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•••••• M••••••••• L•••
Latest filing Aug 17, 2026
First filing on the tape Feb 17, 2012 · 30 filings
SEC status approved since May 31, 2002
RAUM
$1.1B
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
91%
$968M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$265M
derived; firm RAUM over IAPD count
Employees
8
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$1.1B as of Aug 17, 2026
Feb 17, 2012$278M then
HNW client RAUM$867M as of Aug 17, 2026
Mar 28, 2018$542M then
State-registered IARs (5.B.3)2 as of Aug 17, 2026
Feb 20, 20131 then
Employees (5.A)8 as of Aug 17, 2026
Feb 20, 20135 then
Private funds: no history
RAUM +23% over the last fiscal year-0.6% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Aug 17, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- RAUM per advisor
- $265MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 115derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $919,273derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$867M87%
- Individuals$101M10%
- Pension and profit-sharing plans$17.0M1.7%
- Corporations and businesses$4.8M0.5%
- Charitable organizations$2.1M0.2%
- Individual clients
- 276reported
- HNW clients
- 183reported
- Pension plan clients
- 5reported
- Charitable clients
- 3reported
- Accounts
- 1,155reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• F•••••• S•••••••••Chartered Financial Analyst | Pasadena, Ca | Jun 10, 2002 | 30 y | 1 |
| J••• C••••• S•••••••••Certified Financial Planner, Chartered Financial Analyst | Pasadena, Ca | Jul 7, 2006 | 30 y | 1 |
| J•••• K••••• | Pasadena, Ca | Aug 17, 2026 | 13 y | 0 |
| S••• O•••• | Pasadena, Ca | Aug 17, 2026 | 15 y | 0 |
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
- J••• C••••• S••••••••• from W•••••• O••••• S•••••••••Jul 7, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• J••••• F•••••• · Principalcontrolsince 07/2002 · owns 10% to 25%
- S••••••••• J•••• C••••• · Principalcontrolsince 07/2006 · owns 10% to 25%
- S••••••••• W••••••• H•••• · Principalcontrolsince 07/2002 · owns 10% to 25%
- B•••••• S•• · Chief Compliance Officersince 02/2014 · owns less than 5%
Entity owners
- D•• I• S••• L•• · Investordirect · owns 10% to 25%
- D•• I• S••• L•• · Investordirect · owns 10% to 25%
- S•• S••• L•• · Investordirect · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list S••••••••• C•••••• M••••••••• L••• as a related person
- 133540 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Pasadena, Ca · principal | 4 | 2 | 0 | ||
| Phoenix, Az | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Aug 17, 2026S••••••••• W••••••• H•••• (PRINCIPAL) left Schedule A between the filings of 2014-03-26 and 2026-08-17peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,099 to 1,155Jun 10, 2025 to Mar 26, 2026
- Corporate clients · 6 to 8Jun 10, 2025 to Mar 26, 2026
- HNW clients · 210 to 183Jun 10, 2025 to Mar 26, 2026
- Individual clients · 237 to 276Jun 10, 2025 to Mar 26, 2026
- Pension plan clients · 4 to 5Jun 10, 2025 to Mar 26, 2026
- Financial planning clients · 1-10 to 11-25Jun 10, 2025 to Mar 26, 2026
- Discretionary RAUM · $821M to $1.0BJun 10, 2025 to Mar 26, 2026
- HNW RAUM · $686M to $867MJun 10, 2025 to Mar 26, 2026
- Individual RAUM · $88.7M to $101MJun 10, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $43.8M to $47.9MJun 10, 2025 to Mar 26, 2026
- Pension RAUM · $12.1M to $17.0MJun 10, 2025 to Mar 26, 2026
- RAUM · $864M to $1.1BJun 10, 2025 to Mar 26, 2026
- Financial planning clients · 1-10 to 1-10Apr 7, 2025 to Jun 10, 2025
- Accounts · 1,074 to 1,099Apr 11, 2024 to Apr 7, 2025
- Charity clients · 1 to 3Apr 11, 2024 to Apr 7, 2025
- Corporate clients · 7 to 6Apr 11, 2024 to Apr 7, 2025
- HNW clients · 153 to 210Apr 11, 2024 to Apr 7, 2025
- Individual clients · 206 to 237Apr 11, 2024 to Apr 7, 2025
- Employees · 7 to 8Apr 11, 2024 to Apr 7, 2025
- Discretionary RAUM · $684M to $821MApr 11, 2024 to Apr 7, 2025
- HNW RAUM · $569M to $686MApr 11, 2024 to Apr 7, 2025
- Individual RAUM · $75.4M to $88.7MApr 11, 2024 to Apr 7, 2025
- Non-discretionary RAUM · $40.6M to $43.8MApr 11, 2024 to Apr 7, 2025
- Pension RAUM · $10.4M to $12.1MApr 11, 2024 to Apr 7, 2025
- RAUM · $725M to $864MApr 11, 2024 to Apr 7, 2025
- Accounts · 1,062 to 1,074Mar 30, 2023 to Mar 19, 2024
- Advisory employees · 3 to 2Mar 30, 2023 to Mar 19, 2024
- Charity clients · unset to 1.0Mar 30, 2023 to Mar 19, 2024
- Corporate clients · 8 to 7Mar 30, 2023 to Mar 19, 2024
- HNW clients · 137 to 153Mar 30, 2023 to Mar 19, 2024
- Individual clients · 226 to 206Mar 30, 2023 to Mar 19, 2024
- Pension plan clients · unset to 4.0Mar 30, 2023 to Mar 19, 2024
- Employees · 8 to 7Mar 30, 2023 to Mar 19, 2024
- State-registered IARs · 3 to 2Mar 30, 2023 to Mar 19, 2024
- Discretionary RAUM · $590M to $684MMar 30, 2023 to Mar 19, 2024
- HNW RAUM · $926M to $569MMar 30, 2023 to Mar 19, 2024
- Individual RAUM · $84.9M to $75.4MMar 30, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $492M to $40.6MMar 30, 2023 to Mar 19, 2024
- Pension RAUM · $8.4M to $10.4MMar 30, 2023 to Mar 19, 2024
- RAUM · $1.1B to $725MMar 30, 2023 to Mar 19, 2024
Signals
3 dated events
- S••••••••• C•••••• M••••••••• L••• reported RAUM $725.0M, down 33% from $1.1B (2023-03-30 to 2024-03-19)Mar 19, 2024 · RAUM change · derived
- S••••••••• C•••••• M••••••••• L••• reported RAUM $1.3B, up 26% from $1.0B (2021-10-29 to 2022-03-17)Mar 17, 2022 · RAUM change · derived
- S••••••••• C•••••• M••••••••• L••• reported RAUM $925.8M, up 26% from $734.7M (2019-03-25 to 2020-02-28)Feb 28, 2020 · RAUM change · derived
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
- Principal office phone
- 626.584.6168reportedpublic record, Form ADV, Aug 17, 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
- $265Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026