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••••••••• L••
Latest filing Jun 26, 2026
First filing on the tape Jun 29, 2017 · 12 filings
SEC status approved since Jul 22, 2026
RAUM
$181M
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
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$181M as of Jun 26, 2026
Mar 29, 2018$192M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 26, 2026
Mar 29, 20180 then
Employees (5.A)4 as of Jun 26, 2026
Mar 29, 20186 then
Private funds1 as of Jun 26, 2026
Mar 29, 20183 then
RAUM -33% over the last fiscal year-9.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 26, 2026; 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
- $181MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%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 pooled vehiclesreportedItem 5.G
- Custody
- $181M, 1 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)
- 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
- Pooled investment vehicles$181M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $181M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••••• C••••••• L••• | Hedge Fund | $348M | 108 | Mar 24, 2015 |
| M••••••• C••••••• L•••no longer reported | Hedge Fund | $2.6M | 5 | Mar 30, 2017 |
| T••••• C••••••• L•••no longer reported | Hedge Fund | $2.5M | 2 | Mar 30, 2017 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• J•••••••• L••• · Chief Compliance Officercontrolsince 10/2024 · owns less than 5%
- N••••••••• J••••••• P•••• · Chief Operations Officercontrolsince 03/2017 · owns less than 5%
- P••••••• J••• M••••• · Managing Membercontrolsince 01/2006 · owns 50% to 75%
- F•••• B••••• · Membersince 05/2024 · owns 10% to 25%
Related persons
Schedule D 7.A
- S•••••••• G•• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Sausalito, CA1 employees
What changed
consecutive filings, newest first
- Advisory employees · 4 to 3Oct 9, 2024 to Jun 26, 2026
- Assets in custody · $348M to $181MOct 9, 2024 to Jun 26, 2026
- Employees · 6 to 4Oct 9, 2024 to Jun 26, 2026
- Financial planning clients · unset to Oct 9, 2024 to Jun 26, 2026
- Discretionary RAUM · $348M to $181MOct 9, 2024 to Jun 26, 2026
- Pooled vehicle RAUM · $348M to $181MOct 9, 2024 to Jun 26, 2026
- RAUM · $348M to $181MOct 9, 2024 to Jun 26, 2026
- Advisory employees · 3 to 4Jun 8, 2023 to Mar 15, 2024
- Assets in custody · $268M to $348MJun 8, 2023 to Mar 15, 2024
- Employees · 5 to 6Jun 8, 2023 to Mar 15, 2024
- Discretionary RAUM · $272M to $348MJun 8, 2023 to Mar 15, 2024
- Pooled vehicle RAUM · $272M to $348MJun 8, 2023 to Mar 15, 2024
- RAUM · $272M to $348MJun 8, 2023 to Mar 15, 2024
- Succession · true to falseJun 8, 2023 to Mar 15, 2024
- Related bank · false to trueMar 21, 2023 to Jun 8, 2023
- Succession · false to trueMar 21, 2023 to Jun 8, 2023
- Assets in custody · $238M to $268MMar 30, 2022 to Mar 21, 2023
- Discretionary RAUM · $258M to $272MMar 30, 2022 to Mar 21, 2023
- Pooled vehicle RAUM · $258M to $272MMar 30, 2022 to Mar 21, 2023
- RAUM · $258M to $272MMar 30, 2022 to Mar 21, 2023
- Assets in custody · $198M to $238MMar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $247M to $258MMar 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $247M to $258MMar 30, 2021 to Mar 30, 2022
- RAUM · $247M to $258MMar 30, 2021 to Mar 30, 2022
- Accounts · 3 to 1Mar 27, 2020 to Mar 30, 2021
- Pooled vehicle clients · 3 to 1Mar 27, 2020 to Mar 30, 2021
- Assets in custody · $183M to $198MMar 27, 2020 to Mar 30, 2021
- Private funds · 3 to 1Mar 27, 2020 to Mar 30, 2021
- Discretionary RAUM · $206M to $247MMar 27, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $206M to $247MMar 27, 2020 to Mar 30, 2021
- RAUM · $206M to $247MMar 27, 2020 to Mar 30, 2021
- Advisory employees · 4 to 3Mar 28, 2019 to Mar 27, 2020
- Assets in custody · $153M to $183MMar 28, 2019 to Mar 27, 2020
- Employees · 6 to 5Mar 28, 2019 to Mar 27, 2020
- Discretionary RAUM · $159M to $206MMar 28, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $159M to $206MMar 28, 2019 to Mar 27, 2020
- RAUM · $159M to $206MMar 28, 2019 to Mar 27, 2020
- Assets in custody · $187M to $153MMar 29, 2018 to Mar 28, 2019
- Discretionary RAUM · $192M to $159MMar 29, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $192M to $159MMar 29, 2018 to Mar 28, 2019
Signals
6 dated events
- S•••••••• C•••••• M••••••••• L•• reported RAUM $181.0M, down 48% from $347.8M (2024-10-09 to 2026-06-26)Jun 26, 2026 · RAUM change · derived
- S•••••••• C•••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $347.8M)May 2, 2025 · Left the SEC roster · derived
- Patrick Timothy Lynch (Managing Member) no longer on Schedule A of S•••••••• C•••••• M••••••••• L•• (listed 2024-05-28, absent 2024-10-09)Oct 9, 2024 · Control person left · inference
- L••• J••••••• A••••• (Chief Compliance Officer) appeared on Schedule A of S•••••••• C•••••• M••••••••• L••Oct 9, 2024 · Control person joined · fact
- S•••••••• C•••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jun 8, 2023 · Succession (Item 4) · fact
- S•••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 29, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••••••• C•••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- S••••••••CAP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 541-647-5673reportedpublic record, Form ADV, Jun 26, 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