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••• I•••
Latest filing Mar 31, 2026
First filing on the tape Mar 29, 2012 · 23 filings
SEC status approved since Nov 10, 1988
RAUM
$2.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
60%
$1.5B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$2.5B as of Mar 31, 2026
Mar 29, 2012$1.0B then
HNW client RAUM$1.4B as of Mar 31, 2026
Jan 11, 2018$902M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20120 then
Employees (5.A)15 as of Mar 31, 2026
Mar 28, 201311 then
Private funds6 as of Mar 31, 2026
Mar 28, 20134 then
RAUM +7.8% over the last fiscal year+6.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- 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
- $4.8MderivedHNW RAUM over HNW clients
- Average account
- $6.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.9%derivedpensions, 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
- +7.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
- Custody
- $2.4B, 370 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.4B59%
- Pooled investment vehicles$821M33%
- Charitable organizations$170M6.9%
- Individuals$15.3M0.6%
- Individual clients
- 58reported
- HNW clients
- 302reported
- Pension plan clients
- n/areported
- Charitable clients
- 17reported
- Accounts
- 383reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.4B for 370 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.6 fund_share=0.33 institutional_share=0.07 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S• • C•• S•••••• E••••• F•••• L•• | Other Private Fund | $326M | 123 | Mar 28, 2013 |
| S• • C•• I••••••••• F••• I•• L•• | Other Private Fund | $155M | 119 | Mar 28, 2013 |
| S• • C•• H••••• S••••••• F•••• L•• | Other Private Fund | $143M | 108 | Mar 28, 2013 |
| S• • C•• I••••••••• F•••• L•• | Other Private Fund | $117M | 117 | Mar 28, 2013 |
| S• • C•• O••••••••• F•••• L•• | Other Private Fund | $67.5M | 82 | Mar 31, 2014 |
| S• • C• E••••••••• S••••••••• F••• | Other Private Fund | $13.4M | 42 | Mar 27, 2020 |
Owners and control persons
Schedule A and B, latest filing
- J••••••• G•••••• N•••••••• · Director, President Presidentcontrolsince 07/2016 · owns 10% to 25%
- M•••••••• B••••• F•••••• · Director, Vice President, Treasurercontrolsince 01/2024 · owns 10% to 25%
- M•••••••• M••••••• E••••• · Director, Senior Vice President And Clerkcontrolsince 07/2014 · owns 10% to 25%
- Q••••• T•••••• V•••••• · Director And Senior Vice President President, Treasurercontrolsince 10/2019 · owns 5% to 10%
- S••••••••• G•••••• W••• · Vice Chairman Of The Board Of Directors President And Clerkcontrolsince 01/2011 · owns 5% to 10%
- S•••••• J•••• B•••• · Chief Compliance Officer, Vice Presidentcontrolsince 03/2025 · owns less than 5%
- T•••••••• J••••••• L• · Director, Vice Presidentcontrolsince 01/2018 · owns 10% to 25%
- T•••••••• N•••• L••••••• · Director And Chairmancontrolsince 01/1996 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 31, 2026M•••••••• B••••• F•••••• (DIRECTOR, VICE PRESIDENT, TREASURER) left Schedule A between the filings of 2020-03-27 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 31, 2026S•••••• J•••• B•••• (CHIEF COMPLIANCE OFFICER, VICE PRESIDENT) appeared on Schedule A between the filings of 2020-03-27 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 31, 2026T•••••••• J••••••• L• (DIRECTOR, VICE PRESIDENT) left Schedule A between the filings of 2020-03-27 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 31, 2026M•••••••• M••••••• E••••• (DIRECTOR, SENIOR VICE PRESIDENT AND CLERK) left Schedule A between the filings of 2020-03-27 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 372 to 383Mar 31, 2025 to Mar 31, 2026
- Charity clients · 18 to 17Mar 31, 2025 to Mar 31, 2026
- HNW clients · 285 to 302Mar 31, 2025 to Mar 31, 2026
- Individual clients · 63 to 58Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $2.3B to $2.4BMar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.3B to $2.5BMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $1.4B to $1.4BMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $14.3M to $15.3MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $743M to $821MMar 31, 2025 to Mar 31, 2026
- RAUM · $2.3B to $2.5BMar 31, 2025 to Mar 31, 2026
- Accounts · 370 to 372Mar 29, 2024 to Mar 31, 2025
- HNW clients · 292 to 285Mar 29, 2024 to Mar 31, 2025
- Individual clients · 54 to 63Mar 29, 2024 to Mar 31, 2025
- Assets in custody · $2.1B to $2.3BMar 29, 2024 to Mar 31, 2025
- Employees · 14 to 15Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $2.1B to $2.3BMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $1.2B to $1.4BMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $15.2M to $14.3MMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $729M to $743MMar 29, 2024 to Mar 31, 2025
- RAUM · $2.1B to $2.3BMar 29, 2024 to Mar 31, 2025
- Accounts · 345 to 370Mar 31, 2023 to Mar 29, 2024
- Charity clients · 17 to 18Mar 31, 2023 to Mar 29, 2024
- HNW clients · 251 to 292Mar 31, 2023 to Mar 29, 2024
- Individual clients · 71 to 54Mar 31, 2023 to Mar 29, 2024
- Assets in custody · $2.0B to $2.1BMar 31, 2023 to Mar 29, 2024
- Employees · 15 to 14Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $2.0B to $2.1BMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $1.2B to $1.2BMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $21.8M to $15.2MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $674M to $729MMar 31, 2023 to Mar 29, 2024
- RAUM · $2.0B to $2.1BMar 31, 2023 to Mar 29, 2024
- Accounts · 340 to 345Mar 31, 2022 to Mar 31, 2023
- HNW clients · 243 to 251Mar 31, 2022 to Mar 31, 2023
- Individual clients · 74 to 71Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $2.2B to $2.0BMar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $2.2B to $2.0BMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $1.3B to $1.2BMar 31, 2022 to Mar 31, 2023
- Individual RAUM · $20.8M to $21.8MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $795M to $674MMar 31, 2022 to Mar 31, 2023
Signals
6 dated events
- Jerrold Mitchell (Director And Senior Vice President) no longer on Schedule A of S• • C••• I••• (listed 2023-03-31, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- Farrell Brian Mccarthy (Director, Vice President, Treasurer) appeared on Schedule A of S• • C••• I•••Mar 29, 2024 · Control person joined · fact
- George Lewis (Director) no longer on Schedule A of S• • C••• I••• (listed 2022-03-31, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Vincent Thomas Quirk (Director And Senior Vice President) appeared on Schedule A of S• • C••• I•••Mar 27, 2020 · Control person joined · fact
- Alexander (Iii) Webb (Director) no longer on Schedule A of S• • C••• I••• (listed 2018-04-18, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Farrell Brian Mccarthy (Vice President) no longer on Schedule A of S• • C••• I••• (listed 2018-04-18, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- S• • C••• I••• · Independent Sponsorsshared crd · capital_provider
- S• • C••• I••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 617-227-8660reportedpublic record, Form ADV, Mar 31, 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