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•••
Latest filing Feb 17, 2026
First filing on the tape Mar 23, 2012 · 17 filings
SEC status approved since Nov 9, 1989
RAUM
$503M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$474M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$503M as of Feb 17, 2026
Mar 23, 2012$341M then
HNW client RAUM$474M as of Feb 17, 2026
Mar 27, 2018$251M then
State-registered IARs (5.B.3)0 as of Feb 17, 2026
Mar 23, 20120 then
Employees (5.A)4 as of Feb 17, 2026
Mar 18, 20135 then
Private funds: no history
RAUM +2.8% over the last fiscal year+8.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 17, 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
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $3.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.8%derivedbetween 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
- High-net-worth individuals$474M94%
- Charitable organizations$18.0M3.6%
- Pension and profit-sharing plans$5.6M1.1%
- Corporations and businesses$5.6M1.1%
- Individual clients
- n/areported
- HNW clients
- 151reported
- Pension plan clients
- 1reported
- Charitable clients
- 2reported
- Accounts
- 155reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• L•••• M••••••• · Chief Compliance Officer, Co-Managing Principalcontrolsince 01/2008 · owns 25% to 50%
- H•••••• S••••• R••••••• · Secretary, Co-Managing Principalcontrolsince 01/2008 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- New York, NY2 employees
What changed
consecutive filings, newest first
- Accounts · 153 to 155Feb 21, 2025 to Feb 17, 2026
- Corporate clients · 2 to 1Feb 21, 2025 to Feb 17, 2026
- HNW clients · 148 to 151Feb 21, 2025 to Feb 17, 2026
- Employees · 5 to 4Feb 21, 2025 to Feb 17, 2026
- Discretionary RAUM · $489M to $503MFeb 21, 2025 to Feb 17, 2026
- HNW RAUM · $450M to $474MFeb 21, 2025 to Feb 17, 2026
- Pension RAUM · $4.5M to $5.6MFeb 21, 2025 to Feb 17, 2026
- RAUM · $489M to $503MFeb 21, 2025 to Feb 17, 2026
- Accounts · 158 to 153Feb 28, 2024 to Feb 21, 2025
- Charity clients · 3 to 2Feb 28, 2024 to Feb 21, 2025
- HNW clients · 150 to 148Feb 28, 2024 to Feb 21, 2025
- Pension plan clients · 3 to 1Feb 28, 2024 to Feb 21, 2025
- Financial planning clients · unset to Feb 28, 2024 to Feb 21, 2025
- Discretionary RAUM · $438M to $489MFeb 28, 2024 to Feb 21, 2025
- HNW RAUM · $388M to $450MFeb 28, 2024 to Feb 21, 2025
- Pension RAUM · $8.8M to $4.5MFeb 28, 2024 to Feb 21, 2025
- RAUM · $438M to $489MFeb 28, 2024 to Feb 21, 2025
- Accounts · 155 to 158Mar 1, 2023 to Feb 28, 2024
- Charity clients · 4 to 3Mar 1, 2023 to Feb 28, 2024
- Corporate clients · 3 to 2Mar 1, 2023 to Feb 28, 2024
- HNW clients · 146 to 150Mar 1, 2023 to Feb 28, 2024
- Pension plan clients · 2 to 3Mar 1, 2023 to Feb 28, 2024
- Discretionary RAUM · $391M to $438MMar 1, 2023 to Feb 28, 2024
- HNW RAUM · $344M to $388MMar 1, 2023 to Feb 28, 2024
- Pension RAUM · $6.9M to $8.8MMar 1, 2023 to Feb 28, 2024
- RAUM · $391M to $438MMar 1, 2023 to Feb 28, 2024
- Accounts · 150 to 155Mar 23, 2022 to Mar 1, 2023
- Corporate clients · 2 to 3Mar 23, 2022 to Mar 1, 2023
- HNW clients · 141 to 146Mar 23, 2022 to Mar 1, 2023
- Pension plan clients · 3 to 2Mar 23, 2022 to Mar 1, 2023
- Discretionary RAUM · $476M to $391MMar 23, 2022 to Mar 1, 2023
- HNW RAUM · $418M to $344MMar 23, 2022 to Mar 1, 2023
- Pension RAUM · $8.6M to $6.9MMar 23, 2022 to Mar 1, 2023
- RAUM · $476M to $391MMar 23, 2022 to Mar 1, 2023
- Accounts · 138 to 150Mar 24, 2021 to Mar 23, 2022
- HNW clients · 129 to 141Mar 24, 2021 to Mar 23, 2022
- Discretionary RAUM · $385M to $476MMar 24, 2021 to Mar 23, 2022
- HNW RAUM · $336M to $418MMar 24, 2021 to Mar 23, 2022
- Pension RAUM · $6.9M to $8.6MMar 24, 2021 to Mar 23, 2022
- RAUM · $385M to $476MMar 24, 2021 to Mar 23, 2022
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.
How to reach
public business contact points only, each with its source
- Business email
- s•••••••@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 212-355-0063reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 212-355-7733reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 631-725-5518reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S•••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 6317255518reportedpublic record, Form ADV, Feb 17, 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
- Independent wealth managerderiveda 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