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•••••• P••••••• L•
Latest filing Mar 30, 2026
First filing on the tape Aug 25, 2024 · 5 filings
SEC status approved since Sep 24, 2024
RAUM
$4.4B
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
13
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$4.4B as of Mar 30, 2026
Jan 6, 2025$3.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Jan 6, 20250 then
Employees (5.A)13 as of Mar 30, 2026
Jan 6, 202512 then
Private funds1 as of Mar 30, 2026
Jan 6, 20251 then
RAUM +50% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $4.4BderivedRAUM 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
- +50%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $4.4B, 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
- Pooled investment vehicles$4.4B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.4B for 1 clientsreported
- Compensation
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• A•••• L•••• · Co-Chief Executive Officercontrolsince 08/2024 · owns less than 5%
- F••••••• J••••• H••••••• · Co-Chief Executive Officercontrolsince 08/2024 · owns less than 5%
- N••••••• M••••••• R•••••• · Presidentcontrolsince 08/2024 · owns less than 5%
- S•••••••• M••••••• C•••••• · Chief Operating Officercontrolsince 08/2024 · owns less than 5%
- C•••• A•••• L•••• · Membercontrolsince 08/2024 · owns 25% to 50% of S•• C•••••• P••••••• H••••• L••
- C•••• A•••• L•••• · Membercontrolsince 08/2024 · owns 25% to 50% of S•• C•••••• P••••••• G• L••
- H•••••• A•••••• K•••••• · Chief Compliance Officersince 08/2024 · owns less than 5%
Entity owners
- S•• C•••••• P••••••• G• L•• · Sole General Partnerdirect · owns less than 5%
- S•• C•••••• P••••••• H••••• L•• · Sole Limited Partnerdirect · 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
- Advisory employees · 7 to 9Jun 6, 2025 to Mar 30, 2026
- Assets in custody · $2.9B to $4.4BJun 6, 2025 to Mar 30, 2026
- Discretionary RAUM · $2.9B to $4.4BJun 6, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $2.9B to $4.4BJun 6, 2025 to Mar 30, 2026
- RAUM · $2.9B to $4.4BJun 6, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 0Mar 27, 2025 to Jun 6, 2025
- Assets in custody · $3.2B to $2.9BJan 6, 2025 to Mar 27, 2025
- Employees · 12 to 13Jan 6, 2025 to Mar 27, 2025
- Financial planning clients · unset to 0Jan 6, 2025 to Mar 27, 2025
- Discretionary RAUM · $3.2B to $2.9BJan 6, 2025 to Mar 27, 2025
- Pooled vehicle RAUM · $3.2B to $2.9BJan 6, 2025 to Mar 27, 2025
- RAUM · $3.2B to $2.9BJan 6, 2025 to Mar 27, 2025
- Accounts · 0 to 1Aug 25, 2024 to Jan 6, 2025
- Pooled vehicle clients · unset to 1.0Aug 25, 2024 to Jan 6, 2025
- Assets in custody · unset to 3150415892.0Aug 25, 2024 to Jan 6, 2025
- Custody of client assets · false to trueAug 25, 2024 to Jan 6, 2025
- Private funds · unset to 1Aug 25, 2024 to Jan 6, 2025
- Discretionary RAUM · $0 to $3.2BAug 25, 2024 to Jan 6, 2025
- Pooled vehicle RAUM · unset to 3150415892.0Aug 25, 2024 to Jan 6, 2025
- RAUM · $0 to $3.2BAug 25, 2024 to Jan 6, 2025
Signals
2 dated events
- S•• C•••••• P••••••• L• reported RAUM $4.4B, up 50% from $2.9B (2025-06-06 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- S•• C•••••• P••••••• L• filed its initial SEC registration (Form ADV)Aug 25, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•• C•••••• P••••••• L• · Independent Sponsorsshared crd · capital_provider
- S•• C•••••• P••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- s••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 424-316-2061reportedpublic record, Form ADV, Mar 30, 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