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•••••• M••••••••• L••

Former SEC-registered adviserFranklin, TennesseeCRD 113224SEC 801-57862IAPD
Latest filing Feb 4, 2019
First filing on the tape Jan 19, 2012 · 11 filings
RAUM
$26.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$26.0M as of Apr 2, 2018
Jan 19, 2012$160M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 2, 2018
Apr 3, 20130 then
Employees (5.A)2 as of Apr 2, 2018
Apr 3, 20138 then
Private funds: no history
RAUM -53% over the last fiscal year-42% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 4, 2019; 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
unknownderivedHNW RAUM over HNW clients
Average account
$26.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
-53%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 investment companiesreportedItem 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
  • Investment companies$26.0M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S•••••••• R•••••• J••••••• · Managing Director, President, Chief Investment Officercontrol
        since 08/2000 · owns 75% or more
      • J••••• D••••• D•••• · Chief Compliance Officer
        since 03/2008 · owns less than 5%
      Entity owners
      • C••••••••• C•••••• M••••••••• L•• · Member
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Advisers that list S••••• C•••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 1
        Apr 3, 2017 to Apr 2, 2018
      • Charity clients · unset to 0.0
        Apr 3, 2017 to Apr 2, 2018
      • Corporate clients · unset to 0.0
        Apr 3, 2017 to Apr 2, 2018
      • HNW clients · unset to 0.0
        Apr 3, 2017 to Apr 2, 2018
      • Individual clients · unset to 0.0
        Apr 3, 2017 to Apr 2, 2018
      • Pension plan clients · unset to 0.0
        Apr 3, 2017 to Apr 2, 2018
      • Pooled vehicle clients · unset to 0.0
        Apr 3, 2017 to Apr 2, 2018
      • Other offices · unset to 0.0
        Apr 3, 2017 to Apr 2, 2018
      • Discretionary RAUM · $54.8M to $26.0M
        Apr 3, 2017 to Apr 2, 2018
      • RAUM · $54.8M to $26.0M
        Apr 3, 2017 to Apr 2, 2018
      • Accounts · 1 to 2
        Sep 22, 2016 to Apr 3, 2017
      • Employees · 3 to 2
        Sep 22, 2016 to Apr 3, 2017
      • Discretionary RAUM · $43.8M to $54.8M
        Sep 22, 2016 to Apr 3, 2017
      • RAUM · $43.8M to $54.8M
        Sep 22, 2016 to Apr 3, 2017
      • Advisory employees · 6 to 1
        Apr 9, 2015 to Mar 28, 2016
      • BD registered reps · 7 to 1
        Apr 9, 2015 to Mar 28, 2016
      • Employees · 10 to 3
        Apr 9, 2015 to Mar 28, 2016
      • Discretionary RAUM · $133M to $43.8M
        Apr 9, 2015 to Mar 28, 2016
      • RAUM · $133M to $43.8M
        Apr 9, 2015 to Mar 28, 2016
      • Discretionary RAUM · $178M to $133M
        Apr 4, 2014 to Apr 9, 2015
      • RAUM · $178M to $133M
        Apr 4, 2014 to Apr 9, 2015
      • Discretionary RAUM · $168M to $178M
        Oct 3, 2013 to Apr 4, 2014
      • RAUM · $168M to $178M
        Oct 3, 2013 to Apr 4, 2014
      • BD registered reps · 6 to 7
        Apr 3, 2013 to Oct 3, 2013
      • Employees · 8 to 10
        Apr 3, 2013 to Oct 3, 2013
      • Advisory employees · 5 to 6
        Apr 3, 2013 to Oct 3, 2013
      • Discretionary RAUM · $184M to $168M
        Apr 3, 2013 to Oct 3, 2013
      • RAUM · $184M to $168M
        Apr 3, 2013 to Oct 3, 2013
      • Advisory employees · unset to 5.0
        Jan 19, 2012 to Apr 3, 2013
      • BD registered reps · unset to 6.0
        Jan 19, 2012 to Apr 3, 2013
      • Employees · unset to 8.0
        Jan 19, 2012 to Apr 3, 2013
      • State-registered IARs · unset to 0.0
        Jan 19, 2012 to Apr 3, 2013
      • Discretionary RAUM · $160M to $184M
        Jan 19, 2012 to Apr 3, 2013
      • RAUM · $160M to $184M
        Jan 19, 2012 to Apr 3, 2013
      Signals
      1 dated events
      • John Pasco (Controlling Shareholder) no longer on Schedule A of S••••• C•••••• M••••••••• L•• (listed 2018-04-02, absent 2019-02-04)
        Feb 4, 2019 · Control person left · inference
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026