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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S••••••••• C••••••
Legal name S••••••••• C•••••• L••
Latest filing Mar 5, 2026
First filing on the tape Jun 24, 2014 · 17 filings
SEC status approved since Jul 8, 2014
RAUM
$64.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$64.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$64.2M as of Mar 5, 2026
Mar 2, 2015$51.4M then
HNW client RAUM$51.3M as of Mar 5, 2026
Mar 5, 2018$27.4M then
State-registered IARs (5.B.3)0 as of Mar 5, 2026
Mar 2, 20150 then
Employees (5.A)1 as of Mar 5, 2026
Mar 2, 20151 then
Private funds1 as of Feb 26, 2019
Mar 2, 20151 then
RAUM +16% over the last fiscal year+6.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 5, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM 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
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- 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
- High-net-worth individuals$51.3M80%
- Individuals$12.9M20%
- Individual clients
- 24reported
- HNW clients
- 23reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 47reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| 0••no longer reported | Other Private Fund | $5.8M | 0 | Jun 24, 2014 |
Owners and control persons
Schedule A and B, latest filing
- N•••••••• Y•••••• · Managing Member And Chief Compliance Officercontrolsince 04/2009 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory activities · 3 to 2Mar 5, 2025 to Mar 5, 2026
- HNW clients · 18 to 23Mar 5, 2025 to Mar 5, 2026
- Individual clients · 29 to 24Mar 5, 2025 to Mar 5, 2026
- Discretionary RAUM · $55.5M to $64.2MMar 5, 2025 to Mar 5, 2026
- HNW RAUM · $42.1M to $51.3MMar 5, 2025 to Mar 5, 2026
- Individual RAUM · $13.4M to $12.9MMar 5, 2025 to Mar 5, 2026
- RAUM · $55.5M to $64.2MMar 5, 2025 to Mar 5, 2026
- Charity clients · 1.0 to unsetMar 8, 2024 to Mar 5, 2025
- HNW clients · 14 to 18Mar 8, 2024 to Mar 5, 2025
- Individual clients · 32 to 29Mar 8, 2024 to Mar 5, 2025
- Financial planning clients · 0 to 0Mar 8, 2024 to Mar 5, 2025
- HQ city · unset to Mar 8, 2024 to Mar 5, 2025
- HQ state · unset to Mar 8, 2024 to Mar 5, 2025
- Discretionary RAUM · $42.6M to $55.5MMar 8, 2024 to Mar 5, 2025
- HNW RAUM · $27.8M to $42.1MMar 8, 2024 to Mar 5, 2025
- Individual RAUM · $14.7M to $13.4MMar 8, 2024 to Mar 5, 2025
- RAUM · $42.6M to $55.5MMar 8, 2024 to Mar 5, 2025
- Accounts · 46 to 47Mar 8, 2023 to Mar 8, 2024
- Charity clients · 2 to 1Mar 8, 2023 to Mar 8, 2024
- HNW clients · 15 to 14Mar 8, 2023 to Mar 8, 2024
- Individual clients · 29 to 32Mar 8, 2023 to Mar 8, 2024
- Discretionary RAUM · $53.5M to $42.6MMar 8, 2023 to Mar 8, 2024
- HNW RAUM · $33.6M to $27.8MMar 8, 2023 to Mar 8, 2024
- Individual RAUM · $12.5M to $14.7MMar 8, 2023 to Mar 8, 2024
- RAUM · $53.5M to $42.6MMar 8, 2023 to Mar 8, 2024
- Discretionary RAUM · $56.0M to $53.5MMar 11, 2022 to Mar 8, 2023
- HNW RAUM · $36.9M to $33.6MMar 11, 2022 to Mar 8, 2023
- Individual RAUM · $11.9M to $12.5MMar 11, 2022 to Mar 8, 2023
- RAUM · $56.0M to $53.5MMar 11, 2022 to Mar 8, 2023
- Accounts · 43 to 46Mar 11, 2021 to Mar 11, 2022
- Charity clients · 3 to 2Mar 11, 2021 to Mar 11, 2022
- Individual clients · 25 to 29Mar 11, 2021 to Mar 11, 2022
- Discretionary RAUM · $47.3M to $56.0MMar 11, 2021 to Mar 11, 2022
- HNW RAUM · $30.7M to $36.9MMar 11, 2021 to Mar 11, 2022
- Individual RAUM · $10.3M to $11.9MMar 11, 2021 to Mar 11, 2022
- RAUM · $47.3M to $56.0MMar 11, 2021 to Mar 11, 2022
- Discretionary RAUM · $31.4M to $47.3MJun 16, 2020 to Mar 11, 2021
- HNW RAUM · $21.0M to $30.7MJun 16, 2020 to Mar 11, 2021
- Individual RAUM · $7.1M to $10.3MJun 16, 2020 to Mar 11, 2021
- RAUM · $31.4M to $47.3MJun 16, 2020 to Mar 11, 2021
Signals
2 dated events
- S••••••••• C•••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Feb 26, 2019 · Succession (Item 4) · fact
- S••••••••• C•••••• filed its initial SEC registration (Form ADV)Jun 24, 2014 · 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
- Business phone
- 203-936-7404reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S•••••••••CAP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-936-7404reportedpublic record, Form ADV, Mar 5, 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
- Independent wealth managerderiveda 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