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•••••• P•••••••

Former SEC-registered adviserBartlesville, OklahomaCRD 115959SEC 801-60804websiteIAPD
Legal name S••• C•••••• P•••••••• L••
Latest filing Mar 31, 2025
First filing on the tape Mar 30, 2012 · 16 filings
SEC status approved since Dec 28, 2001
RAUM
$880M
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
9
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
8
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$880M as of Mar 31, 2025
Mar 30, 2012$504M then
HNW client RAUM$0 as of Mar 31, 2025
Mar 11, 2020$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2025
Mar 28, 20133 then
Employees (5.A)9 as of Mar 31, 2025
Mar 28, 20137 then
Private funds8 as of Mar 31, 2025
Mar 30, 20123 then
RAUM -14% over the last fiscal year-11% a year over threeIARs 2 to 0
Practice profile
derived from the filing of Mar 31, 2025; 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
$110MderivedRAUM 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
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-14%derivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$880M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
8reported
Financial planning clients
1-10reported
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
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
      9 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••• V••••••• I• L•Venture Capital Fund$217M42Mar 30, 2012
      S••• V••••••• I•• L•Venture Capital Fund$207M36Mar 30, 2012
      S••• V••••••• V•• L•Venture Capital Fund$174M53Mar 30, 2021
      S••• V••••••• V• L•Venture Capital Fund$160M41Mar 31, 2016
      S••• V••••••• I•• L•Venture Capital Fund$101M30Mar 28, 2013
      S••• V••••••• V••• L•Venture Capital Fund$95.5M44Mar 31, 2022
      S••••••••• A••••••• V••••••• I• ••••••••Venture Capital Fund$55.7M4Mar 31, 2017
      S••• V••••••• L•no longer reportedVenture Capital Fund$11.6M19Mar 30, 2012
      S••• V••••••• A•••• I•• L•Venture Capital Fund$8.6M9Mar 30, 2023
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••• P•••• D•••••• · Managing Directorcontrol
        since 07/2001 · owns 25% to 50%
      • H••••••• J•••• C•••••• · Managing Directorcontrol
        since 07/2001 · owns 10% to 25%
      • H•••••• M••••••• D•••• · Managing Directorcontrol
        since 01/2021 · owns less than 5%
      • K••••• C•••••• B••••••• · Managing Directorcontrol
        since 07/2001 · owns 25% to 50%
      • G••••••• P••• · Director
        since 07/2001 · owns 10% to 25%
      • H••••••••• T•••••• R•••• · Chief Financial Officer And Chief Compliance Officer
        since 03/2008 · owns less than 5%
      Related persons
      Schedule D 7.A
      • S••• C•••••• M••••••••• I•• L••
        pooled vehicle sponsory
      • S••• C•••••• M••••••••• I••• L••
        pooled vehicle sponsory
      • S••• C•••••• M••••••••• I•• L••
        pooled vehicle sponsory
      • S••• C•••••• M••••••••• V• L••
        pooled vehicle sponsory
      • S••• C•••••• M••••••••• V•• L••
        pooled vehicle sponsory
      • S••• C•••••• M••••••••• V••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      • Chicago, IL1 employees
      • Cambridge, MA
      What changed
      consecutive filings, newest first
      • Advisory employees · 6 to 5
        Mar 28, 2024 to Mar 31, 2025
      • Employees · 10 to 9
        Mar 28, 2024 to Mar 31, 2025
      • Financial planning clients · 1-10 to 1-10
        Mar 28, 2024 to Mar 31, 2025
      • State-registered IARs · 2 to 0
        Mar 28, 2024 to Mar 31, 2025
      • Discretionary RAUM · $1.0B to $880M
        Mar 28, 2024 to Mar 31, 2025
      • Pooled vehicle RAUM · $1.0B to $880M
        Mar 28, 2024 to Mar 31, 2025
      • RAUM · $1.0B to $880M
        Mar 28, 2024 to Mar 31, 2025
      • Other offices · 0 to 2
        Mar 30, 2023 to Mar 28, 2024
      • Discretionary RAUM · $1.1B to $1.0B
        Mar 30, 2023 to Mar 28, 2024
      • Pooled vehicle RAUM · $1.1B to $1.0B
        Mar 30, 2023 to Mar 28, 2024
      • RAUM · $1.1B to $1.0B
        Mar 30, 2023 to Mar 28, 2024
      • Discretionary RAUM · $1.3B to $1.1B
        Mar 31, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · $1.3B to $1.1B
        Mar 31, 2022 to Mar 30, 2023
      • RAUM · $1.3B to $1.1B
        Mar 31, 2022 to Mar 30, 2023
      • Accounts · 7 to 8
        Nov 5, 2021 to Mar 31, 2022
      • Advisory employees · 5 to 6
        Nov 5, 2021 to Mar 31, 2022
      • Pooled vehicle clients · 7 to 8
        Nov 5, 2021 to Mar 31, 2022
      • Employees · 9 to 10
        Nov 5, 2021 to Mar 31, 2022
      • Private funds · 7 to 8
        Nov 5, 2021 to Mar 31, 2022
      • Discretionary RAUM · $928M to $1.3B
        Nov 5, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $928M to $1.3B
        Nov 5, 2021 to Mar 31, 2022
      • RAUM · $928M to $1.3B
        Nov 5, 2021 to Mar 31, 2022
      • Financial planning clients · unset to 1-10
        Mar 11, 2020 to Mar 30, 2021
      • Private funds · 6 to 7
        Mar 11, 2020 to Mar 30, 2021
      • Discretionary RAUM · $0 to $928M
        Mar 11, 2020 to Mar 30, 2021
      • Non-discretionary RAUM · $901M to $0
        Mar 11, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $901M to $928M
        Mar 11, 2020 to Mar 30, 2021
      • RAUM · $901M to $928M
        Mar 11, 2020 to Mar 30, 2021
      • Accounts · 6 to 7
        Mar 28, 2019 to Mar 11, 2020
      • Charity clients · unset to 0.0
        Mar 28, 2019 to Mar 11, 2020
      • Corporate clients · unset to 0.0
        Mar 28, 2019 to Mar 11, 2020
      • HNW clients · unset to 0.0
        Mar 28, 2019 to Mar 11, 2020
      • Individual clients · unset to 0.0
        Mar 28, 2019 to Mar 11, 2020
      • Pension plan clients · unset to 0.0
        Mar 28, 2019 to Mar 11, 2020
      • Pooled vehicle clients · 6 to 7
        Mar 28, 2019 to Mar 11, 2020
      • Assets in custody · $7.4M to $0
        Mar 28, 2019 to Mar 11, 2020
      • Financial planning clients · 1-10 to unset
        Mar 28, 2019 to Mar 11, 2020
      • HNW RAUM · unset to 0.0
        Mar 28, 2019 to Mar 11, 2020
      • Individual RAUM · unset to 0.0
        Mar 28, 2019 to Mar 11, 2020
      • Non-discretionary RAUM · $764M to $901M
        Mar 28, 2019 to Mar 11, 2020
      Signals
      3 dated events
      • S••• C•••••• P••••••• no longer on the SEC adviser roster (last listed 2026-07-01, RAUM $879.9M)
        Aug 3, 2026 · Left the SEC roster · derived
      • S••• C•••••• P••••••• reported RAUM $1.3B, up 37% from $928.3M (2021-11-05 to 2022-03-31)
        Mar 31, 2022 · RAUM change · derived
      • David Matthew Horten (Managing Director) appeared on Schedule A of S••• C•••••• P•••••••
        Mar 31, 2022 · Control person joined · fact
      Across DFX
      shared identifiers only, never a name match
      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