DFX Intelligence

RIA Intelligence

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SEC-registered adviser

S••••• C•••••• M••••••••• L•

Asset manager (funds and pooled vehicles)New York, New YorkCRD 124403SEC 801-61668website IAPD

Latest filing Apr 1, 2026

First filing on the tape Mar 30, 2012 · 28 filings

SEC status approved since Jan 2, 2003

RAUM

$587M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

9 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

28 filings and snapshots on the tape

RAUM$587M as of Apr 1, 2026

Mar 30, 2012$4.2B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Apr 1, 2026

Mar 28, 20130 then

Employees (5.A)20 as of Apr 1, 2026

Mar 28, 201330 then

Private funds4 as of Apr 1, 2026

Mar 30, 20128 then

RAUM -75% over the last fiscal year-41% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Apr 1, 2026; 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: $97.9MderivedRAUM 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: -75%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-basedreportedItem 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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$587M100%

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 6reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived

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 departure Every arrival

Private funds

17 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
S••••• H••••• C••• I••••••••• M••••• F••• L•no longer reported	Hedge Fund	$443M	16	Aug 28, 2015
S••••• W••••••• F••• L•	Hedge Fund	$309M	13	Mar 30, 2012
S••••• P• I••••••••• M••••• F••• L•	Hedge Fund	$270M	18	Mar 30, 2012
S••••• I••••••••• M••••• F••• L•	Hedge Fund	$232M	17	Mar 30, 2012
S••••• P• L••	Hedge Fund	$144M	68	Mar 30, 2012
S••••• H••••• C••• L••no longer reported	Hedge Fund	$92.8M	30	Aug 28, 2015
S••••• C••••••••• P••••••• 2• L••	Private Equity Fund	$92.5M	37	Mar 31, 2014
S••••• L• L••no longer reported	Hedge Fund	$87.8M	23	Mar 31, 2014
S••••• L• I••••••••• M••••• F••• L•no longer reported	Hedge Fund	$78.7M	15	Mar 31, 2014
S••••• P••••••• Q• L••no longer reported	Hedge Fund	$76.9M	31	Mar 30, 2012
S••••• L••• Q• L••	Hedge Fund	$68.6M	31	Mar 30, 2016
S••••• P••••••• L••no longer reported	Hedge Fund	$63.4M	84	Mar 30, 2012
S••••• H•• P••••••• L••no longer reported	Private Equity Fund	$43.7M	26	Nov 27, 2015
S••••• L••• L••no longer reported	Hedge Fund	$38.9M	57	Mar 30, 2012
S••••• L••• I••••••••• M••••• F••• L•no longer reported	Hedge Fund	$26.4M	14	Mar 31, 2015
S••••• S•• O••••••••• A• L••	Private Equity Fund	$18.2M	4	Nov 28, 2023
S••••• E••••••• M••••••• L••no longer reported	Hedge Fund	$7.8M	11	Mar 30, 2012

Owners and control persons

Schedule A and B, latest filing

L••••• J•••••• J•• · Partnercontrol
since 01/2021 · owns 10% to 25%
M••••••• J•••••• H•••••• · Founding Partner, Managing Director Of General Partner Of S••••• C•••••• M••••••••• L•control
since 03/2001 · owns 25% to 50%
M••••• A••••• W•••••• · Partner, Chief Operating Officer, Chief Compliance Officercontrol
since 06/2012 · owns less than 5%
N••••••• S•••••••• W••••• · Partner, Chief Financial Officercontrol
since 03/2009 · owns less than 5%
S•••••••• M••••••• I••• · Founding Partner, Managing Director Of General Partner Of S••••• C•••••• M••••••••• L•control
since 04/2001 · owns 10% to 25%
M••••••• J•••••• H•••••• · Managing Directorcontrol
since 03/2001 · owns 50% to 75% of S••••• M••••••••• I•••
S•••••••• M••••••• I••• · Managing Directorcontrol
since 04/2001 · owns 50% to 75% of S••••• M••••••••• I•••
S•••••• G•••••• · Partner
since 01/2022 · owns 5% to 10%
T•••• J••••• A• · Partner
since 01/2022 · owns 10% to 25%

