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•••••• L••

Former SEC-registered adviserMill Valley, CaliforniaCRD 143766SEC 801-78321IAPD
Latest filing Feb 20, 2020
First filing on the tape Jul 1, 2013 · 13 filings
RAUM
$55.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$27.6M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$55.2M gross assets
History
13 filings and snapshots on the tape
RAUM$55.2M as of Feb 20, 2020
Mar 31, 2014$251M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 20, 2020
Mar 31, 20141 then
Employees (5.A)4 as of Feb 20, 2020
Mar 31, 20145 then
Private funds1 as of Feb 20, 2020
Mar 31, 20142 then
RAUM -59% over the last fiscal year-41% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 20, 2020; every figure names its basis
RAUM per advisor
$27.6MderivedRAUM 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
$55.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-59%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%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 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)
  • 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$55.2M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J••••• A••••• L••••••• A••••Ross, CaOct 14, 202419 y1
P•••••• D• R•••Ross, CaOct 14, 202421 y0
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
    none on the tape
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•• S••••••• F••• L•••Hedge Fund$55.2M50Jul 1, 2013
      T•• S••••••• Q•••••••• F••• L•••Hedge Fund$20.1M2Jul 1, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • A••••• J•••••• A••••• L••••••• · Managing Membercontrol
        since 03/2007 · owns 75% or more
      • R•••• P••••••• D• · Chief Operating Officer / Chief Compliance Officercontrol
        since 04/2013 · owns less than 5%
      Related persons
      Schedule D 7.A
      • S••••••• F••• G• L••
        bankpooled vehicle sponsorn
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Ross, Ca200
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 1
        Apr 16, 2019 to Feb 20, 2020
      • Advisory employees · 3 to 2
        Apr 16, 2019 to Feb 20, 2020
      • Advisory activities · 2 to 1
        Apr 16, 2019 to Feb 20, 2020
      • Corporate clients · 2.0 to unset
        Apr 16, 2019 to Feb 20, 2020
      • Pooled vehicle clients · 3 to 1
        Apr 16, 2019 to Feb 20, 2020
      • Private funds · 2 to 1
        Apr 16, 2019 to Feb 20, 2020
      • Discretionary RAUM · $135M to $55.2M
        Apr 16, 2019 to Feb 20, 2020
      • Pooled vehicle RAUM · $121M to $55.2M
        Apr 16, 2019 to Feb 20, 2020
      • RAUM · $135M to $55.2M
        Apr 16, 2019 to Feb 20, 2020
      • Advisory employees · 4 to 3
        Aug 22, 2018 to Mar 13, 2019
      • Employees · 5 to 4
        Aug 22, 2018 to Mar 13, 2019
      • Discretionary RAUM · $289M to $135M
        Aug 22, 2018 to Mar 13, 2019
      • Pooled vehicle RAUM · $270M to $121M
        Aug 22, 2018 to Mar 13, 2019
      • RAUM · $289M to $135M
        Aug 22, 2018 to Mar 13, 2019
      • Advisory employees · 3 to 4
        Jan 12, 2018 to Mar 28, 2018
      • Other offices · 1 to 0
        Jan 12, 2018 to Mar 28, 2018
      • Discretionary RAUM · $271M to $289M
        Jan 12, 2018 to Mar 28, 2018
      • Pooled vehicle RAUM · $254M to $270M
        Jan 12, 2018 to Mar 28, 2018
      • RAUM · $271M to $289M
        Jan 12, 2018 to Mar 28, 2018
      • Advisory employees · 4 to 3
        Mar 30, 2017 to Jan 12, 2018
      • Corporate clients · unset to 2.0
        Mar 30, 2017 to Jan 12, 2018
      • Pooled vehicle clients · unset to 3.0
        Mar 30, 2017 to Jan 12, 2018
      • HQ city · SAN FRANCISCO to MILL VALLEY
        Mar 30, 2017 to Jan 12, 2018
      • Other offices · unset to 1.0
        Mar 30, 2017 to Jan 12, 2018
      • Pooled vehicle RAUM · unset to 254293687.0
        Mar 30, 2017 to Jan 12, 2018
      • Advisory employees · 3 to 4
        Mar 28, 2016 to Mar 30, 2017
      • Assets in custody · unset to 0.0
        Mar 28, 2016 to Mar 30, 2017
      • Custody of client assets · false to true
        Mar 28, 2016 to Mar 30, 2017
      • Discretionary RAUM · $235M to $271M
        Mar 28, 2016 to Mar 30, 2017
      • RAUM · $235M to $271M
        Mar 28, 2016 to Mar 30, 2017
      • Related bank · false to true
        Mar 28, 2016 to Mar 30, 2017
      • Advisory employees · 2 to 3
        Mar 31, 2015 to Mar 28, 2016
      • Employees · 4 to 5
        Mar 31, 2015 to Mar 28, 2016
      • Discretionary RAUM · $305M to $235M
        Mar 31, 2015 to Mar 28, 2016
      • RAUM · $305M to $235M
        Mar 31, 2015 to Mar 28, 2016
      • Advisory employees · 3 to 2
        Feb 12, 2015 to Mar 31, 2015
      • Assets in custody · 0.0 to unset
        Feb 12, 2015 to Mar 31, 2015
      • Custody of client assets · true to false
        Feb 12, 2015 to Mar 31, 2015
      • Employees · 5 to 4
        Feb 12, 2015 to Mar 31, 2015
      • Discretionary RAUM · $260M to $305M
        Feb 12, 2015 to Mar 31, 2015
      Signals
      2 dated events
      • S••••••• C•••••• L•• reported RAUM $135.5M, down 53% from $288.8M (2018-08-22 to 2019-03-13)
        Mar 13, 2019 · RAUM change · derived
      • S••••••• C•••••• L•• filed its initial SEC registration (Form ADV)
        Jul 1, 2013 · First SEC registration · fact
      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
      Firm profile
      LINKEDIN.COM/COMPANY/S•••••••-CAPITAL-LLCreportedpublic record, Form ADV, Sep 19, 2026
      Website
      S•••••••CAP.COMreportedpublic record, Form ADV, Sep 19, 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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $27.6Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026