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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Former SEC-registered adviser

S••••• C•••••• M••••••••• L•••••

Former SEC-registered adviserSingapore, CRD 135760SEC 801-64706IAPD
Latest filing Apr 1, 2013
First filing on the tape Mar 30, 2012 · 4 filings
RAUM
$149M
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
10
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$149M gross assets
History
4 filings and snapshots on the tape
RAUM$149M as of Apr 1, 2013
Mar 30, 2012$168M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2013
Mar 30, 20120 then
Employees (5.A): 10
Private funds4 as of Apr 1, 2013
Mar 30, 20124 then
RAUM -12% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 2013; 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
$14.9MderivedRAUM 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
-12%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, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • 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
10reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUMreported
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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••• C•••••• S•••••• O••••••••• M••••• F•••• L•••Hedge Fund$19.7M4Mar 30, 2012
      S••••• C•••••• L•••Hedge Fund$19.0M1Mar 31, 2015
      S••••• C•••••• F••••••• F•••• L•••Hedge Fund$14.3M1Mar 30, 2012
      S••••• P•••••• E••••• P•••••••• L•••Private Equity Fund$12.0M1Mar 31, 2015
      S••••• C•••••• H•••••••• L•••Hedge Fund$4.8M267Mar 30, 2012
      S••••• C•••••• M••••• F•••• L•••Hedge Fund$37,5351Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••• R••••••• B• · Chief Compliance Officer/Chief Financial Officer/Chief Operating Officer Of S••••• Capital Management LLCcontrol
        since 04/2010 · owns less than 5%
      • M••••••• S••••• · Chief Executive Officer Of S••••• Capital Management LLCcontrol
        since 02/2005 · owns 75% or more
      • M••••••• S••••• · Membercontrol
        since 12/2007 · owns 75% or more of S••••• I••••••••• L••
      • M••••••• S••••• · Membercontrol
        since 03/2005 · owns 75% or more of S••••• Family I LLC
      Entity owners
      • S••••• C•••••• A••• L••• · Member, S••••• Capital A••• Pte.
        direct · owns 75% or more
      • S••••• F••••• I• L•• · Member Of S••••• Capital Management LLC
        direct · owns 75% or more
      • S••••• I••••••••• L•• · Partner
        indirect · owns 75% or more of S••••• C•••••• A••• L•••
      Related persons
      Schedule D 7.A
      • S••••• C•••••• A••• P••• L•••
        investment adviserbankn
      • S••••• C•••••• P•••••••• L•••
        bankpooled vehicle sponsorn
      • S••••• P••••••••• L•••
        bankpooled vehicle sponsorn
      • S••••• S• P••••••••• L•••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · unset to 7.0
        Oct 11, 2012 to Apr 1, 2013
      • Employees · unset to 10.0
        Oct 11, 2012 to Apr 1, 2013
      • Discretionary RAUM · $168M to $149M
        Oct 11, 2012 to Apr 1, 2013
      • RAUM · $168M to $149M
        Oct 11, 2012 to Apr 1, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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