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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

S••••• C•••• C•••••• M••••••••• L••

CRD 122966

SEATTLE, WA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8d0b5905-a96f-7ec2-070b-9006d89aef1a

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 39
Dated events: 2
On other graphs: 0
Observed: Mar 30, 2012 to Mar 31, 2026
17 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: 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: $123MItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $123M
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

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31; showing 25 of 29

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••••• C•••• L••••••••• H•••••••• L•••••	Hedge Fund	$73.3M	Mar 30, 2016	181	Mar 30, 2012	dropped	n/a
S••••• C•••• S•••••• O••••••••• C••••• I•• M••••• F•••• L•••	Hedge Fund

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••••••• W•••••• M••••••	GENERAL COUNSEL AND SECRETARY	Na	yes	03/2011	Mar 30, 2012	Mar 29, 2024
C•••••••• M••••••• A••	SENIOR COUNSEL/CHIEF COMPLIANCE OFFICER/MANAGING DIRECTOR	Na	yes	07/2006	Mar 30, 2012

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•••• A••••••• P••••••• L••	n/a	Asset manager	$10B	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

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
2025	$123M	$202M	-39.4%	$263M	-22.4%	47	47	0	0

Relationships

Affiliated with (2)

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

Advises (29)

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

Dated events

Occurred
Mar 30, 2020
Regulatory AUM changed
S••••• C•••• C•••••• M••••••••• L•• reported RAUM $470.0M, down 29% from $661.0M (2019-03-30 to 2020-03-30)
Form ADVobserved 7 days ago
$-191M
Occurred
Mar 30, 2019
Regulatory AUM changed
S••••• C•••• C•••••• M••••••••• L•• reported RAUM $661.0M, down 61% from $1.7B (2018-09-11 to 2019-03-30)
Form ADVobserved 7 days ago
$-1.0B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8d0b5905-a96f-7ec2-070b-9006d89aef1a
First observed: Mar 30, 2012
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.

2025	Mar 31, 2026	$123M	$123M	47	18	0	8	n/a
2024	Apr 1, 2025	$202M	$202M	47	17	0	8	n/a
2023	Mar 29, 2024	$227M	$227M	43	18	0	8	$364M
2022	Mar 31, 2023	$263M	$263M	40	16	0	8	$424M
2021	Mar 31, 2022	$313M	$313M	42	18	0	8	$505M
2020	Mar 31, 2021	$379M	$379M	40	13	0	8	$614M
2019	Mar 30, 2020	$470M	$470M	40	13	0	8	$769M
2018	Mar 30, 2019	$661M	$661M	41	13	0	21	$1.3B
2017	Mar 30, 2018	$1.7B	$1.7B	39	13	0	21	$3.0B
2016	Mar 31, 2017	$2.2B	$2.2B	46	15	n/a	19	$3.2B
2015	Mar 30, 2016	$2.8B	$2.8B	45	13	n/a	22	$4.1B
2014	Mar 31, 2015	$3.8B	$3.8B	45	13	n/a	27	$5.6B
2013	Mar 31, 2014	$4.8B	$4.8B	45	13	n/a	27	$7.2B
2012	Mar 28, 2013	$9.2B	$9.2B	37	6	n/a	28	$9.2B
2011	Mar 30, 2012	$10.0B	$10.0B	n/a	n/a	n/a	28	$10.0B