DFX Intelligence

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

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM under $100M

S•• C••••• A••••••• I• L••

CRD 323725

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Search this name across graphs

Data as of Aug 28, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 12:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 2
On other graphs: 2
Observed: Oct 31, 2022 to Aug 28, 2026
9 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Independent Sponsorsidentity

S•• C••••• A••••••• I• L••

Capital provider to sponsors · key_crd, key_sfn_adviser, shared_crd

Private Creditidentity

S•• C••••• A••••••• I• L••

Private credit manager · key_crd, key_sfn_adviser, shared_crd

Facts

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

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=6.0
Regulatory AUM: $50.2M••• Locked
Discretionary RAUM: $50.2M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•• C••••• F••• I• Q• L•	Other Private Fund	$32.8M	Aug 28, 2026	63	Oct 25, 2022	reported	021-463224
S•• C••••• F••• I• L•	Other Private Fund	$11.6M	Aug 28, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••••• C•••••• H•••••••• L••	M•••••• P••• S•• I• L••	E	yes	08/2022	Oct 31, 2022	Mar 26, 2024
B••••• R••••• E••••	M•••••• S•• P•••••••• I•••••••• I•• L••	C	yes	08/2022	Oct 31, 2022	Mar 26, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•••••••• C•••••• M••••••••• L••	n/a	Institutional manager	$8.3B	Y	yes	n/a
S•• C••••• A••••••• L••	n/a	Institutional manager	$15.4M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 27, 2026

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$50.2M	$57.8M	-13.2%	$44.9M	3.8%	7	7	0	0

Relationships

Affiliated with (4)

← A•••••••• C•••••• M•••••••••Registered adviserother investment adviser, common control
factForm ADV
→ A•••••••• C•••••• M•••••••••Registered adviserother investment adviser, control, common control
factForm ADV
→ S•• C••••• A••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← S•• C••••• A••••••• L••Registered adviserother investment adviser, common control

Dated events

Order

Occurred
23 Mar 2023
Ria registration change
••• Locked
Form ADV
Occurred
31 Oct 2022
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 31, 2022
Last observed: Aug 28, 2026 27 days 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.

All 19 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S•• C••••• F••• I• G• L••	Manager	Na	yes	08/2022	Oct 31, 2022	Mar 26, 2024
S•• J• H••••• I• L••	M•••••• S•• C••••• A••••••• I•• L••	E	yes	08/2022	Oct 31, 2022	Mar 26, 2024
S•• P•••••••• I•••••••• I•• L••	M•••••• S•• C••••• F••• I• G• L••	C	yes	08/2022	Oct 31, 2022	Mar 26, 2024
S•• P•••••••• I•••••••• I•• L••	M•••••• S•• C••••• F••• I• G• L••	C	yes	08/2022	Oct 31, 2022	Mar 26, 2024
S•• P•••••••• I•••••••• I•• L••	M•••••• S•• J• H••••• I• L••	C	yes	08/2022	Oct 31, 2022	Mar 26, 2024
Z••• E•••••• J••	MANAGER REPRESENTATIVE	B	yes	08/2022	Oct 31, 2022	Mar 26, 2024
C••••••••• L••	M•••••• S•• C••••• F••• I• G• L••	B	no	08/2022	Oct 31, 2022	Mar 26, 2024
S••••••• S•••••• L•	M•••••• S•• P•••••••• I•••••••• I•• L••	C	no	08/2022	Oct 31, 2022	Mar 26, 2024
S•• H•••••••• L••	M•••••• S•• C••••• F••• I• G• L••	B	no	08/2022	Oct 31, 2022	Mar 26, 2024