DFX Intelligence
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SEC-registered adviser
S••••• P•••• P•••••• C••••• F••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jan 13, 2026 · 3 filings
SEC status approved since Jan 14, 2026
RAUM
$359M
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
357
117 advisory (5.B.1)
Offices
9
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$359M as of Mar 31, 2026
Jan 13, 2026$206M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Jan 13, 20260 then
Employees (5.A)357 as of Mar 31, 2026
Jan 13, 2026348 then
Private funds: 1
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 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
- $359MderivedRAUM 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
- unknownderived10 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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 investment companiesreportedItem 5.G
- Custody
- $359M, 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
- 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- 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
- $359M 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=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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••• E•••••• A••••• · Chief Executive Officer, Partner, S••••• P•••• C••••••• L•••controlsince 12/2001 · owns less than 5%
- O••••• R•••••• J•••• · Chairman, Partner, S••••• P•••• C••••••• L•••controlsince 03/2002 · owns less than 5%
- A••••••••• P•••• J••••• · Head Of Tradingsince 12/2024 · owns less than 5%
- D••••• J••••• T•••• · Partner, S••••• P•••• C••••••• L•••since 03/2019 · owns less than 5%
- D•••••• J••••• M•••••• · Chief Financial Officer - Funds, S••••• P•••• C••••••• L•••since 01/2020 · owns less than 5%
- G••••• M••••••• A•••••• · Head Of The P•••••• Side, Partner, S••••• P•••• C••••••• L•••since 01/2003 · owns less than 5%
- H••••• S•••••• J•••••• · Chief Financial Officer - Management Company, S••••• P•••• C••••••• L•••since 01/2020 · owns less than 5%
- R•••••••• D••••• A•••••• · Partner, S••••• P•••• C••••••• L•••since 03/2019 · owns less than 5%
- S•••••• A•••••• O••••• · Chief Operating Officer, S••••• P•••• C••••••• L•••since 02/2018 · owns less than 5%
- W•••••• S•••••• E•••••• · General Counsel, S••••• P•••• C••••••• L••• P•••• Capital, L.P.since 12/2021 · owns less than 5%
Entity owners
- S••••• P•••• C••••••• L••• · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 348 to 357Feb 27, 2026 to Mar 31, 2026
- Other offices · 8 to 9Feb 27, 2026 to Mar 31, 2026
- Accounts · 2 to 1Jan 13, 2026 to Feb 27, 2026
- Pooled vehicle clients · 2.0 to unsetJan 13, 2026 to Feb 27, 2026
- Assets in custody · $206M to $359MJan 13, 2026 to Feb 27, 2026
- Private funds · 1 to unsetJan 13, 2026 to Feb 27, 2026
- Discretionary RAUM · $206M to $359MJan 13, 2026 to Feb 27, 2026
- Pooled vehicle RAUM · 205956198.0 to unsetJan 13, 2026 to Feb 27, 2026
- RAUM · $206M to $359MJan 13, 2026 to Feb 27, 2026
Signals
1 dated events
- S••••• P•••• P•••••• C••••• F••• M••••••••• L•• reported RAUM $358.6M, up 74% from $206.0M (2026-01-13 to 2026-02-27)Feb 27, 2026 · RAUM change · derived
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•••••P••••CAPITAL.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (203) 542-4200reportedpublic record, Form ADV, Mar 31, 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