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

B••••••••• S•••••••• C•••••• M••••••••• L•••

Former SEC-registered adviserOttawa, Ontario, CRD 126536SEC 801-61995IAPD
Legal name S•••••••• C•••••• M••••••••• L•••
Latest filing Mar 28, 2018
First filing on the tape Mar 30, 2012 · 7 filings
RAUM
$262M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
31%
$81.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$262M as of Mar 28, 2018
Mar 30, 2012$277M then
HNW client RAUM: $81.2M
State-registered IARs (5.B.3)0 as of Mar 28, 2018
Mar 30, 20120 then
Employees (5.A)8 as of Mar 28, 2018
Mar 19, 20139 then
Private funds: no history
RAUM +17% over the last fiscal year-0.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2018; 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
$1.4MderivedHNW RAUM over HNW clients
Average account
$3.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
54%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
+17%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 individuals, portfolio management for businesses and institutions, 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
  • Insurance companies$132M50%
  • High-net-worth individuals$81.2M31%
  • Investment companies$20.1M7.7%
  • Pooled investment vehicles$19.6M7.5%
  • Charitable organizations$9.5M3.6%
Individual clients
0reported
HNW clients
60reported
Pension plan clients
0reported
Charitable clients
6reported
Accounts
70reported
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
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
      • C••••••••• A•••••• J••• · Directorcontrol
        since 04/2006 · owns less than 5%
      • C••••••••• K••••• W•••••• · President & Director & Chief Compliance Officercontrol
        since 01/2009 · owns less than 5%
      • H•••••• B•••• · Directorcontrol
        since 03/2015 · owns less than 5%
      • L•••• G••••••••• E•••••••• · Controller
        since 09/2011 · owns less than 5%
      Entity owners
      • B••••••••• A•••• M••••••••• I••• · Owner
        direct · owns 50% to 75% · public reporting company
      • S•••••••• C•••••• H••••••• L••• · Owner
        direct · owns 50% to 75%
      • C••••••••• F••••• ••••• T•••• · Owner
        indirect · owns 75% or more of S•••••••• C•••••• H••••••• L•••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 72 to 70
        Mar 27, 2017 to Mar 28, 2018
      • Charity clients · unset to 6.0
        Mar 27, 2017 to Mar 28, 2018
      • Corporate clients · unset to 0.0
        Mar 27, 2017 to Mar 28, 2018
      • HNW clients · unset to 60.0
        Mar 27, 2017 to Mar 28, 2018
      • Individual clients · unset to 0.0
        Mar 27, 2017 to Mar 28, 2018
      • Pension plan clients · unset to 0.0
        Mar 27, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 1.0
        Mar 27, 2017 to Mar 28, 2018
      • Legal name · B••••••••• S•••••••• C•••••• M••••••••• L••• to S•••••••• CAPITAL MANAGEMENT LTD.
        Mar 27, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 27, 2017 to Mar 28, 2018
      • Discretionary RAUM · $224M to $262M
        Mar 27, 2017 to Mar 28, 2018
      • HNW RAUM · unset to 81238361.0
        Mar 27, 2017 to Mar 28, 2018
      • Individual RAUM · unset to 0.0
        Mar 27, 2017 to Mar 28, 2018
      • Pension RAUM · unset to 0.0
        Mar 27, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 19630664.0
        Mar 27, 2017 to Mar 28, 2018
      • RAUM · $224M to $262M
        Mar 27, 2017 to Mar 28, 2018
      • Accounts · 70 to 72
        Mar 29, 2016 to Mar 27, 2017
      • Employees · 9 to 8
        Mar 29, 2016 to Mar 27, 2017
      • Discretionary RAUM · $191M to $224M
        Mar 29, 2016 to Mar 27, 2017
      • RAUM · $191M to $224M
        Mar 29, 2016 to Mar 27, 2017
      • Accounts · 71 to 70
        Mar 26, 2015 to Mar 29, 2016
      • Discretionary RAUM · $265M to $191M
        Mar 26, 2015 to Mar 29, 2016
      • RAUM · $265M to $191M
        Mar 26, 2015 to Mar 29, 2016
      • Accounts · 69 to 71
        Mar 25, 2014 to Mar 26, 2015
      • Financial planning clients · unset to 0
        Mar 25, 2014 to Mar 26, 2015
      • Discretionary RAUM · $292M to $265M
        Mar 25, 2014 to Mar 26, 2015
      • RAUM · $292M to $265M
        Mar 25, 2014 to Mar 26, 2015
      • Accounts · 73 to 69
        Mar 19, 2013 to Mar 25, 2014
      • Advisory activities · 2 to 3
        Mar 19, 2013 to Mar 25, 2014
      • Discretionary RAUM · $283M to $292M
        Mar 19, 2013 to Mar 25, 2014
      • RAUM · $283M to $292M
        Mar 19, 2013 to Mar 25, 2014
      • Accounts · 60 to 73
        Mar 30, 2012 to Mar 19, 2013
      • Advisory employees · unset to 3.0
        Mar 30, 2012 to Mar 19, 2013
      • Employees · unset to 9.0
        Mar 30, 2012 to Mar 19, 2013
      • Discretionary RAUM · $277M to $283M
        Mar 30, 2012 to Mar 19, 2013
      • RAUM · $277M to $283M
        Mar 30, 2012 to Mar 19, 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.
      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