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•••••• A•••••••• I•••

Independent wealth managerSeattle, WashingtonCRD 112499SEC 801-112452websiteIAPD
Latest filing Jan 15, 2026
First filing on the tape Nov 22, 2011 · 16 filings
SEC status approved since Feb 28, 2018
RAUM
$210M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$210M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$105M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$210M as of Jan 15, 2026
Jan 25, 2019$121M then
HNW client RAUM$210M as of Jan 15, 2026
Jan 25, 2019$121M then
State-registered IARs (5.B.3)0 as of Jan 15, 2026
Jan 25, 20190 then
Employees (5.A)2 as of Jan 15, 2026
Jan 25, 20192 then
Private funds: no history
RAUM -3.2% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 15, 2026; every figure names its basis
Archetypes, each a printed rule
  • Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
  • UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
RAUM per advisor
$105MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$14.0MderivedHNW RAUM over HNW clients
Average account
$10.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-3.2%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 individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$210M100%
Individual clients
n/areported
HNW clients
15reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
20reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R••••• L• S•••••Seattle, WaJun 23, 198640 y0
M•••••• M••••••• S•••••Seattle, WaNov 20, 201818 y4
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • S•••••• R•••••• L• · Director, President And Chief Compliance Officercontrol
    since 01/1985 · owns 25% to 50%
  • S•••••• M••••• · Director, Vice President And Secretary
    since 01/1985 · owns 25% to 50%
  • S•••••• M••••••• M••••••• · Treasurer
    since 06/2021 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Seattle, Wa · principal200
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Discretionary RAUM · $217M to $210M
    Jan 10, 2025 to Jan 15, 2026
  • HNW RAUM · $217M to $210M
    Jan 10, 2025 to Jan 15, 2026
  • RAUM · $217M to $210M
    Jan 10, 2025 to Jan 15, 2026
  • Financial planning clients · 0 to 0
    Jan 17, 2024 to Jan 10, 2025
  • Discretionary RAUM · $195M to $217M
    Jan 17, 2024 to Jan 10, 2025
  • HNW RAUM · $195M to $217M
    Jan 17, 2024 to Jan 10, 2025
  • RAUM · $195M to $217M
    Jan 17, 2024 to Jan 10, 2025
  • Discretionary RAUM · $150M to $195M
    Jan 17, 2023 to Jan 17, 2024
  • HNW RAUM · $150M to $195M
    Jan 17, 2023 to Jan 17, 2024
  • RAUM · $150M to $195M
    Jan 17, 2023 to Jan 17, 2024
  • Accounts · 15 to 20
    Jan 18, 2022 to Jan 17, 2023
  • Discretionary RAUM · $250M to $150M
    Jan 18, 2022 to Jan 17, 2023
  • HNW RAUM · $250M to $150M
    Jan 18, 2022 to Jan 17, 2023
  • RAUM · $250M to $150M
    Jan 18, 2022 to Jan 17, 2023
  • Discretionary RAUM · $209M to $250M
    Jan 15, 2021 to Jan 18, 2022
  • HNW RAUM · $209M to $250M
    Jan 15, 2021 to Jan 18, 2022
  • RAUM · $209M to $250M
    Jan 15, 2021 to Jan 18, 2022
  • Accounts · 20 to 15
    Jun 29, 2020 to Jan 15, 2021
  • Discretionary RAUM · $168M to $209M
    Jun 29, 2020 to Jan 15, 2021
  • HNW RAUM · $168M to $209M
    Jun 29, 2020 to Jan 15, 2021
  • RAUM · $168M to $209M
    Jun 29, 2020 to Jan 15, 2021
  • Accounts · 15 to 20
    Feb 20, 2019 to Jan 10, 2020
  • Discretionary RAUM · $121M to $168M
    Feb 20, 2019 to Jan 10, 2020
  • HNW RAUM · $121M to $168M
    Feb 20, 2019 to Jan 10, 2020
  • RAUM · $121M to $168M
    Feb 20, 2019 to Jan 10, 2020
  • Accounts · 22 to 15
    Feb 28, 2018 to Jan 25, 2019
  • Advisory employees · 1 to 2
    Feb 28, 2018 to Jan 25, 2019
  • BD registered reps · 1 to 0
    Feb 28, 2018 to Jan 25, 2019
  • Employees · 1 to 2
    Feb 28, 2018 to Jan 25, 2019
  • State-registered IARs · 1 to 0
    Feb 28, 2018 to Jan 25, 2019
  • Discretionary RAUM · $112M to $121M
    Feb 28, 2018 to Jan 25, 2019
  • HNW RAUM · $112M to $121M
    Feb 28, 2018 to Jan 25, 2019
  • RAUM · $112M to $121M
    Feb 28, 2018 to Jan 25, 2019
  • Accounts · 15 to 22
    Jun 7, 2012 to Jan 16, 2018
  • Advisory employees · unset to 1.0
    Jun 7, 2012 to Jan 16, 2018
  • BD registered reps · 0 to 1
    Jun 7, 2012 to Jan 16, 2018
  • Business name · S••••• C•••••• A••••••• to S••••• C•••••• A•••••••• I•••
    Jun 7, 2012 to Jan 16, 2018
  • HNW clients · unset to 15.0
    Jun 7, 2012 to Jan 16, 2018
  • Employees · unset to 1.0
    Jun 7, 2012 to Jan 16, 2018
  • Insurance-licensed employees · 1 to 0
    Jun 7, 2012 to Jan 16, 2018
Signals
2 dated events
  • S••••• C•••••• A•••••••• I••• reported RAUM $150.0M, down 40% from $250.0M (2022-01-18 to 2023-01-17)
    Jan 17, 2023 · RAUM change · derived
  • S••••• C•••••• A•••••••• I••• filed its initial SEC registration (Form ADV)
    Jan 16, 2018 · First SEC registration · 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
206-323-8822reportedpublished by the firm, firm site, Sep 17, 2026
Website
S•••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
Principal office phone
206-323-8822reportedpublic record, Form ADV, Jan 15, 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
$105Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026