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•••• A••••••••• C•••••• C••••
Wealth manager with institutional or fund businessNew York, New YorkCRD 107675SEC 801-17037websiteIAPD
Legal name S•••• A••••••••• C•••••• C•••
Latest filing Mar 30, 2026
First filing on the tape Mar 29, 2012 · 28 filings
SEC status approved since Apr 1, 1982
RAUM
$1.7B
reported, Item 5.F
Discretionary
51%
of RAUM
Private clients
22%
$368M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$1.7B
derived; firm RAUM over IAPD count
Employees
10
8 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$1.7B as of Mar 30, 2026
Mar 29, 2012$2.1B then
HNW client RAUM$252M as of Mar 30, 2026
Mar 30, 2018$285M then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 26, 20131 then
Employees (5.A)10 as of Mar 30, 2026
Mar 26, 201315 then
Private funds: 1
RAUM -3.6% over the last fiscal year-1.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $1.7BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 81derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $12.0MderivedHNW RAUM over HNW clients
- Average account
- $8.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 51%derivedof RAUM
- Institutional
- 5.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 10.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.3%derived
- 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)
- 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
- Corporations and businesses$1.0B67%
- High-net-worth individuals$252M16%
- Individuals$116M7.5%
- Pension and profit-sharing plans$73.1M4.7%
- Other investment advisers$44.3M2.9%
- State and municipal entities$23.7M1.5%
- Charitable organizations$1.2M0.1%
- Individual clients
- 60reported
- HNW clients
- 21reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 197reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.22 fund_share=0.03 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• P•••Chartered Financial Analyst | New York, Ny | Jul 30, 2025 | 29 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••••• C•••••• P•••••••• L••no longer reported | Hedge Fund | $745,782 | 5 | Mar 31, 2015 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• C••••••••• R••••••• · Chief Operating Officercontrolsince 11/2021 · owns less than 5%
- M••••• P••• · Vice President - Portfolio Managercontrolsince 08/2004 · owns less than 5%
- P•••• J•••• · Co-President \ Chief Shareholdercontrolsince 01/2012 · owns 10% to 25%
- S••••• M•••• · Chief Executive Officer\Chief Compliance Officer\Shareholdercontrolsince 01/2012 · owns 50% to 75%
- S••••• M••••••• J• · Co-President \ Shareholdercontrolsince 04/1995 · owns 10% to 25%
- T••••••••• E••••• D••••••• · Vice President \ Portfolio Manager Compliancecontrolsince 01/2012 · owns less than 5%
- S••••• M•••• · Membercontrolsince 12/2012 · owns 50% to 75% of S•••• A••••••••• V•••••••• L••
- S••••• R•••••• G• · Chairman Emeritus\ Chief Economistsince 01/2016 · owns less than 5%
- V••••••••• K•••••• S•••• · Cfosince 05/2025 · owns less than 5%
Entity owners
- S•••• A••••••••• V•••••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 30, 2026S••••• M•••• (CHIEF EXECUTIVE OFFICER\CHIEF COMPLIANCE OFFICER\SHAREHOLDER) left Schedule A between the filings of 2022-03-31 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 124 to 197Jun 16, 2025 to Mar 30, 2026
- Charity clients · 5.0 to unsetJun 16, 2025 to Mar 30, 2026
- Corporate clients · 21 to 17Jun 16, 2025 to Mar 30, 2026
- HNW clients · 9 to 21Jun 16, 2025 to Mar 30, 2026
