DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S••• C•••••• M••••••••• L•
Latest filing Mar 27, 2026
First filing on the tape Dec 16, 2011 · 30 filings
SEC status approved since Nov 30, 2009
RAUM
$1.1B
reported, Item 5.F
Discretionary
44%
of RAUM
Private clients
0.3%
$3.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
23
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$1.1B as of Mar 27, 2026
Dec 16, 2011$1.4B then
HNW client RAUM$3.5M as of Mar 27, 2026
Mar 29, 2022$18.0M then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 28, 20130 then
Employees (5.A)23 as of Mar 27, 2026
Mar 28, 201328 then
Private funds5 as of Mar 27, 2026
Dec 16, 20113 then
RAUM -1.9% over the last fiscal year+5.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $111,790derivedHNW RAUM over HNW clients
- Average account
- $16.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 44%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
- -1.9%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 institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $468M, 64 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$590M56%
- Pooled investment vehicles$463M44%
- High-net-worth individuals$3.5M0.3%
- Individuals$89,7340.0%
- Individual clients
- 6reported
- HNW clients
- 31reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 64reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $468M for 64 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
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••• C•••••• T••• O••••••••• M••••• F••• L•••no longer reported | Hedge Fund | $632M | 196 | Dec 16, 2011 |
| S••• C•••••• P••••••• M••••• F••• L••• | Hedge Fund | $380M | 140 | Dec 16, 2011 |
| S••• C•••••• C••••••••• R••• E••••• D••• F••• I• L••• | Other Private Fund | $116M | 44 | Mar 27, 2019 |
| S••• C•••••• C••••••••• R••• E••••• D••• F••• I• L•••no longer reported | Other Private Fund | $66.3M | 59 | Mar 10, 2016 |
| S••• C•••••• O••••••••• F••• I• M••••• F••• I• L• | Other Private Fund | $25.2M | 40 | Jul 26, 2013 |
| S••• C•••••• S•••••• S••••••••• F••• I• L•no longer reported | Private Equity Fund | $15.2M | 27 | Dec 16, 2011 |
| S••• C•••••• S•••••• S••••••••• M••••• F••• I•• L••• | Other Private Fund | $13.9M | 38 | Feb 27, 2018 |
| S••• C•••••• O••••••••• F••• I• M••••• F••• I• L•no longer reported | Private Equity Fund | $0 | 0 | Jul 26, 2013 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• R••••••• B••••••• · Co-Chief Investment Officer Of S••• C•••••• M••••••••• L•controlsince 09/2008 · owns less than 5%
- D••••••• A•••••• R••• · Chief Compliance Officer And General Counsel Of S••• Capital Management, LPcontrolsince 07/2013 · owns less than 5%
- K••• R••••••• R••• · Chief Operating Officer Of S••• C•••••• M••••••••• L•controlsince 08/2010 · owns less than 5%
- L•• C•••••• · Chief Financial Officer Of S••• C•••••• M••••••••• L•controlsince 11/2023 · owns less than 5%
- S•••••• J• C••••••••• · Principal Of S••• C•••••• M••••••••• L•controlsince 09/2008 · owns less than 5%
- W•••••••• P•••••• N••• · Chief Executive Officer & Co-Chief Investment Officer Of S••• C•••••• M••••••••• L•controlsince 05/2008 · owns less than 5%
- W•••••••• P•••••• N••• · Managing Membercontrolsince 07/2008 · owns 75% or more of S••• C•••••• H••••••• L••
- W•••••••• P•••••• N••• · Sole Managing Member Of Management Committeecontrolsince 06/2009 · owns 50% to 75% of P• E••••••••• I• L••
Entity owners
- P• E••••••••• I• L•• · Limited Partner Of S••• C•••••• M••••••••• L•direct · owns 75% or more
- S••• C•••••• H••••••• L•• · General Partner Of S••• C•••••• M••••••••• L•direct · owns less than 5%
- W••••••• 2••• F••••• T•••• J••••••• T•••• C•••••• O• D••••••• A• T•••••• · Memberindirect · owns 25% to 50% of P• E••••••••• I• L••
Related persons
Schedule D 7.A
- S••• C•••••• C••••••••• R••• E••••• D••• S• L••bankpooled vehicle sponsorn
- S••• C•••••• O••••••••• G• L••investment adviserbankpooled vehicle sponsorn
- S••• C•••••• P••••••• G• L••investment adviserbankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- institutional asset share shiftChange between filings · filing Mar 27, 2026institutional share of RAUM moved from 35.0% to 56.0% between the annual amendments of 2025-03-27 and 2026-03-27peers: asset managers, $1B to $5B (1,506)
