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S••••••••• C••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

S••••••••• C••••••

S••••••••• C••••••, INC., CRD 148469

AMHERST, MA

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Search this name across graphsid dfx:ria:19e14cf7-d452-4b29-178f-29c89f88ce1c

Data as of Mar 23, 2023 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 3
On other graphs: 0
Observed: Apr 7, 2020 to Mar 23, 2023
8 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $146M••• Locked
Discretionary RAUM: $130M
Private client RAUM: $127Mderived••• Locked
Private client share: 87%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• A•••••• M•••••••••	PRESIDENT, CEO, CHIEF COMPLIANCE OFFICER	D	yes	12/2008	Apr 7, 2020	Mar 23, 2023
M••••••• T•••••••• J•••••	Chairman	B	yes	12/2008	Apr 7, 2020	Mar 23, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P•••••• W••••• M••••••••• L••	n/a	Independent wealth	$11B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SANTA MONICA	CA	United States	2	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022	Mar 23, 2023

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$146M	$151M	-3.6%	n/a	n/a	8	8	1	1

Relationships

Affiliated with (1)

→ P•••••• W••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (3)

← S•••••••• B••••••• M••••••OwnerVP, CFO, ownership code B, individual
Apr 7, 2020 to presentfactForm ADV
← B•••••• A•••••• M•••••••••OwnerPRESIDENT, CEO, CHIEF COMPLIANCE OFFICER, ownership code D, individual
Apr 7, 2020 to presentfactForm ADV
← M••••••• T•••••••• J•••••OwnerCHAIRMAN, ownership code B, individual

Dated events

Occurred
Jun 30, 2023
Advisor changed firm
Gregory Fred Wendt left S••••••••• C•••••• for P•••••• W••••• M••••••••• L•• (registered 2023-03-14)
Form ADVobserved 7 days ago
Occurred
Jun 30, 2023
Advisor changed firm
Andrew Mark/Nicholas Bellak left S••••••••• C•••••• for P•••••• W••••• M••••••••• L•• (registered 2023-03-27)
Form ADVobserved 7 days ago
Occurred
Apr 7, 2020
First Form ADV filing
S••••••••• C•••••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:19e14cf7-d452-4b29-178f-29c89f88ce1c
First observed: Apr 7, 2020
Last observed: Mar 23, 2023 42 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.