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•••••• C•••
Latest filing Dec 1, 2014
First filing on the tape Mar 30, 2012 · 6 filings
RAUM
$7.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$7.4M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$7.4M gross assets
History
6 filings and snapshots on the tape
RAUM$144M as of Mar 26, 2014
Mar 30, 2012$497M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2014
Mar 30, 20120 then
Employees (5.A)4 as of Mar 26, 2014
Mar 25, 20134 then
Private funds2 as of Mar 26, 2014
Mar 30, 20122 then
RAUM -98% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Dec 1, 2014; every figure names its basis
- RAUM per advisor
- $7.4MderivedRAUM 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
- $3.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -69%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 assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• H••••• P•••• | Wolfeboro, Nh | Jan 1, 2017 | 44 y | 1 |
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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••• F••• L•• | Hedge Fund | $4.2M | 15 | Mar 30, 2012 |
| S•••••••• C•••••• L•••••• | Hedge Fund | $3.2M | 4 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- P••••• J•••• H••••• · President/Chief Compliance Officercontrolsince 11/1987 · 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.
What changed
consecutive filings, newest first
- Accounts · 6 to 2Jul 23, 2014 to Dec 1, 2014
- Advisory activities · 2 to 1Jul 23, 2014 to Dec 1, 2014
- Financial planning clients · 1-10 to 0Jul 23, 2014 to Dec 1, 2014
- HQ city · GREENWICH to DURHAMJul 23, 2014 to Dec 1, 2014
- HQ state · CT to NHJul 23, 2014 to Dec 1, 2014
- Discretionary RAUM · $23.6M to $7.4MJul 23, 2014 to Dec 1, 2014
- RAUM · $23.6M to $7.4MJul 23, 2014 to Dec 1, 2014
- Accounts · 7 to 6May 20, 2014 to Jul 23, 2014
- Non-discretionary RAUM · $120M to $0May 20, 2014 to Jul 23, 2014
- RAUM · $144M to $23.6MMay 20, 2014 to Jul 23, 2014
- Accounts · 9 to 7Mar 25, 2013 to Mar 26, 2014
- Discretionary RAUM · $25.0M to $23.6MMar 25, 2013 to Mar 26, 2014
- Non-discretionary RAUM · $442M to $120MMar 25, 2013 to Mar 26, 2014
- RAUM · $467M to $144MMar 25, 2013 to Mar 26, 2014
- Advisory employees · 0 to 2Mar 30, 2012 to Mar 25, 2013
- BD registered reps · 0 to 1Mar 30, 2012 to Mar 25, 2013
- Employees · unset to 4.0Mar 30, 2012 to Mar 25, 2013
- Discretionary RAUM · $28.0M to $25.0MMar 30, 2012 to Mar 25, 2013
- Non-discretionary RAUM · $469M to $442MMar 30, 2012 to Mar 25, 2013
- RAUM · $497M to $467MMar 30, 2012 to Mar 25, 2013
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
- Website
- S•••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $7.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026