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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

S•••• C•••••• M••••••••• L••

CRD 134835

STAMFORD, CT

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Search this name across graphsid dfx:ria:b19b9218-3f59-1f09-e4cb-d892228db4e2

Data as of Mar 29, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 1
Observed: Mar 30, 2012 to Mar 29, 2019
15 observations

Across DFX

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

Private Equityidentity

S•••• C•••••• M••••••••• L••

Private equity 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: $1.2BItem 5.F on the latest filing (2019-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.2B
Private client RAUM: $3.2MderivedItem 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

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•••• A•••• R••• E••••• M••••• F••• L••	Hedge Fund	$302M	Mar 29, 2016	12	Mar 14, 2014	dropped	021-194698
S•••• A••••• T•••••• M••••• F••• L•••	Hedge Fund	$255M

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••••• N•••• P••••••	CHIEF COMPLIANCE OFFICER, CHIEF LEGAL OFFICER	Na	yes	03/2015	Mar 31, 2015	Mar 29, 2019
H••••••• J••••• J•••	Member	D	yes	11/2014	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•••• G•• L••	n/a	n/a	n/a	N	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
ST. LOUIS	Mo	United States	1	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

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
2018	$1.2B	$1.5B	-21.2%	$2.1B	-18.2%	13	16	1	1

Relationships

Advises (7)

→ S•••• A••••• T•••••• M••••• F••• L•••Private fundHedge Fund, IA
Mar 17, 2017 to presentfactForm ADV
→ S•••• N• F••• L•Private fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ S•••• A•••• R••• E••••• M••••• F••• L••Private fundHedge Fund, IA, no longer reported
Mar 14, 2014 to Mar 29, 2016factForm ADV
→ S•••• R••• V•••• F••• L•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b19b9218-3f59-1f09-e4cb-d892228db4e2
First observed: Mar 30, 2012
Last observed: Mar 29, 2019 91 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.