- Individual clients · 71 to 60Jun 16, 2025 to Mar 30, 2026
- Pension plan clients · 7 to 6Jun 16, 2025 to Mar 30, 2026
- Discretionary RAUM · $837M to $853MJun 16, 2025 to Mar 30, 2026
- HNW RAUM · $72.7M to $252MJun 16, 2025 to Mar 30, 2026
- Individual RAUM · $316M to $116MJun 16, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $908M to $830MJun 16, 2025 to Mar 30, 2026
- Pension RAUM · $71.1M to $73.1MJun 16, 2025 to Mar 30, 2026
- RAUM · $1.7B to $1.7BJun 16, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 24, 2025 to Jun 16, 2025
- Accounts · 132 to 124Aug 15, 2024 to Mar 24, 2025
- Advisory employees · 11 to 8Aug 15, 2024 to Mar 24, 2025
- Corporate clients · 25 to 21Aug 15, 2024 to Mar 24, 2025
- HNW clients · 14 to 9Aug 15, 2024 to Mar 24, 2025
- Individual clients · 67 to 71Aug 15, 2024 to Mar 24, 2025
- Pension plan clients · 10 to 7Aug 15, 2024 to Mar 24, 2025
- Employees · 12 to 10Aug 15, 2024 to Mar 24, 2025
- Discretionary RAUM · $951M to $837MAug 15, 2024 to Mar 24, 2025
- HNW RAUM · $83.0M to $72.7MAug 15, 2024 to Mar 24, 2025
- Individual RAUM · $327M to $316MAug 15, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $846M to $908MAug 15, 2024 to Mar 24, 2025
- Pension RAUM · $116M to $71.1MAug 15, 2024 to Mar 24, 2025
- RAUM · $1.8B to $1.7BAug 15, 2024 to Mar 24, 2025
- Accounts · 144 to 132Mar 28, 2024 to Aug 15, 2024
- Charity clients · 4 to 5Mar 28, 2024 to Aug 15, 2024
- Corporate clients · 30 to 25Mar 28, 2024 to Aug 15, 2024
- HNW clients · 15 to 14Mar 28, 2024 to Aug 15, 2024
- Individual clients · 76 to 67Mar 28, 2024 to Aug 15, 2024
- Pension plan clients · 8 to 10Mar 28, 2024 to Aug 15, 2024
- Pooled vehicle clients · unset to 0.0Mar 28, 2024 to Aug 15, 2024
- Discretionary RAUM · $1.0B to $951MMar 28, 2024 to Aug 15, 2024
- HNW RAUM · $83.1M to $83.0MMar 28, 2024 to Aug 15, 2024
- Individual RAUM · $397M to $327MMar 28, 2024 to Aug 15, 2024
- Non-discretionary RAUM · $703M to $846MMar 28, 2024 to Aug 15, 2024
- Pension RAUM · $112M to $116MMar 28, 2024 to Aug 15, 2024
- Pooled vehicle RAUM · unset to 0.0Mar 28, 2024 to Aug 15, 2024
- RAUM · $1.7B to $1.8BMar 28, 2024 to Aug 15, 2024
Signals
6 dated events
- Conor Joseph Lyons (Portfolio Manager) no longer on Schedule A of S•••• A••••••••• C•••••• C•••• (listed 2024-03-28, absent 2024-08-15)Aug 15, 2024 · Control person left · inference
- Rose Isabelle Jeter (Portfolio Manager) no longer on Schedule A of S•••• A••••••••• C•••••• C•••• (listed 2024-03-28, absent 2024-08-15)Aug 15, 2024 · Control person left · inference
- Allan Jerry Miller (Vice President Taxable Investments) no longer on Schedule A of S•••• A••••••••• C•••••• C•••• (listed 2021-03-29, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- R••••••• C•••••••• C••••• (Chief Operating Officer) appeared on Schedule A of S•••• A••••••••• C•••••• C••••Mar 31, 2022 · Control person joined · fact
- Rose Isabelle Jeter (Portfolio Manager) appeared on Schedule A of S•••• A••••••••• C•••••• C••••Mar 29, 2021 · Control person joined · fact
- Conor Joseph Lyons (Portfolio Manager) appeared on Schedule A of S•••• A••••••••• C•••••• C••••Mar 29, 2019 · Control person joined · fact
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
- Business phone
- 212-644-9440reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/S••••-A•••••••••-CAPITALreportedpublic record, Form ADV, Sep 19, 2026
- Website
- S••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-644-9440reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.7Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026