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••

Asset manager (funds and pooled vehicles)New York, New YorkCRD 151259SEC 801-70549IAPD
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2012 · 18 filings
SEC status approved since Sep 16, 2009
RAUM
$16B
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
82
30 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$16B as of Mar 30, 2026
Mar 30, 2012$556M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 30, 20120 then
Employees (5.A)82 as of Mar 30, 2026
Mar 28, 201327 then
Private funds: no history
RAUM +31% over the last fiscal year+19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
$8.0BderivedRAUM 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
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
+31%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 investment companiesreportedItem 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)
  • 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
  • Investment companies$16B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=2.0derived
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S•••••• J•••••••• W•••• · Chief Compliance Officercontrol
        since 03/2015 · owns less than 5%
      • S••••••••• P••••••••• D• · Manager; Membercontrol
        since 11/2001 · owns 50% to 75% of A••••• C•••••• M••••••••• L••
      Entity owners
      • A••••• C•••••• M••••••••• L•• · Sole Member; Managing Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Advisers that list S•••••••• C•••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • San Francisco, CA5 employees
      • Palm Beach, FL3 employees
      • Hong Kong, Hong Kong2 employees
      • Beijing, China1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 1 to 2
        Mar 25, 2025 to Mar 30, 2026
      • Advisory employees · 29 to 30
        Mar 25, 2025 to Mar 30, 2026
      • Employees · 78 to 82
        Mar 25, 2025 to Mar 30, 2026
      • Discretionary RAUM · $12B to $16B
        Mar 25, 2025 to Mar 30, 2026
      • RAUM · $12B to $16B
        Mar 25, 2025 to Mar 30, 2026
      • Advisory employees · 28 to 29
        Mar 26, 2024 to Mar 25, 2025
      • Employees · 76 to 78
        Mar 26, 2024 to Mar 25, 2025
      • Financial planning clients · unset to
        Mar 26, 2024 to Mar 25, 2025
      • Other offices · 4 to 3
        Mar 26, 2024 to Mar 25, 2025
      • Discretionary RAUM · $11B to $12B
        Mar 26, 2024 to Mar 25, 2025
      • RAUM · $11B to $12B
        Mar 26, 2024 to Mar 25, 2025
      • Advisory employees · 27 to 28
        Mar 28, 2023 to Mar 26, 2024
      • Employees · 75 to 76
        Mar 28, 2023 to Mar 26, 2024
      • Discretionary RAUM · $9.6B to $11B
        Mar 28, 2023 to Mar 26, 2024
      • RAUM · $9.6B to $11B
        Mar 28, 2023 to Mar 26, 2024
      • Advisory employees · 29 to 27
        Mar 28, 2022 to Mar 28, 2023
      • Employees · 78 to 75
        Mar 28, 2022 to Mar 28, 2023
      • Discretionary RAUM · $16B to $9.6B
        Mar 28, 2022 to Mar 28, 2023
      • RAUM · $16B to $9.6B
        Mar 28, 2022 to Mar 28, 2023
      • Advisory employees · 28 to 29
        Mar 29, 2021 to Mar 28, 2022
      • Employees · 70 to 78
        Mar 29, 2021 to Mar 28, 2022
      • Other offices · 3 to 4
        Mar 29, 2021 to Mar 28, 2022
      • Discretionary RAUM · $15B to $16B
        Mar 29, 2021 to Mar 28, 2022
      • RAUM · $15B to $16B
        Mar 29, 2021 to Mar 28, 2022
      • Advisory employees · 20 to 28
        Mar 25, 2020 to Mar 29, 2021
      • Employees · 57 to 70
        Mar 25, 2020 to Mar 29, 2021
      • Discretionary RAUM · $7.4B to $15B
        Mar 25, 2020 to Mar 29, 2021
      • RAUM · $7.4B to $15B
        Mar 25, 2020 to Mar 29, 2021
      • Advisory employees · 18 to 20
        Mar 25, 2019 to Mar 25, 2020
      • Employees · 51 to 57
        Mar 25, 2019 to Mar 25, 2020
      • Discretionary RAUM · $4.5B to $7.4B
        Mar 25, 2019 to Mar 25, 2020
      • RAUM · $4.5B to $7.4B
        Mar 25, 2019 to Mar 25, 2020
      • Advisory employees · 13 to 18
        Mar 26, 2018 to Mar 25, 2019
      • Employees · 40 to 51
        Mar 26, 2018 to Mar 25, 2019
      • Discretionary RAUM · $3.7B to $4.5B
        Mar 26, 2018 to Mar 25, 2019
      • RAUM · $3.7B to $4.5B
        Mar 26, 2018 to Mar 25, 2019
      • Related broker-dealer · false to true
        Mar 26, 2018 to Mar 25, 2019
      • Advisory employees · 14 to 13
        Mar 28, 2017 to Mar 26, 2018
      • Employees · 36 to 40
        Mar 28, 2017 to Mar 26, 2018
      • Other offices · unset to 3.0
        Mar 28, 2017 to Mar 26, 2018
      Signals
      5 dated events
      • S•••••••• C•••••• M••••••••• L•• reported RAUM $16.1B, up 31% from $12.3B (2025-03-25 to 2026-03-30)
        Mar 30, 2026 · RAUM change · derived
      • S•••••••• C•••••• M••••••••• L•• reported RAUM $9.6B, down 38% from $15.6B (2022-03-28 to 2023-03-28)
        Mar 28, 2023 · RAUM change · derived
      • S•••••••• C•••••• M••••••••• L•• reported RAUM $15.3B, up 107% from $7.4B (2020-03-25 to 2021-03-29)
        Mar 29, 2021 · RAUM change · derived
      • S•••••••• C•••••• M••••••••• L•• reported RAUM $7.4B, up 63% from $4.5B (2019-03-25 to 2020-03-25)
        Mar 25, 2020 · RAUM change · derived
      • S•••••••• C•••••• M••••••••• L•• reported RAUM $3.7B, up 31% from $2.8B (2017-03-28 to 2018-03-26)
        Mar 26, 2018 · RAUM change · derived
      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
      Principal office phone
      212-716-6840reportedpublic record, Form ADV, Mar 30, 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