DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S•••• A•••• M••••••••• C••• L•••
Latest filing Jun 8, 2026
First filing on the tape Mar 12, 2012 · 19 filings
SEC status approved since Aug 16, 2005
RAUM
$12B
reported, Item 5.F
Discretionary
95%
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
145
35 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$12B as of Jun 8, 2026
Jul 3, 2012$3.0B then
HNW client RAUM$0 as of Jun 8, 2026
Jun 25, 2018$0 then
State-registered IARs (5.B.3)0 as of Jun 8, 2026
Jul 3, 20120 then
Employees (5.A)145 as of Jun 8, 2026
Jun 17, 201375 then
Private funds: no history
RAUM +37% over the last fiscal year+1.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 8, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- 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
- $120MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 25%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
- +21%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 businesses and institutions, portfolio management for pooled vehicles, 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
- is a broker-dealer (6.A.1)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$7.6B68%
- State and municipal entities$2.7B24%
- Investment companies$525M4.7%
- Pension and profit-sharing plans$296M2.7%
- Corporations and businesses$22.4M0.2%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 15reported
- Charitable clients
- n/areported
- Accounts
- 98reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.69 institutional_share=0.25 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••• S••••• · President And Chief Executive Officercontrolsince 04/2011 · owns less than 5%
- F•••••• M••••••••• •••• · Directorcontrolsince 06/2017 · owns less than 5%
- M••••••••• H•••••• · Directorcontrolsince 03/2018 · owns less than 5%
- A••• S••••• · Shareholdercontrolsince 06/1989 · owns 25% to 50% of S•••• G•••• C••• L•••
- I••••• Y••••• · Chief Compliance Officersince 12/2015 · owns less than 5%
Entity owners
- S•••• G•••• C••• L••• · Sole Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- N••••• S•••• I••••••••• I•••investment advisern
- S•••• A• • T••••••••• I••••••••• C••• L•••pooled vehicle sponsorn
- S•••• A••• C•••••• M••••••••• L••••••pooled vehicle sponsorn
- S•••• A••• I••••••••• A••••••• L••••••investment adviserpooled vehicle sponsornRAUM $13.3M
- S•••• A•••• M••••••••• K•••• C••• L••investment adviserpooled vehicle sponsorn
- S•••• A•••• T•••• • M••••••••• C••• L•••investment adviserinvestment companyn
- S•••• G•••• C••• L•••pooled vehicle sponsory
Advisers that list S•••• A•••• M••••••••• C••• L••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 96 to 98Jun 17, 2025 to Jun 8, 2026
- Advisory employees · 37 to 35Jun 17, 2025 to Jun 8, 2026
- Corporate clients · unset to 1.0Jun 17, 2025 to Jun 8, 2026
- Pension plan clients · 16 to 15Jun 17, 2025 to Jun 8, 2026
- Pooled vehicle clients · 68 to 69Jun 17, 2025 to Jun 8, 2026
- Employees · 147 to 145Jun 17, 2025 to Jun 8, 2026
- Discretionary RAUM · $9.5B to $11BJun 17, 2025 to Jun 8, 2026
- Non-discretionary RAUM · $498M to $584MJun 17, 2025 to Jun 8, 2026
- Pension RAUM · $359M to $296MJun 17, 2025 to Jun 8, 2026
- Pooled vehicle RAUM · $6.9B to $7.6BJun 17, 2025 to Jun 8, 2026
- RAUM · $10B to $12BJun 17, 2025 to Jun 8, 2026
- Accounts · 95 to 96Jun 20, 2024 to Jun 17, 2025
- Pension plan clients · 17 to 16Jun 20, 2024 to Jun 17, 2025
- Pooled vehicle clients · 66 to 68Jun 20, 2024 to Jun 17, 2025
- Employees · 144 to 147Jun 20, 2024 to Jun 17, 2025
- Financial planning clients · unset to Jun 20, 2024 to Jun 17, 2025
- HQ state · unset to Jun 20, 2024 to Jun 17, 2025
- Discretionary RAUM · $10B to $9.5BJun 20, 2024 to Jun 17, 2025
- Non-discretionary RAUM · $200M to $498MJun 20, 2024 to Jun 17, 2025
- Pension RAUM · $595M to $359MJun 20, 2024 to Jun 17, 2025
- Pooled vehicle RAUM · $7.2B to $6.9BJun 20, 2024 to Jun 17, 2025
- RAUM · $10B to $10BJun 20, 2024 to Jun 17, 2025
- Accounts · 91 to 95Dec 20, 2023 to Jun 20, 2024
- Advisory employees · 36 to 37Dec 20, 2023 to Jun 20, 2024
- Pooled vehicle clients · 63 to 66Dec 20, 2023 to Jun 20, 2024
- Employees · 134 to 144Dec 20, 2023 to Jun 20, 2024
- Discretionary RAUM · $8.4B to $10BDec 20, 2023 to Jun 20, 2024
- Non-discretionary RAUM · $160M to $200MDec 20, 2023 to Jun 20, 2024
- Pension RAUM · $654M to $595MDec 20, 2023 to Jun 20, 2024
- Pooled vehicle RAUM · $5.7B to $7.2BDec 20, 2023 to Jun 20, 2024
- RAUM · $8.6B to $10BDec 20, 2023 to Jun 20, 2024
- Accounts · 94 to 91Jun 13, 2022 to Jun 26, 2023
- Advisory employees · 34 to 36Jun 13, 2022 to Jun 26, 2023
- Pension plan clients · 16 to 17Jun 13, 2022 to Jun 26, 2023
- Pooled vehicle clients · 69 to 63Jun 13, 2022 to Jun 26, 2023
- Employees · 137 to 134Jun 13, 2022 to Jun 26, 2023
- Discretionary RAUM · $9.8B to $8.4BJun 13, 2022 to Jun 26, 2023
- Non-discretionary RAUM · $158M to $160MJun 13, 2022 to Jun 26, 2023
- Pension RAUM · $705M to $654MJun 13, 2022 to Jun 26, 2023
- Pooled vehicle RAUM · $6.8B to $5.7BJun 13, 2022 to Jun 26, 2023
Signals
4 dated events
- Tadahiro Fujimura (Representative Director) no longer on Schedule A of S•••• A•••• M••••••••• C••• L••• (listed 2023-12-20, absent 2024-06-20)Jun 20, 2024 · Control person left · inference
- Shinji Naito (Director) no longer on Schedule A of S•••• A•••• M••••••••• C••• L••• (listed 2021-06-24, absent 2022-06-13)Jun 13, 2022 · Control person left · inference
- S•••• A•••• M••••••••• C••• L••• reported RAUM $11.2B, up 37% from $8.1B (2020-06-22 to 2021-06-24)Jun 24, 2021 · RAUM change · derived
- S•••• A•••• M••••••••• C••• L••• reported RAUM $8.9B, up 50% from $6.0B (2017-06-26 to 2018-06-25)Jun 25, 2018 · 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••••.CO.JPreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 813-6711-9200reportedpublic record, Form ADV, Jun 8, 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
- Asset manager (funds and pooled vehicles)deriveda 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