DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
S•••••• C••••• C•••••• M••••••••• I••
Latest filing Mar 27, 2026
First filing on the tape Apr 2, 2012 · 28 filings
SEC status approved since Jan 31, 1983
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
64
17 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$0 as of Mar 27, 2026
Apr 2, 2012$5.3B then
HNW client RAUM$532M as of Mar 29, 2021
Mar 29, 2018$6.8B then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 28, 20130 then
Employees (5.A)64 as of Mar 27, 2026
Mar 28, 201335 then
Private funds2 as of Mar 30, 2020
Apr 2, 20121 then
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=18.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••• C••••• G••••• S•••• C•• V•••• M•••••• L••no longer reported | Hedge Fund | $21.3M | 20 | Apr 2, 2012 |
| S•••••• C••••• E••••••• E••••• I••••• F••• L•no longer reported | Hedge Fund | $5.1M | 1 | Mar 20, 2015 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• J••••• P•••••• · Owner, Chairman And Chief Executive Officercontrolsince 01/2013 · owns 50% to 75%
- K••••• A••••• J••• · Chief Compliance Officercontrolsince 07/2022 · owns less than 5%
- O•••••• S••••••• J• · Executive Director And Chief Operating Officercontrolsince 11/2022 · owns less than 5%
Entity owners
- C••••• 2••• D••••••••• T•••• · Ownerdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- C••••• C•••••• M••••••••• L••investment adviseryRAUM $12B
Advisers that list S•••••• C••••• C•••••• M••••••••• I•• as a related person
- 113128 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- BD registered reps · 15 to 18Mar 31, 2025 to Mar 27, 2026
- Accounts · unset to 0.0Mar 28, 2024 to Mar 31, 2025
- Employees · 63 to 64Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · unset to 0.0Mar 28, 2024 to Mar 31, 2025
- Non-discretionary RAUM · unset to 0.0Mar 28, 2024 to Mar 31, 2025
- RAUM · unset to 0.0Mar 28, 2024 to Mar 31, 2025
- Advisory employees · 15 to 17Mar 31, 2023 to Mar 28, 2024
- Employees · 62 to 63Mar 31, 2023 to Mar 28, 2024
- BD registered reps · 14 to 15Nov 7, 2022 to Mar 31, 2023
- Employees · 63 to 62Nov 7, 2022 to Mar 31, 2023
- Accounts · 912.0 to unsetDec 1, 2021 to Mar 30, 2022
- Advisory activities · 3 to 2Dec 1, 2021 to Mar 30, 2022
- Charity clients · 34.0 to unsetDec 1, 2021 to Mar 30, 2022
- Corporate clients · 56.0 to unsetDec 1, 2021 to Mar 30, 2022
- HNW clients · 810.0 to unsetDec 1, 2021 to Mar 30, 2022
- Pension plan clients · 8.0 to unsetDec 1, 2021 to Mar 30, 2022
- Employees · 60 to 63Dec 1, 2021 to Mar 30, 2022
- Discretionary RAUM · 1195129593.0 to unsetDec 1, 2021 to Mar 30, 2022
- HNW RAUM · 531649068.0 to unsetDec 1, 2021 to Mar 30, 2022
- Non-discretionary RAUM · 0.0 to unsetDec 1, 2021 to Mar 30, 2022
- Pension RAUM · 4141272.0 to unsetDec 1, 2021 to Mar 30, 2022
- RAUM · 1195129593.0 to unsetDec 1, 2021 to Mar 30, 2022
- Wrap assets (manager) · 391016056.0 to unsetDec 1, 2021 to Mar 30, 2022
- Wrap assets (sponsor) · 0.0 to unsetDec 1, 2021 to Mar 30, 2022
- Accounts · 9,471 to 912Aug 26, 2020 to Mar 29, 2021
- Advisory activities · 4 to 3Aug 26, 2020 to Mar 29, 2021
- Charity clients · 221 to 34Aug 26, 2020 to Mar 29, 2021
- Corporate clients · 528 to 56Aug 26, 2020 to Mar 29, 2021
- HNW clients · 8,615 to 810Aug 26, 2020 to Mar 29, 2021
- Pension plan clients · 94 to 8Aug 26, 2020 to Mar 29, 2021
- Pooled vehicle clients · 1.0 to unsetAug 26, 2020 to Mar 29, 2021
- Assets in custody · 16112122.0 to unsetAug 26, 2020 to Mar 29, 2021
- Custody of client assets · true to falseAug 26, 2020 to Mar 29, 2021
- Private funds · 2 to unsetAug 26, 2020 to Mar 29, 2021
- Discretionary RAUM · $7.7B to $1.2BAug 26, 2020 to Mar 29, 2021
- HNW RAUM · $5.4B to $532MAug 26, 2020 to Mar 29, 2021
- Pension RAUM · $273M to $4.1MAug 26, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · 16112122.0 to unsetAug 26, 2020 to Mar 29, 2021
- RAUM · $7.7B to $1.2BAug 26, 2020 to Mar 29, 2021
Signals
5 dated events
- Jeffrey Battaglia (Chief Operating Officer) no longer on Schedule A of S•••••• C••••• C•••••• M••••••••• I•• (listed 2022-08-11, absent 2022-11-07)Nov 7, 2022 · Control person left · inference
- J S•••••• O••••• (Executive Director And Chief Operating Officer) appeared on Schedule A of S•••••• C••••• C•••••• M••••••••• I••Nov 7, 2022 · Control person joined · fact
- Michael Steven Mullooly (Chief Compliance Officer) no longer on Schedule A of S•••••• C••••• C•••••• M••••••••• I•• (listed 2022-03-30, absent 2022-07-22)Jul 22, 2022 · Control person left · inference
- J••• A•••• K•••• (Chief Compliance Officer) appeared on Schedule A of S•••••• C••••• C•••••• M••••••••• I••Jul 22, 2022 · Control person joined · fact
- S•••••• C••••• C•••••• M••••••••• I•• reported RAUM $1.2B, down 84% from $7.7B (2020-08-26 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/S••••••-C•••••-C•••••-FUNDSreportedpublic record, Form ADV, Sep 18, 2026
- Website
- C•••••FUNDS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-644-1800reportedpublic record, Form ADV, Mar 27, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- No RAUM reportedderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026