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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Former SEC-registered adviser

S•••••• C••••••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 106964SEC 801-48362IAPD
Legal name S•••••• C••••••• I•••
Latest filing Apr 3, 2019
First filing on the tape Apr 9, 2012 · 19 filings
RAUM
$846M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
63%
$534M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$846M as of Mar 28, 2019
Apr 9, 2012$2.1B then
HNW client RAUM: $332M
State-registered IARs (5.B.3)5 as of Mar 28, 2019
Apr 9, 20120 then
Employees (5.A)8 as of Mar 28, 2019
Apr 1, 20139 then
Private funds: no history
RAUM -5.8% over the last fiscal year+5.0% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Apr 3, 2019; every figure names its basis
RAUM per advisor
$169MderivedRAUM 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
$5.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
4.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
1.3derived4 offices incl. principal (1.F.5)
RAUM growth, one year
-5.8%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, otherreportedItem 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)
  • 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
  • Individuals$534M63%
  • Corporations and businesses$274M32%
  • Charitable organizations$38.7M4.6%
Individual clients
157reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
6reported
Accounts
170reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C••••••• P••••••• J•••• · President, Directorcontrol
      since 06/2016 · owns 50% to 75%
    • L•••••• K••••••• J••• · Managing Shareholder, Secretary, Treasurer, Chief Compliance Officer, Directorcontrol
      since 06/2016 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Towson, MD1 employees
    • Washington, DC1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 168 to 170
      Mar 27, 2018 to Mar 28, 2019
    • Advisory employees · 5 to 8
      Mar 27, 2018 to Mar 28, 2019
    • Charity clients · 7 to 6
      Mar 27, 2018 to Mar 28, 2019
    • HNW clients · 26.0 to unset
      Mar 27, 2018 to Mar 28, 2019
    • Individual clients · 128 to 157
      Mar 27, 2018 to Mar 28, 2019
    • Employees · 7 to 8
      Mar 27, 2018 to Mar 28, 2019
    • HNW RAUM · 331904345.0 to unset
      Mar 27, 2018 to Mar 28, 2019
    • Individual RAUM · $245M to $534M
      Mar 27, 2018 to Mar 28, 2019
    • Non-discretionary RAUM · $898M to $846M
      Mar 27, 2018 to Mar 28, 2019
    • RAUM · $898M to $846M
      Mar 27, 2018 to Mar 28, 2019
    • Accounts · 169 to 168
      Mar 29, 2017 to Mar 27, 2018
    • Charity clients · unset to 7.0
      Mar 29, 2017 to Mar 27, 2018
    • Corporate clients · unset to 7.0
      Mar 29, 2017 to Mar 27, 2018
    • HNW clients · unset to 26.0
      Mar 29, 2017 to Mar 27, 2018
    • Individual clients · unset to 128.0
      Mar 29, 2017 to Mar 27, 2018
    • Employees · 8 to 7
      Mar 29, 2017 to Mar 27, 2018
    • Financial planning clients · 26-50 to 51-100
      Mar 29, 2017 to Mar 27, 2018
    • Other offices · unset to 3.0
      Mar 29, 2017 to Mar 27, 2018
    • HNW RAUM · unset to 331904345.0
      Mar 29, 2017 to Mar 27, 2018
    • Individual RAUM · unset to 244843668.0
      Mar 29, 2017 to Mar 27, 2018
    • Non-discretionary RAUM · $810M to $898M
      Mar 29, 2017 to Mar 27, 2018
    • RAUM · $810M to $898M
      Mar 29, 2017 to Mar 27, 2018
    • Accounts · 162 to 169
      Jul 21, 2016 to Mar 29, 2017
    • Financial planning clients · 0 to 26-50
      Jul 21, 2016 to Mar 29, 2017
    • Non-discretionary RAUM · $732M to $810M
      Jul 21, 2016 to Mar 29, 2017
    • RAUM · $732M to $810M
      Jul 21, 2016 to Mar 29, 2017
    • BD registered reps · 1 to 0
      Jul 20, 2016 to Jul 21, 2016
    • Commission compensation · true to false
      Jul 20, 2016 to Jul 21, 2016
    • Accounts · 169 to 162
      Jun 26, 2015 to Mar 25, 2016
    • Non-discretionary RAUM · $724M to $732M
      Jun 26, 2015 to Mar 25, 2016
    • RAUM · $724M to $732M
      Jun 26, 2015 to Mar 25, 2016
    • Accounts · 192 to 169
      Nov 20, 2014 to Mar 27, 2015
    • Advisory employees · 7 to 5
      Nov 20, 2014 to Mar 27, 2015
    • Business name · S•••••• C•••••• L••••• C••••••• to S•••••• C••••••
      Nov 20, 2014 to Mar 27, 2015
    • Employees · 7 to 8
      Nov 20, 2014 to Mar 27, 2015
    • State-registered IARs · 7 to 5
      Nov 20, 2014 to Mar 27, 2015
    • Non-discretionary RAUM · $2.9B to $724M
      Nov 20, 2014 to Mar 27, 2015
    • RAUM · $2.9B to $724M
      Nov 20, 2014 to Mar 27, 2015
    • Legal name · S•••••• C•••••• L••••• to S•••••• C••••••, INC.
      Nov 19, 2014 to Nov 20, 2014
    • Advisory employees · 8 to 7
      Jul 18, 2014 to Nov 19, 2014
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda 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