DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 10b 100b

S••••• C•••• A••••••• P••••••• L••

CRD 156667

SEATTLE, WA

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Search this name across graphsid dfx:ria:2c6a3251-3c69-d698-af45-6972e170653a

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 50
Dated events: 3
On other graphs: 1
Observed: Nov 23, 2011 to Mar 31, 2026
17 observations

Across DFX

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

Private Creditidentity

S••••• C•••• A••••••• P••••••• L••

Private credit manager · 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=false related_bank=true bd_reps=0.0
Regulatory AUM: $10B••• Locked
Discretionary RAUM: $10B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 47

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
T••• C••••• T•••••• L••	Other Private Fund	$1.8B	Mar 29, 2024	10	Mar 30, 2016	reported	021-326989
S••••• C•••• P•••••• C••••• E•••••••• F••• A• L•••	Hedge Fund	$1.8B

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• W•••••• M••••••	GENERAL COUNSEL AND SECRETARY	Na	yes	04/2011	Nov 23, 2011	Mar 29, 2024
C•••••••• M••••••• A••	SENIOR COUNSEL, CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR	Na	yes	06/2010	Nov 23, 2011	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••• C•••• C•••••• M••••••••• L••	n/a	Asset manager	$123M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

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	$10B	$9.6B	6.4%	$8.4B	6.6%	47	47	0	0

Relationships

Affiliated with (2)

→ S••••• C•••• C•••••• M••••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← S••••• C•••• C•••••• M••••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV

Advises (33)

→ S••••• C•••• C••••• P••••••• O••••••••• 2• M••••• F•••• L•••Private fundHedge Fund, IA
Mar 30, 2018 to presentfactForm ADV

Dated events

Occurred
Mar 29, 2024
Control person joined
David John Matter (Co-Chief Investment Officer) appeared on Schedule A of S••••• C•••• A••••••• P••••••• L••
Form ADVobserved 7 days ago
Occurred
Mar 31, 2023
Control person joined
D••••••• Amy W•••• (Chief Client Officer) appeared on Schedule A of S••••• C•••• A••••••• P••••••• L••
Form ADVobserved 7 days ago
Occurred
Mar 31, 2023
Control person joined
Rowland Arthur Zaske (Deputy Chief Investment Officer) appeared on Schedule A of S••••• C•••• A••••••• P••••••• L••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2c6a3251-3c69-d698-af45-6972e170653a
First observed: Nov 23, 2011
Last observed: Mar 31, 2026 5 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.