Entity owners

S••••• M••••••••• I••• · General Partner Of S••••• C•••••• M••••••••• L•
direct · owns less than 5%
B••• O•• C•••••• C•••• L• · Member
indirect · owns 75% or more of B••• O•• G• S••••• G• H••••••• L••
B••• O•• C•••••• G• H••••••• L•• · Managing Member
indirect · owns 75% or more of B••• O•• C•••••• G• L••
B••• O•• C•••••• G• L•• · General Partner
indirect · owns F of B••• O•• C•••••• C•••• L•
B••• O•• C•••••• I••• · Managing Member
indirect · owns 75% or more of B••• O•• C•••••• G• H••••••• L••
B••• O•• G• S••••• G• H••••••• L•• · General Partner
indirect · owns F of B••• O•• G• S••••• I• G• L••
B••• O•• G• S••••• I• G• L•• · General Partner
indirect · owns F of B••• O•• G• S••••• O••••••• I•••••••• L•
B••• O•• G• S••••• I• G• L•• · General Partner
indirect · owns F of B••• O•• G• S••••• I• •• L•
B••• O•• G• S••••• I• G• L•• · General Partner
indirect · owns F of B••• O•• G• S••••• P•••••• I•••••••• L•
B••• O•• G• S••••• I• G• L•• · Managing Member
indirect · owns F of D••• U••• L••
B••• O•• G• S••••• I• G• L•• · Managing Member
indirect · owns F of D••• C••••• O••••••• L•
B••• O•• G• S••••• I• G• L•• · General Partner
indirect · owns F of B••• O•• G• S••••• I• •• L•
B••• O•• G• S••••• O••••••• I•••••••• L• · Member
indirect · owns 50% to 75% of D••• C••••• O••••••• L•
B••• O•• G• S••••• O••••••• I•••••••• L• · Member
indirect · owns 50% to 75% of D••• U••• L••
B••• O•• G• S••••• P•••••• I•••••••• L• · Member
indirect · owns 25% to 50% of D••• U••• L••
B••• O•• G• S••••• P•••••• I•••••••• L• · Member
indirect · owns 25% to 50% of D••• C••••• O••••••• L•
D••• C••••• O••••••• L• · Limited Partner
indirect · owns 25% to 50% of B••• O•• G• S••••• I• •• L•
D••• U••• L•• · Limited Partner
indirect · owns 50% to 75% of B••• O•• G• S••••• I• •• L•
N••• A••••••••• L•• · Managing Member
indirect · owns F of N••• B••• I••••••••• L••
N••• B••• I••••••••• L•• · Limited Partner
indirect · owns 25% to 50% of B••• O•• C•••••• C•••• L•

Related persons

Schedule D 7.A

S••••• C•••••• G• L••
bankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

RAUM down 50 %Change between filings · filing Apr 1, 2026
RAUM (Item 5.F) moved from $2,306,815,068 to $587,339,827 (-75.0%) between the annual amendments of 2025-03-31 and 2026-04-01; the peer median change was +8.0% (672 comparable advisers, 0.0th percentile of changes)
peers: asset managers, $500M to $1B (672) · 0.0% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 11 to 6
Mar 31, 2025 to Mar 31, 2026
Advisory employees · 15 to 9
Mar 31, 2025 to Mar 31, 2026
Pooled vehicle clients · 11 to 6
Mar 31, 2025 to Mar 31, 2026
Employees · 26 to 20
Mar 31, 2025 to Mar 31, 2026
Private funds · 6 to 4
Mar 31, 2025 to Mar 31, 2026
Discretionary RAUM · $2.3B to $587M
Mar 31, 2025 to Mar 31, 2026
Pooled vehicle RAUM · $2.3B to $587M
Mar 31, 2025 to Mar 31, 2026
RAUM · $2.3B to $587M
Mar 31, 2025 to Mar 31, 2026
Accounts · 13 to 11
Apr 24, 2024 to Mar 31, 2025
Advisory employees · 16 to 15
Apr 24, 2024 to Mar 31, 2025
Pooled vehicle clients · 13 to 11
Apr 24, 2024 to Mar 31, 2025
Employees · 27 to 26
Apr 24, 2024 to Mar 31, 2025
Financial planning clients · unset to
Apr 24, 2024 to Mar 31, 2025
Private funds · 7 to 6
Apr 24, 2024 to Mar 31, 2025
Discretionary RAUM · $1.6B to $2.3B
Apr 24, 2024 to Mar 31, 2025
Pooled vehicle RAUM · $1.6B to $2.3B
Apr 24, 2024 to Mar 31, 2025
RAUM · $1.6B to $2.3B
Apr 24, 2024 to Mar 31, 2025
Accounts · 10 to 13
Nov 28, 2023 to Mar 28, 2024
Advisory employees · 14 to 16
Nov 28, 2023 to Mar 28, 2024
Pooled vehicle clients · 10 to 13
Nov 28, 2023 to Mar 28, 2024
Employees · 26 to 27
Nov 28, 2023 to Mar 28, 2024
Discretionary RAUM · $2.9B to $1.6B
Nov 28, 2023 to Mar 28, 2024
Pooled vehicle RAUM · $2.9B to $1.6B
Nov 28, 2023 to Mar 28, 2024
RAUM · $2.9B to $1.6B
Nov 28, 2023 to Mar 28, 2024
Private funds · 6 to 7
Mar 30, 2023 to Nov 28, 2023
Accounts · 9 to 10
Mar 31, 2022 to Mar 30, 2023
Advisory employees · 12 to 14
Mar 31, 2022 to Mar 30, 2023
Pooled vehicle clients · 9 to 10
Mar 31, 2022 to Mar 30, 2023
Employees · 23 to 26
Mar 31, 2022 to Mar 30, 2023
Discretionary RAUM · $2.7B to $2.9B
Mar 31, 2022 to Mar 30, 2023
Pooled vehicle RAUM · $2.7B to $2.9B
Mar 31, 2022 to Mar 30, 2023
RAUM · $2.7B to $2.9B
Mar 31, 2022 to Mar 30, 2023
Accounts · 10 to 9
Mar 31, 2021 to Mar 31, 2022
Advisory employees · 14 to 12
Mar 31, 2021 to Mar 31, 2022
Pooled vehicle clients · 10 to 9
Mar 31, 2021 to Mar 31, 2022
Employees · 27 to 23
Mar 31, 2021 to Mar 31, 2022
Private funds · 7 to 6
Mar 31, 2021 to Mar 31, 2022
Discretionary RAUM · $2.6B to $2.7B
Mar 31, 2021 to Mar 31, 2022
Pooled vehicle RAUM · $2.6B to $2.7B
Mar 31, 2021 to Mar 31, 2022
RAUM · $2.6B to $2.7B
Mar 31, 2021 to Mar 31, 2022

