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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

S•••••• M••••••••• C•

CRD 110276

MINNETONKA, MN

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Search this name across graphsid dfx:ria:41d4cb7c-8759-1b3f-cca7-1d563405615b

Data as of Nov 18, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 2
On other graphs: 2
Observed: Dec 15, 2011 to Nov 18, 2021
32 observations

Across DFX

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

Private Equityidentity

S•••••• M••••••••• C•

Private equity manager · shared crd

Real Estate Fundsidentity

S•••••• M••••••••• C•

Real estate fund manager · shared crd

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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Private funds: 2Schedule D 7.B(1)
Private fund GAV

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•• B••••••• P•••••••	Real Estate Fund	$616,167	Feb 4, 2013	25	Dec 15, 2011	dropped	n/a
S•• P•••••• C•••••• F•••	Private Equity Fund	$97,912

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• J••• K••••••	MEMBER CLASS B, COO & TREASURER	F	yes	01/2007	Dec 15, 2011	Nov 18, 2021
M••••••• C••••••• J•••••	CEO, MEMBER CLASS B	C	yes	06/2003	Dec 15, 2011

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••••• F••••• W•••••• L••	n/a	Former SEC adviser	$5.4B	Y	yes	n/a
M••••••• T•••• C••••••• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021	Nov 18, 2021	n/a	n/a	2	2	0	2	$294,751
2020

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	n/a	n/a	n/a	n/a	n/a	2	2	0	0

Relationships

Affiliated with (2)

← M••••••• F••••• W•••••Registered adviserother investment adviser, pooled vehicle sponsor, control, common control
factForm ADV
→ M••••••• F••••• W•••••Registered adviserother investment adviser, pooled vehicle sponsor, control, common control
factForm ADV

Controls (6)

← M••••••• F••••• W•••••OwnerOWNER, ownership code E, domestic entity
Dec 15, 2011 to presentfactForm ADV
← M••••••• C••••••• J•••••Owner

Dated events

Occurred
Jun 2, 2022
Advisor changed firm
Charles Joseph Maxwell left S•••••• M••••••••• C• for Cresset Asset Management, Llc (registered 2022-06-01)
Form ADVobserved 6 days ago
Occurred
Nov 18, 2021
Control person left
Jocelyn Henkensiefken (Member Class B, Cfo & Cco) no longer on Schedule A of S•••••• M••••••••• C• (listed 2020-11-18, absent 2021-11-18)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:41d4cb7c-8759-1b3f-cca7-1d563405615b
First observed: Dec 15, 2011
Last observed: Nov 18, 2021 58 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.