What changed
consecutive filings, newest first
- Accounts · 70 to 64May 19, 2025 to Mar 27, 2026
- Pooled vehicle clients · 24 to 19May 19, 2025 to Mar 27, 2026
- Assets in custody · $533M to $468MMay 19, 2025 to Mar 27, 2026
- Employees · 24 to 23May 19, 2025 to Mar 27, 2026
- Discretionary RAUM · $533M to $468MMay 19, 2025 to Mar 27, 2026
- HNW RAUM · $17.3M to $3.5MMay 19, 2025 to Mar 27, 2026
- Individual RAUM · $446,924 to $89,734May 19, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $545M to $590MMay 19, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $676M to $463MMay 19, 2025 to Mar 27, 2026
- RAUM · $1.1B to $1.1BMay 19, 2025 to Mar 27, 2026
- Financial planning clients · unset to Mar 27, 2025 to May 19, 2025
- Accounts · 64 to 70Oct 11, 2024 to Mar 27, 2025
- Advisory employees · 13 to 11Oct 11, 2024 to Mar 27, 2025
- Advisory activities · 1 to 3Oct 11, 2024 to Mar 27, 2025
- Corporate clients · 7 to 0Oct 11, 2024 to Mar 27, 2025
- HNW clients · 38 to 31Oct 11, 2024 to Mar 27, 2025
- Individual clients · 0 to 6Oct 11, 2024 to Mar 27, 2025
- Pooled vehicle clients · 19 to 24Oct 11, 2024 to Mar 27, 2025
- Assets in custody · $583M to $533MOct 11, 2024 to Mar 27, 2025
- Employees · 26 to 24Oct 11, 2024 to Mar 27, 2025
- Private funds · 4 to 5Oct 11, 2024 to Mar 27, 2025
- Discretionary RAUM · $580M to $533MOct 11, 2024 to Mar 27, 2025
- HNW RAUM · $16.3M to $17.3MOct 11, 2024 to Mar 27, 2025
- Individual RAUM · unset to 446924.0Oct 11, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $48.1M to $545MOct 11, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $608M to $676MOct 11, 2024 to Mar 27, 2025
- RAUM · $628M to $1.1BOct 11, 2024 to Mar 27, 2025
- Assets in custody · $628M to $583MMay 21, 2024 to Jul 2, 2024
- Corporate clients · 6 to 7May 24, 2023 to Mar 29, 2024
- Pooled vehicle clients · 14 to 19May 24, 2023 to Mar 29, 2024
- Assets in custody · $695M to $628MMay 24, 2023 to Mar 29, 2024
- Discretionary RAUM · $644M to $580MMay 24, 2023 to Mar 29, 2024
- HNW RAUM · $17.5M to $16.3MMay 24, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $269M to $48.1MMay 24, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $605M to $608MMay 24, 2023 to Mar 29, 2024
- RAUM · $913M to $628MMay 24, 2023 to Mar 29, 2024
- Accounts · 62 to 64Oct 7, 2022 to Mar 29, 2023
- Corporate clients · 0 to 6Oct 7, 2022 to Mar 29, 2023
- HNW clients · 39 to 38Oct 7, 2022 to Mar 29, 2023
- Pooled vehicle clients · 23 to 14Oct 7, 2022 to Mar 29, 2023
Signals
8 dated events
- S••• C•••••• M••••••••• L• reported RAUM $1.1B, up 72% from $628.0M (2024-10-11 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- S••• C•••••• M••••••••• L• reported RAUM $628.0M, down 31% from $912.6M (2023-05-24 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- P Walter Tsin (Chief Financial Officer Of S••• C•••••• M••••••••• L•) no longer on Schedule A of S••• C•••••• M••••••••• L• (listed 2023-05-24, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- Che-Hao Lu (Chief Financial Officer Of S••• C•••••• M••••••••• L•) appeared on Schedule A of S••• C•••••• M••••••••• L•Mar 29, 2024 · Control person joined · fact
- S••• C•••••• M••••••••• L• reported RAUM $912.6M, down 33% from $1.4B (2022-10-07 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- S••• C•••••• M••••••••• L• reported RAUM $1.4B, down 45% from $2.6B (2020-03-26 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- S••• C•••••• M••••••••• L• reported RAUM $2.6B, up 29% from $2.0B (2019-08-30 to 2020-03-26)Mar 26, 2020 · RAUM change · derived
- S••• C•••••• M••••••••• L• reported RAUM $1.6B, down 37% from $2.6B (2017-09-20 to 2018-02-27)Feb 27, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- S••• C•••••• M••••••••• L• · Family Officesshared crd · office
- S••• C•••••• M••••••••• L• · Independent Sponsorsshared crd · capital_provider
- S••• C•••••• M••••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- S•••CAP.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212 850 9000reportedpublic record, Form ADV, Mar 27, 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