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 Mar 26, 2026
First filing on the tape Feb 16, 2012 · 23 filings
SEC status approved since Jan 12, 2007
RAUM
$56.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
16%
$9.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$56.4M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$56.4M as of Mar 26, 2026
Feb 16, 2012$25.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 26, 2026
Feb 16, 20120 then
Employees (5.A)2 as of Mar 26, 2026
Jan 11, 20132 then
Private funds1 as of Mar 21, 2023
Feb 16, 20121 then
RAUM +0.7% over the last fiscal year+5.2% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $56.4MderivedRAUM 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
- $3.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for investment companiesreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$47.4M84%
- Individuals$9.0M16%
- Individual clients
- 16reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 17reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.16 fund_share=0.84 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• C••• S••• | Milwaukee, Wi | Feb 12, 2014 | 23 y | 1 |
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
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••••• I••••••••• F••• L•• | Hedge Fund | $3.4M | 7 | Feb 16, 2012 |
Owners and control persons
Schedule A and B, latest filing
- S•••• D••••• C••• · President/Manager And Chief Compliance Officercontrolsince 08/2003 · owns 50% to 75%
- S•••• L•••• E••••• · Managercontrolsince 08/2003 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $56.0M to $56.4MMar 5, 2025 to Mar 26, 2026
- Individual RAUM · $10.2M to $9.0MMar 5, 2025 to Mar 26, 2026
- RAUM · $56.0M to $56.4MMar 5, 2025 to Mar 26, 2026
- Accounts · 13 to 17Mar 26, 2024 to Mar 5, 2025
- Financial planning clients · 0 to 0Mar 26, 2024 to Mar 5, 2025
- Discretionary RAUM · $49.9M to $56.0MMar 26, 2024 to Mar 5, 2025
- Individual RAUM · $7.0M to $10.2MMar 26, 2024 to Mar 5, 2025
- RAUM · $49.9M to $56.0MMar 26, 2024 to Mar 5, 2025
- Accounts · 17 to 13Mar 21, 2023 to Mar 26, 2024
- Private funds · 1 to unsetMar 21, 2023 to Mar 26, 2024
- Discretionary RAUM · $48.5M to $49.9MMar 21, 2023 to Mar 26, 2024
- Individual RAUM · $8.8M to $7.0MMar 21, 2023 to Mar 26, 2024
- RAUM · $48.5M to $49.9MMar 21, 2023 to Mar 26, 2024
- Discretionary RAUM · $52.6M to $48.5MFeb 18, 2022 to Mar 21, 2023
- Individual RAUM · $9.5M to $8.8MFeb 18, 2022 to Mar 21, 2023
- RAUM · $52.6M to $48.5MFeb 18, 2022 to Mar 21, 2023
- Accounts · 19 to 17Mar 30, 2021 to Feb 18, 2022
- Individual clients · 18 to 16Mar 30, 2021 to Feb 18, 2022
- Discretionary RAUM · $46.5M to $52.6MMar 30, 2021 to Feb 18, 2022
- Individual RAUM · $7.7M to $9.5MMar 30, 2021 to Feb 18, 2022
- RAUM · $46.5M to $52.6MMar 30, 2021 to Feb 18, 2022
- Discretionary RAUM · $45.5M to $46.5MJun 30, 2020 to Mar 30, 2021
- Individual RAUM · $8.0M to $7.7MJun 30, 2020 to Mar 30, 2021
- RAUM · $45.5M to $46.5MJun 30, 2020 to Mar 30, 2021
- Accounts · 11 to 19Sep 27, 2019 to Feb 6, 2020
- Individual clients · 11 to 18Sep 27, 2019 to Feb 6, 2020
- Discretionary RAUM · $44.7M to $45.5MSep 27, 2019 to Feb 6, 2020
- Individual RAUM · $5.3M to $8.0MSep 27, 2019 to Feb 6, 2020
- RAUM · $44.7M to $45.5MSep 27, 2019 to Feb 6, 2020
- Accounts · 12 to 11Feb 12, 2019 to Sep 27, 2019
- Advisory activities · 3 to 2Feb 12, 2019 to Sep 27, 2019
- Discretionary RAUM · $46.2M to $44.7MFeb 12, 2019 to Sep 27, 2019
- Individual RAUM · $5.1M to $5.3MFeb 12, 2019 to Sep 27, 2019
- RAUM · $46.2M to $44.7MFeb 12, 2019 to Sep 27, 2019
- Discretionary RAUM · $50.3M to $46.2MFeb 20, 2018 to Feb 12, 2019
- Individual RAUM · $5.4M to $5.1MFeb 20, 2018 to Feb 12, 2019
- RAUM · $50.3M to $46.2MFeb 20, 2018 to Feb 12, 2019
- Individual clients · unset to 11.0Feb 2, 2017 to Feb 20, 2018
- Other offices · unset to 0.0Feb 2, 2017 to Feb 20, 2018
- Discretionary RAUM · $45.2M to $50.3MFeb 2, 2017 to Feb 20, 2018
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.
How to reach
public business contact points only, each with its source
- Website
- S•••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (414) 765-1107reportedpublic record, Form ADV, Mar 26, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $56.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026