DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S•••••• • T••••••••• P•••••••• L•••
Latest filing May 29, 2026
First filing on the tape Apr 18, 2024 · 7 filings
SEC status approved since May 21, 2024
RAUM
$425M
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
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$425M as of May 29, 2026
Mar 26, 2025$311M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 29, 2026
Mar 26, 20250 then
Employees (5.A)9 as of May 29, 2026
Mar 26, 20257 then
Private funds1 as of May 29, 2026
Mar 26, 20251 then
RAUM +37% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 29, 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
- $142MderivedRAUM 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
- +37%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
- $425M, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$425M100%
- 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
- $425M for 3 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•••••• • T••••••••• P••••••• M•••••• L••• | Hedge Fund | $227M | 27 | Sep 18, 2024 |
Owners and control persons
Schedule A and B, latest filing
- F•••••• B••••• B••••• · Cfo / Ccocontrolsince 03/2024 · owns less than 5%
- K•••••• E••••• L•••• · Principal / Ceo / Limited Partnercontrolsince 03/2024 · owns 75% or more
- K•••••• E••••• L•••• · Membercontrolsince 03/2024 · owns 75% or more of S•••••• A•• T••••••••• A••••••••• L••
Entity owners
- S•••••• A•• T••••••••• A••••••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- S•••••• • T••••••••• P••••••• 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 · 5 to 6Oct 22, 2025 to Mar 27, 2026
- Assets in custody · $357M to $425MOct 22, 2025 to Mar 27, 2026
- Employees · 7 to 9Oct 22, 2025 to Mar 27, 2026
- Discretionary RAUM · $357M to $425MOct 22, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $357M to $425MOct 22, 2025 to Mar 27, 2026
- RAUM · $357M to $425MOct 22, 2025 to Mar 27, 2026
- Assets in custody · $311M to $357MMar 26, 2025 to May 29, 2025
- Financial planning clients · unset to Mar 26, 2025 to May 29, 2025
- HQ city · NEW YORK to GREENWICHMar 26, 2025 to May 29, 2025
- HQ state · NY to CTMar 26, 2025 to May 29, 2025
- Discretionary RAUM · $311M to $357MMar 26, 2025 to May 29, 2025
- Pooled vehicle RAUM · $311M to $357MMar 26, 2025 to May 29, 2025
- RAUM · $311M to $357MMar 26, 2025 to May 29, 2025
- Advisory employees · 3 to 5Sep 18, 2024 to Mar 26, 2025
- Assets in custody · $227M to $311MSep 18, 2024 to Mar 26, 2025
- Employees · 5 to 7Sep 18, 2024 to Mar 26, 2025
- Discretionary RAUM · $227M to $311MSep 18, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $227M to $311MSep 18, 2024 to Mar 26, 2025
- RAUM · $227M to $311MSep 18, 2024 to Mar 26, 2025
- Accounts · unset to 3.0Apr 18, 2024 to Sep 18, 2024
- Advisory employees · 1 to 3Apr 18, 2024 to Sep 18, 2024
- Pooled vehicle clients · unset to 3.0Apr 18, 2024 to Sep 18, 2024
- Assets in custody · $0 to $227MApr 18, 2024 to Sep 18, 2024
- Custody of client assets · false to trueApr 18, 2024 to Sep 18, 2024
- Employees · 3 to 5Apr 18, 2024 to Sep 18, 2024
- Private funds · unset to 1Apr 18, 2024 to Sep 18, 2024
- Discretionary RAUM · unset to 227252882.0Apr 18, 2024 to Sep 18, 2024
- Non-discretionary RAUM · unset to 0.0Apr 18, 2024 to Sep 18, 2024
- Pooled vehicle RAUM · unset to 227252882.0Apr 18, 2024 to Sep 18, 2024
- RAUM · unset to 227252882.0Apr 18, 2024 to Sep 18, 2024
Signals
1 dated events
- S•••••• • T••••••••• P•••••••• L••• filed its initial SEC registration (Form ADV)Apr 18, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-306-2600reportedpublic record, Form ADV, May 29, 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