset to 1.0Apr 18, 2023 to Aug 11, 2023
- Pooled vehicle clients · unset to 1.0Apr 18, 2023 to Aug 11, 2023
- Private funds · unset to 1Apr 18, 2023 to Aug 11, 2023
- Discretionary RAUM · unset to 854942439.0Apr 18, 2023 to Aug 11, 2023
- Non-discretionary RAUM · unset to 0.0Apr 18, 2023 to Aug 11, 2023
- Pooled vehicle RAUM · unset to 854942439.0Apr 18, 2023 to Aug 11, 2023
- RAUM · unset to 854942439.0Apr 18, 2023 to Aug 11, 2023
Signals
1 dated events
- S•• P••••••• filed its initial SEC registration (Form ADV)Mar 15, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•• P••••••• · Independent Sponsorsshared crd · capital_provider
- S•• P••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212 838 8810reportedpublic record, Form ADV, Jul 8, 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