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•••••••••
Legal name S••• C•••••• M••••••••• I••
Latest filing Feb 23, 2026
First filing on the tape Mar 26, 2012 · 31 filings
SEC status approved since Feb 4, 2005
RAUM
$768M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
10%
$78.9M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$768M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$768M as of Feb 23, 2026
Mar 26, 2012$200M then
HNW client RAUM$60.1M as of Feb 23, 2026
Feb 28, 2018$25.2M then
State-registered IARs (5.B.3)1 as of Feb 23, 2026
Mar 26, 20120 then
Employees (5.A)4 as of Feb 23, 2026
Mar 15, 20138 then
Private funds1 as of Feb 23, 2026
Mar 26, 20121 then
RAUM +20% over the last fiscal year+12% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 23, 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
- $768MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $9.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Wrap fee program
- $93.6MreportedItem 5.I
- Custody
- $700M, 20 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$674M90%
- High-net-worth individuals$60.1M8.0%
- Individuals$18.8M2.5%
- Individual clients
- 23reported
- HNW clients
- 27reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 83reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $700M for 20 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.1 fund_share=0.88 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 |
|---|---|---|---|---|
| H••••••• H•••••• S••• | Raleigh, Nc | Feb 4, 2005 | 33 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
- H••••••• H•••••• S••• from U•• F•••••••• S••••••• I•••Feb 4, 2005 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••• C•••••• O••••••••• F••• L• | Hedge Fund | $445M | 80 | Mar 26, 2012 |
Owners and control persons
Schedule A and B, latest filing
- R••• C••••• N•• · Director, Compliance & Risk Management, Chief Compliance Officercontrolsince 10/2007 · owns less than 5%
- S•••• H•••••••• H•••••• · President And Chief Investment Officercontrolsince 01/2005 · owns 75% or more
Related persons
Schedule D 7.A
- S••• C•••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 84 to 83Sep 30, 2025 to Feb 23, 2026
- Pension plan clients · 1.0 to unsetSep 30, 2025 to Feb 23, 2026
- Assets in custody · $18.8M to $700MSep 30, 2025 to Feb 23, 2026
- Financial planning clients · 0 to Sep 30, 2025 to Feb 23, 2026
- Discretionary RAUM · $639M to $768MSep 30, 2025 to Feb 23, 2026
- HNW RAUM · $50.3M to $60.1MSep 30, 2025 to Feb 23, 2026
- Individual RAUM · $15.7M to $18.8MSep 30, 2025 to Feb 23, 2026
- Pension RAUM · 3892884.0 to unsetSep 30, 2025 to Feb 23, 2026
- Pooled vehicle RAUM · $557M to $674MSep 30, 2025 to Feb 23, 2026
- RAUM · $639M to $768MSep 30, 2025 to Feb 23, 2026
- Financial planning clients · 0 to 0Mar 28, 2025 to Sep 30, 2025
- Accounts · 89 to 84Mar 25, 2024 to Mar 28, 2025
- HNW clients · 22 to 27Mar 25, 2024 to Mar 28, 2025
- Individual clients · 30 to 23Mar 25, 2024 to Mar 28, 2025
- Assets in custody · $444M to $18.8MMar 25, 2024 to Mar 28, 2025
- Employees · 5 to 4Mar 25, 2024 to Mar 28, 2025
- State-registered IARs · 2 to 1Mar 25, 2024 to Mar 28, 2025
- Discretionary RAUM · $515M to $639MMar 25, 2024 to Mar 28, 2025
- HNW RAUM · $33.4M to $50.3MMar 25, 2024 to Mar 28, 2025
- Individual RAUM · $21.9M to $15.7MMar 25, 2024 to Mar 28, 2025
- Pension RAUM · $3.2M to $3.9MMar 25, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $444M to $557MMar 25, 2024 to Mar 28, 2025
- RAUM · $515M to $639MMar 25, 2024 to Mar 28, 2025
- Accounts · 94 to 89Apr 25, 2023 to Mar 25, 2024
- HNW clients · 23 to 22Apr 25, 2023 to Mar 25, 2024
- Pension plan clients · unset to 1.0Apr 25, 2023 to Mar 25, 2024
- Assets in custody · $468M to $458MApr 25, 2023 to Mar 25, 2024
- Discretionary RAUM · $546M to $515MApr 25, 2023 to Mar 25, 2024
- HNW RAUM · $40.8M to $33.4MApr 25, 2023 to Mar 25, 2024
- Individual RAUM · $21.8M to $21.9MApr 25, 2023 to Mar 25, 2024
- Pension RAUM · $3.0M to $3.2MApr 25, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $468M to $444MApr 25, 2023 to Mar 25, 2024
- RAUM · $546M to $515MApr 25, 2023 to Mar 25, 2024
- Assets in custody · $458M to $444MMar 25, 2024 to Mar 25, 2024
- Accounts · 93 to 94Apr 12, 2022 to Feb 28, 2023
- Advisory employees · 3 to 2Apr 12, 2022 to Feb 28, 2023
- HNW clients · 25 to 23Apr 12, 2022 to Feb 28, 2023
- Individual clients · 29 to 30Apr 12, 2022 to Feb 28, 2023
- Assets in custody · $411M to $468MApr 12, 2022 to Feb 28, 2023
- Employees · 6 to 5Apr 12, 2022 to Feb 28, 2023
Signals
1 dated events
- S••• C•••••• M••••••••• reported RAUM $422.1M, up 47% from $287.6M (2020-07-01 to 2021-01-27)Jan 27, 2021 · RAUM change · derived
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 19, 2026
- Principal office phone
- 919-719-6360reportedpublic record, Form ADV, Feb 23, 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
- $768Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026