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••••••• E••••• A••••••• L••
Latest filing Aug 13, 2026
First filing on the tape Mar 31, 2023 · 7 filings
SEC status approved since Apr 28, 2023
RAUM
$811M
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
11
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$811M as of Aug 13, 2026
Mar 29, 2024$622M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 13, 2026
Mar 29, 20240 then
Employees (5.A)11 as of Aug 13, 2026
Mar 29, 20243 then
Private funds2 as of Aug 13, 2026
Mar 29, 20242 then
RAUM +17% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 13, 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
- $406MderivedRAUM 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
- +17%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
- yesreportedItem 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)
- 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$811M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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=false 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••• E••••• O••••••••• F••• L• | Private Equity Fund | $357M | 11 | Aug 25, 2023 |
| S••••••• E••••• F••• I• L• | Private Equity Fund | $800,903 | 7 | Mar 29, 2024 |
Owners and control persons
Schedule A and B, latest filing
- L••••• N•••••••• G•••• · Ccocontrolsince 01/2023 · owns 25% to 50%
- W•••••••• E••• · Membercontrolsince 01/2023 · owns 25% to 50%
- D••••••••• K•••• · Membersince 01/2023 · owns 75% or more of S••••••• E••••• L••
Entity owners
- S••••••• E••••• L•• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- S••••••• E••••• F••• I• G•• L••pooled vehicle sponsorn
- S••••••• O••••••••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 4 to 11Mar 19, 2025 to Mar 27, 2026
- Employees · 4 to 11Mar 19, 2025 to Mar 27, 2026
- Discretionary RAUM · $691M to $811MMar 19, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $691M to $811MMar 19, 2025 to Mar 27, 2026
- RAUM · $691M to $811MMar 19, 2025 to Mar 27, 2026
- Advisory employees · 3 to 4Sep 10, 2024 to Mar 19, 2025
- Employees · 3 to 4Sep 10, 2024 to Mar 19, 2025
- Financial planning clients · 0 to 0Sep 10, 2024 to Mar 19, 2025
- Discretionary RAUM · $622M to $691MSep 10, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · $622M to $691MSep 10, 2024 to Mar 19, 2025
- RAUM · $622M to $691MSep 10, 2024 to Mar 19, 2025
- Accounts · 1 to 2Aug 25, 2023 to Mar 29, 2024
- Pooled vehicle clients · 1 to 2Aug 25, 2023 to Mar 29, 2024
- Private funds · 1 to 2Aug 25, 2023 to Mar 29, 2024
- Accounts · 0 to 1Mar 31, 2023 to Aug 25, 2023
- Pooled vehicle clients · unset to 1.0Mar 31, 2023 to Aug 25, 2023
- Financial planning clients · unset to 0Mar 31, 2023 to Aug 25, 2023
- Private funds · unset to 1Mar 31, 2023 to Aug 25, 2023
- Discretionary RAUM · $0 to $622MMar 31, 2023 to Aug 25, 2023
- Pooled vehicle RAUM · unset to 622442355.0Mar 31, 2023 to Aug 25, 2023
- RAUM · $0 to $622MMar 31, 2023 to Aug 25, 2023
Signals
1 dated events
- S••••••• E••••• A••••••• L•• filed its initial SEC registration (Form ADV)Mar 31, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••••• E••••• A••••••• L•• · Independent Sponsorsshared crd · capital_provider
- S••••••• E••••• A••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/speyside-equityreportedpublic record, Form ADV, Sep 19, 2026
- Website
- speysideequity.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 616-502-7731reportedpublic record, Form ADV, Aug 13, 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