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.

Former SEC-registered adviser

Shott Capital Management, LLC

Former SEC-registered adviserSan Francisco, CaliforniaCRD 128440SEC 801-62348IAPD
Latest filing Apr 17, 2012
First filing on the tape Mar 26, 2012 · 2 filings
RAUM
$1.4B
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$1.4B as of Apr 17, 2012
Mar 26, 2012$1.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 17, 2012
Mar 26, 20120 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 17, 2012; 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
$37.7MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
38reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
      • Robert Roderick Berry · Managing Directorcontrol
        since 11/2008 · owns less than 5%
      • Alvah Jared Chase · Directorcontrol
        since 11/2008 · owns less than 5%
      • Michael Glen Holland · Managing Directorcontrol
        since 11/2008 · owns less than 5%
      • C.D. Shawn Johnson · Directorcontrol
        since 05/2009 · owns less than 5%
      • Hathaway Stephen Marshall · Directorcontrol
        since 11/2008 · owns less than 5%
      • Paul Stephen Minutoli · Managing Directorcontrol
        since 11/2008 · owns less than 5%
      • Paul Wozniak · Chief Financial Officer, Chief Compliance Officer, Managing Directorcontrol
        since 10/2004 · owns less than 5%
      Entity owners
      • Capital Alliance Partners, LLC · Member
        direct · owns 25% to 50%
      • State Street Global Alliance, LLC, A Subsidiary Of State Street Corporation · Member
        direct · owns 75% or more
      • Limetree Investments, Inc · Member
        indirect · owns 25% to 50% of State Street Global Alliance, LLC
      • State Street Corporation · Shareholder
        indirect · owns 75% or more of State Street Global Advisors, Inc. · public reporting company
      • State Street Global Advisors, Inc · Member
        indirect · owns 50% to 75% of State Street Global Alliance, LLC
      • Stiching Pension Funds Abp · Shareholder
        indirect · owns 75% or more of Limetree Investments, Inc
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Boston, MA
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      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