DFX Intelligence
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SEC-registered adviser
S••••••••
Legal name S•••••••• P••••••• I••••••••• M••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Aug 18, 2023 · 4 filings
SEC status approved since Sep 20, 2023
RAUM
$157M
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
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$157M as of Mar 24, 2026
Jan 17, 2024$100M then
HNW client RAUM$0 as of Mar 24, 2026
Jan 17, 2024$0 then
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Jan 17, 20240 then
Employees (5.A)6 as of Mar 24, 2026
Jan 17, 20245 then
Private funds1 as of Mar 24, 2026
Jan 17, 20241 then
RAUM -1.8% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 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
- $157MderivedRAUM 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
- -1.8%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
- $157M, 1 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
- buys or sells securities as principal to or from clients (8.A.2)
- 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$157M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $157M for 1 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••••• P••••••• F•••• L• | Private Equity Fund | $100M | 32 | Jan 17, 2024 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• K•••• E••••• · Managing Partnercontrolsince 06/2023 · owns 75% or more
- F•••••• D••••••• L•• · Managing Partnercontrolsince 06/2023 · owns less than 5%
- H•••••• R•••• T••••• · Managing Partner And Chief Compliance Officercontrolsince 06/2023 · owns less than 5%
Related persons
Schedule D 7.A
- S•••••••• P••••••• F••• G•• L•pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $160M to $157MMar 24, 2025 to Mar 24, 2026
- Discretionary RAUM · $160M to $157MMar 24, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $160M to $157MMar 24, 2025 to Mar 24, 2026
- RAUM · $160M to $157MMar 24, 2025 to Mar 24, 2026
- Advisory employees · 4 to 5Jan 17, 2024 to Mar 24, 2025
- Business name · S•••••••• P••••••• to S••••••••Jan 17, 2024 to Mar 24, 2025
- Assets in custody · $100M to $160MJan 17, 2024 to Mar 24, 2025
- Employees · 5 to 6Jan 17, 2024 to Mar 24, 2025
- Financial planning clients · unset to Jan 17, 2024 to Mar 24, 2025
- Discretionary RAUM · $100M to $160MJan 17, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $100M to $160MJan 17, 2024 to Mar 24, 2025
- RAUM · $100M to $160MJan 17, 2024 to Mar 24, 2025
- Accounts · unset to 1.0Aug 18, 2023 to Jan 17, 2024
- Advisory employees · 3 to 4Aug 18, 2023 to Jan 17, 2024
- Pooled vehicle clients · 0 to 1Aug 18, 2023 to Jan 17, 2024
- Assets in custody · $0 to $100MAug 18, 2023 to Jan 17, 2024
- Custody of client assets · false to trueAug 18, 2023 to Jan 17, 2024
- Employees · 6 to 5Aug 18, 2023 to Jan 17, 2024
- Private funds · unset to 1Aug 18, 2023 to Jan 17, 2024
- Discretionary RAUM · unset to 100400000.0Aug 18, 2023 to Jan 17, 2024
- Non-discretionary RAUM · unset to 0.0Aug 18, 2023 to Jan 17, 2024
- Pooled vehicle RAUM · $0 to $100MAug 18, 2023 to Jan 17, 2024
- RAUM · unset to 100400000.0Aug 18, 2023 to Jan 17, 2024
Signals
1 dated events
- S•••••••• P••••••• filed its initial SEC registration (Form ADV)Aug 18, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Sallyport · Independent Sponsorsshared crd · capital_provider
- S•••••••• P••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/sallyport-investments-llcreportedpublic record, Form ADV, Mar 24, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Mar 24, 2026
- Principal office phone
- 281-423-0260reportedpublic record, Form ADV, Mar 24, 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 M••••••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