Signals

12 dated events

S••••• C•••••• M••••••••• L• reported RAUM $587.3M, down 75% from $2.3B (2025-03-31 to 2026-03-31)
Mar 31, 2026 · RAUM change · derived
S••••• C•••••• M••••••••• L• reported RAUM $2.3B, up 42% from $1.6B (2024-04-24 to 2025-03-31)
Mar 31, 2025 · RAUM change · derived
S••••• C•••••• M••••••••• L• reported RAUM $1.6B, down 45% from $2.9B (2023-11-28 to 2024-03-28)
Mar 28, 2024 · RAUM change · derived
Samuel Tajar Varghese (Partner) no longer on Schedule A of S••••• C•••••• M••••••••• L• (listed 2023-11-28, absent 2024-03-28)
Mar 28, 2024 · Control person left · inference
Jay Jerome Lande (Partner) appeared on Schedule A of S••••• C•••••• M••••••••• L•
Mar 31, 2022 · Control person joined · fact
S••••• C•••••• M••••••••• L• reported RAUM $2.6B, down 33% from $3.8B (2020-03-30 to 2021-03-31)
Mar 31, 2021 · RAUM change · derived
S••••• C•••••• M••••••••• L• reported RAUM $3.8B, down 47% from $7.2B (2019-03-29 to 2020-03-30)
Mar 30, 2020 · RAUM change · derived
Quinn Kenneth Fionda (Partner) no longer on Schedule A of S••••• C•••••• M••••••••• L• (listed 2019-03-29, absent 2020-03-30)
Mar 30, 2020 · Control person left · inference
Trigg Mark Allan (Partner) no longer on Schedule A of S••••• C•••••• M••••••••• L• (listed 2019-03-29, absent 2020-03-30)
Mar 30, 2020 · Control person left · inference
(Nmn) Ashutosh Tyagi (Partner) no longer on Schedule A of S••••• C•••••• M••••••••• L• (listed 2018-05-08, absent 2019-03-29)
Mar 29, 2019 · Control person left · inference
S••••• C•••••• M••••••••• L• reported RAUM $7.2B, down 36% from $11.3B (2018-05-08 to 2019-03-29)
Mar 29, 2019 · RAUM change · derived
S••••• M••••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Mar 31, 2012 · Succession (Item 4) · fact

Across DFX

shared identifiers only, never a name match

S••••• C•••••• M••••••••• L• · Independent Sponsors
shared crd · capital_provider
S••••• C•••••• M••••••••• L• · Private Equity
shared crd · organization

How to reach

public business contact points only, each with its source

Firm profile: linkedin.com/company/scopiacapitalreportedpublic record, Form ADV, Sep 21, 2026
Website: s•••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 212-370-0303reportedpublic record, Form ADV, Apr 1, 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: Asset manager (funds and pooled vehicles)deriveda 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