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S••••• C•••••• G••••• I•••: 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•••••• G••••• I•••

CRD 36719

WESTPORT, CT

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Search this name across graphsid dfx:ria:54bea6ca-2842-0e13-6c7e-04a579b5a10c

Data as of Jul 11, 2017 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 1
On other graphs: 2
Observed: Mar 31, 2015 to Jul 11, 2017
12 observations

Across DFX

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

Private Equityidentity

S••••• C•••••• G••••• I•••

Intermediary · shared crd

Venture Capitalidentity

S••••• C•••••• G••••• I•••

Venture 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
Regulatory AUM: $145MItem 5.F on the latest filing (2017-07-11); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $109M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

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
H•••••• D•••• W••••••	PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM	E	yes	06/1994	Mar 31, 2015	Jul 11, 2017

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
S••••• C•••••• G••••• I•••	n/a	Former SEC adviser	$145M	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
WEST HARTFORD	Ct	United States	n/a	no
Morristown	Nj	United States	n/a	no
n/a	n/a	n/a	n/a	no

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
2016

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
2016	$145M	$106M	36.7%	n/a	n/a	18	12	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
T•••• A••••••• G•••• L••	3	Jul 24, 2017	Feb 28, 2017	WESTPORT, CT	Firm absorbed	Other	75.0%
T•••• A••••••• G•••• L••	4	Feb 6, 2017

Relationships

Affiliated with (1)

→ S••••• C•••••• G••••• I•••Registered adviserother investment adviser, broker-dealer, control, common control
factForm ADV

Controls (1)

← H•••••• D•••• W••••••OwnerPRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM, ownership code E, individual
Mar 31, 2015 to presentfactForm ADV

Registered with (18)

← MARK EDWARD ROSIERAdvisorregistration: previous registration
Oct 17, 2006 to Jul 24, 2017factForm ADV

Dated events

Occurred
Mar 31, 2015
First Form ADV filing
S••••• C•••••• G••••• I••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:54bea6ca-2842-0e13-6c7e-04a579b5a10c
First observed: Mar 31, 2015
Last observed: Jul 11, 2017 112 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.