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RIA Intelligence

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Former SEC-registered adviser

I••••••••• C•••••• M••••••••• L••

Former SEC-registered adviserPasadena, CaliforniaCRD 133540SEC 801-63746IAPD

Latest filing Mar 27, 2014

First filing on the tape Mar 1, 2012 · 6 filings

RAUM

$2.7M

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

2 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

$2.7M gross assets

History

6 filings and snapshots on the tape

RAUM$2.7M as of Mar 27, 2014

Mar 1, 2012$10.6M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 27, 2014

Mar 1, 20120 then

Employees (5.A)3 as of Mar 27, 2014

Feb 27, 20133 then

Private funds1 as of Mar 27, 2014

Mar 1, 20121 then

RAUM +16% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Mar 27, 2014; 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: $2.7MderivedRAUM 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: unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year: +16%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: otherreportedItem 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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)

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: 1reported
Financial planning clients: n/areported
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 departure Every arrival

Private funds

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

Fund	Type	Gross assets	Owners	First reported
D•••••••• F•••• L•••	Hedge Fund	$2.7M	10	Mar 1, 2012

Owners and control persons

Schedule A and B, latest filing

S••••••••• J••••• F•••••• · Partnercontrol
since 06/2004 · owns less than 5%
S••••••••• J•••• C••••• · Partnercontrol
since 01/2011 · owns less than 5%
S••••••••• J••••• F•••••• · Partnercontrol
since 11/2000 · owns 25% to 50% of S••••••••• Capital Management, LLC
S••••••••• J•••• C••••• · Membercontrol
since 07/2006 · owns 25% to 50% of S••••••••• Capital Management
S••••••••• W••••••• H•••• · Membercontrol
since 11/2000 · owns 25% to 50% of S••••••••• Capital Management, LLC
B•••••••• W•••• · Chief Compliance Officer
since 02/2014 · owns less than 5%

Entity owners

S••••••••• C•••••• M••••••••• L••• · Member
direct · owns 75% or more

Related persons

Schedule D 7.A

S••••••••• C•••••• M••••••••• L•••
investment adviseryRAUM $1.1B

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 3 to 2
Mar 20, 2013 to Mar 27, 2014
Advisory activities · 2 to 1
Mar 20, 2013 to Mar 27, 2014
Discretionary RAUM · $2.3M to $2.7M
Mar 20, 2013 to Mar 27, 2014
RAUM · $2.3M to $2.7M
Mar 20, 2013 to Mar 27, 2014
Advisory employees · unset to 3.0
Sep 27, 2012 to Feb 27, 2013
Assets in custody · 3252894.0 to unset
Sep 27, 2012 to Feb 27, 2013
Custody of client assets · true to false
Sep 27, 2012 to Feb 27, 2013
Employees · unset to 3.0
Sep 27, 2012 to Feb 27, 2013
Discretionary RAUM · $3.3M to $2.3M
Sep 27, 2012 to Feb 27, 2013
RAUM · $3.3M to $2.3M
Sep 27, 2012 to Feb 27, 2013
Accounts · 30 to 1
Mar 1, 2012 to Sep 27, 2012
Assets in custody · $4.6M to $3.3M
Mar 1, 2012 to Sep 27, 2012
Discretionary RAUM · $10.6M to $3.3M
Mar 1, 2012 to Sep 27, 2012
RAUM · $10.6M to $3.3M
Mar 1, 2012 to Sep 27, 2012

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