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••• C•••••• M••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Jun 12, 2024 · 4 filings
SEC status approved since Jul 12, 2024
RAUM
$1.6B
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
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$1.6B as of Mar 26, 2026
Apr 24, 2025$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Apr 24, 20250 then
Employees (5.A)11 as of Mar 26, 2026
Apr 24, 202511 then
Private funds4 as of Mar 26, 2026
Apr 24, 20254 then
RAUM +56% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 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
- $179MderivedRAUM 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
- +56%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $598M, 7 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$1.6B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $598M for 7 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=true 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E••• S••••• C•••••• S•• 3• L•• | Private Equity Fund | $104M | 267 | Mar 1, 2022 |
| S••• C•••••• M••••• F•••• L• | Hedge Fund | $38.6M | 10 | Jun 12, 2024 |
| E••• S••••• C•••••• C• 1• L•• | Private Equity Fund | $6.2M | 2 | Nov 8, 2024 |
| E••• S••••• C•••••• E• 1• L•• | Private Equity Fund | $4.1M | 7 | Mar 1, 2022 |
Owners and control persons
Schedule A and B, latest filing
- P••••• G•••••• C••••••••• · Ownercontrolsince 01/2024 · owns 75% or more
- W•••••• A•••••• K••• · Cfo & Ccocontrolsince 01/2024 · owns less than 5%
- P••••• G•••••• C••••••••• · Membercontrolsince 01/2024 · owns 75% or more of S••• C•••••• G•• L••
Entity owners
- S••• C•••••• G•• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- S••• C•••••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 8 to 9Apr 24, 2025 to Mar 26, 2026
- Pooled vehicle clients · 8 to 9Apr 24, 2025 to Mar 26, 2026
- Assets in custody · $1.0B to $598MApr 24, 2025 to Mar 26, 2026
- Discretionary RAUM · $1.0B to $1.6BApr 24, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $1.0B to $1.6BApr 24, 2025 to Mar 26, 2026
- RAUM · $1.0B to $1.6BApr 24, 2025 to Mar 26, 2026
- Assets in custody · $697M to $1.0BNov 8, 2024 to Apr 24, 2025
- Financial planning clients · unset to Nov 8, 2024 to Apr 24, 2025
- Discretionary RAUM · $697M to $1.0BNov 8, 2024 to Apr 24, 2025
- Pooled vehicle RAUM · $697M to $1.0BNov 8, 2024 to Apr 24, 2025
- RAUM · $697M to $1.0BNov 8, 2024 to Apr 24, 2025
- Accounts · unset to 8.0Jun 12, 2024 to Nov 8, 2024
- Advisory employees · 2 to 5Jun 12, 2024 to Nov 8, 2024
- Pooled vehicle clients · unset to 8.0Jun 12, 2024 to Nov 8, 2024
- Assets in custody · unset to 696949792.0Jun 12, 2024 to Nov 8, 2024
- Custody of client assets · false to trueJun 12, 2024 to Nov 8, 2024
- Employees · 6 to 11Jun 12, 2024 to Nov 8, 2024
- Private funds · 1 to 4Jun 12, 2024 to Nov 8, 2024
- Discretionary RAUM · unset to 696949792.0Jun 12, 2024 to Nov 8, 2024
- Non-discretionary RAUM · unset to 0.0Jun 12, 2024 to Nov 8, 2024
- Pooled vehicle RAUM · unset to 696949792.0Jun 12, 2024 to Nov 8, 2024
- RAUM · unset to 696949792.0Jun 12, 2024 to Nov 8, 2024
Signals
3 dated events
- S••• C•••••• M••••••••• L•• reported RAUM $1.6B, up 56% from $1.0B (2025-04-24 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- S••• C•••••• M••••••••• L•• reported RAUM $1.0B, up 48% from $696.9M (2024-11-08 to 2025-04-24)Apr 24, 2025 · RAUM change · derived
- S••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 12, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- S••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/sone-capital-management?trk=public_profreportedpublic record, Form ADV, Sep 18, 2026
- Website
- sonecap.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (212) 433-3400reportedpublic record, Form ADV, Mar 26, 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