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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 150592

NEW YORK, NY

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Search this name across graphsid dfx:ria:d22193a9-a1f9-4155-49e5-0423b38869b5

Data as of Mar 31, 2023 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 3
On other graphs: 0
Observed: Mar 28, 2012 to Mar 31, 2023
18 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $7.1BItem 5.F on the latest filing (2023-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $4.2B
Private client RAUM: $9.3MderivedItem 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
C••••••••• E••••• F••• V•• L•	Member	C	yes	09/2009	Mar 28, 2012	Mar 31, 2023
F••••••• D•••••• C•••••••••	Ceo	Na	yes	11/2017	Mar 29, 2018

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••••••••• A•••••••• L••	n/a	Asset manager	$763M	N	yes	n/a
S••••••••• A•••• M••••••••• L••	n/a	Institutional manager	$7.5M	N	yes

Offices

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

City	State	Country	Employees	Also broker-dealer
Fairhope	Al	United States	1	no
n/a	n/a	n/a	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
2022	$7.1B	$7.1B	-0.6%	$7.0B	0.4%	48	40	2	2

Relationships

Affiliated with (2)

→ S••••••••• A•••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
→ S••••••••• A•••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (6)

← F••••••• P••••••• J•••••OwnerCFO, ownership code NA, individual
Mar 31, 2015 to presentfactForm ADV
← S•••••• J•••••• S•••••OwnerMANAGING MEMBER, ownership code C, individual

Dated events

Occurred
Mar 31, 2023
Control person left
John Stephen Rotella (Vice Chairman) no longer on Schedule A of S••••••••• C••• M••••••••• L•• (listed 2022-03-31, absent 2023-03-31)
Form ADVobserved 7 days ago
Occurred
Nov 6, 2018
Regulatory AUM changed
S••••••••• C••• M••••••••• L•• reported RAUM $6.3B, up 53% from $4.1B (2018-06-12 to 2018-11-06)
Form ADVobserved 7 days ago
$2.2B
Occurred
Mar 29, 2018
Regulatory AUM changed
S••••••••• C••• M••••••••• L•• reported RAUM $4.1B, down 27% from $5.6B (2017-03-30 to 2018-03-29)
Form ADVobserved 7 days ago
$-1.5B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d22193a9-a1f9-4155-49e5-0423b38869b5
First observed: Mar 28, 2012
Last observed: Mar 31, 2023 42 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.