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Former SEC-registered adviser

S•••• A•••• M••••••••• K•••• C••• L••

Former SEC-registered adviserSeoul, CRD 139179SEC 801-66109IAPD
Latest filing Jun 21, 2017
First filing on the tape Apr 18, 2012 · 9 filings
RAUM
$1.2B
reported, Item 5.F
Discretionary
98%
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
25
11 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$1.2B as of Jun 21, 2017
Apr 18, 2012$3.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)10 as of Jun 21, 2017
Apr 18, 20120 then
Employees (5.A)25 as of Jun 21, 2017
Jun 18, 201334 then
Private funds: no history
RAUM -32% over the last fiscal year-26% a year over threeIARs 15 to 10
Practice profile
derived from the filing of Jun 21, 2017; every figure names its basis
RAUM per advisor
$122MderivedRAUM 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
$25.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
10.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-32%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
  • 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)
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
48reported
Financial planning clients
0reported
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 departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••••• B••••• H•••• · Executive Officercontrol
        since 02/2013 · owns less than 5%
      • S•••••• T•••••• · Chief Executive Officercontrol
        since 09/2016 · owns less than 5%
      • A••• S••••• · Shareholdercontrol
        since 06/1989 · owns 50% to 75% of S•••• G•••• C••• L••.
      • J•• K••••• · Chief Compliance Officer
        since 02/2013 · owns less than 5%
      Entity owners
      • S•••• G•••• C••• L•• · Shareholder
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      Advisers that list S•••• A•••• M••••••••• K•••• 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 · 81 to 48
        Jun 23, 2016 to Jun 21, 2017
      • Advisory employees · 13 to 11
        Jun 23, 2016 to Jun 21, 2017
      • Employees · 35 to 25
        Jun 23, 2016 to Jun 21, 2017
      • Financial planning clients · unset to 0
        Jun 23, 2016 to Jun 21, 2017
      • State-registered IARs · 15 to 10
        Jun 23, 2016 to Jun 21, 2017
      • Discretionary RAUM · $1.8B to $1.2B
        Jun 23, 2016 to Jun 21, 2017
      • Non-discretionary RAUM · $33.2M to $23.6M
        Jun 23, 2016 to Jun 21, 2017
      • RAUM · $1.8B to $1.2B
        Jun 23, 2016 to Jun 21, 2017
      • Accounts · 64 to 81
        Jun 24, 2015 to Jun 23, 2016
      • Discretionary RAUM · $3.2B to $1.8B
        Jun 24, 2015 to Jun 23, 2016
      • Non-discretionary RAUM · $42.5M to $33.2M
        Jun 24, 2015 to Jun 23, 2016
      • RAUM · $3.2B to $1.8B
        Jun 24, 2015 to Jun 23, 2016
      • Accounts · 58 to 64
        Feb 26, 2015 to Jun 24, 2015
      • Advisory employees · 16 to 13
        Feb 26, 2015 to Jun 24, 2015
      • Business name · C•••• A•••• M••••••••• C••• L••• to S•••• A•••• M••••••••• K•••• C••• L••
        Feb 26, 2015 to Jun 24, 2015
      • Employees · 45 to 35
        Feb 26, 2015 to Jun 24, 2015
      • State-registered IARs · 12 to 15
        Feb 26, 2015 to Jun 24, 2015
      • Legal name · C•••• A•••• M••••••••• C••• L••• to S•••• A•••• M••••••••• K•••• C••• L••
        Feb 26, 2015 to Jun 24, 2015
      • Discretionary RAUM · $3.0B to $3.2B
        Feb 26, 2015 to Jun 24, 2015
      • Non-discretionary RAUM · $85.2M to $42.5M
        Feb 26, 2015 to Jun 24, 2015
      • RAUM · $3.0B to $3.2B
        Feb 26, 2015 to Jun 24, 2015
      • Accounts · 72 to 58
        Jun 18, 2013 to Apr 23, 2014
      • Advisory employees · 13 to 16
        Jun 18, 2013 to Apr 23, 2014
      • Employees · 34 to 45
        Jun 18, 2013 to Apr 23, 2014
      • State-registered IARs · 13 to 12
        Jun 18, 2013 to Apr 23, 2014
      • Discretionary RAUM · $2.7B to $3.0B
        Jun 18, 2013 to Apr 23, 2014
      • Non-discretionary RAUM · $46.3M to $85.2M
        Jun 18, 2013 to Apr 23, 2014
      • RAUM · $2.8B to $3.0B
        Jun 18, 2013 to Apr 23, 2014
      • Accounts · 58 to 72
        Apr 18, 2012 to Jun 18, 2013
      • Advisory employees · unset to 13.0
        Apr 18, 2012 to Jun 18, 2013
      • Business name · C•••• I••••••••• M••••••••• C••• L••• to C•••• A•••• M••••••••• C••• L•••
        Apr 18, 2012 to Jun 18, 2013
      • Employees · unset to 34.0
        Apr 18, 2012 to Jun 18, 2013
      • State-registered IARs · 0 to 13
        Apr 18, 2012 to Jun 18, 2013
      • Legal name · C•••• I••••••••• M••••••••• C••• L••• to C•••• A•••• M••••••••• C••• L•••
        Apr 18, 2012 to Jun 18, 2013
      • Discretionary RAUM · $2.9B to $2.7B
        Apr 18, 2012 to Jun 18, 2013
      • Non-discretionary RAUM · $250M to $46.3M
        Apr 18, 2012 to Jun 18, 2013
      • RAUM · $3.2B to $2.8B
        Apr 18, 2012 to Jun 18, 2013
      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