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•••••• A•••••••• L••

Asset manager (funds and pooled vehicles)Los Angeles, CaliforniaCRD 153100SEC 801-74077websiteIAPD
Latest filing Jun 3, 2026
First filing on the tape Feb 14, 2012 · 31 filings
SEC status approved since Mar 22, 2012
RAUM
$6.7B
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
60
45 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
25
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$6.7B as of Jun 3, 2026
Apr 1, 2013$683M then
HNW client RAUM$0 as of Jun 3, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Jun 3, 2026
Apr 1, 20130 then
Employees (5.A)60 as of Jun 3, 2026
Apr 1, 201315 then
Private funds25 as of Jun 3, 2026
Apr 1, 20134 then
RAUM +1.7% over the last fiscal year+17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 3, 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
$269MderivedRAUM 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
+1.6%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
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)
  • 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$6.7B100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
25reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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=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
      Every departureEvery arrival
      Private funds
      22 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••••• C•••••• G••••• F••• V• L•••Private Equity Fund$970M50Mar 31, 2022
      S••••••• C•••••• C•••••• F••• I•• L•••Private Equity Fund$709M18Mar 28, 2020
      S••••••• C•••••• C•••••• F••• I••• L•••Private Equity Fund$588M33Mar 31, 2023
      S••••••• C•••••• G••••• F••• I•• L•••Private Equity Fund$548M53Mar 30, 2016
      S••••••• C•••••• C•••••• F••• I• L•••Private Equity Fund$522M20Mar 30, 2016
      B• H•••••• L••Private Equity Fund$288M7Mar 29, 2018
      S••••••• T••••• • B••••• H•••••• L••Private Equity Fund$210M7Mar 31, 2021
      S••••••• C•••••• D••• O••••••••• F••• I• L•••Other Private Fund$203M11Mar 31, 2022
      S••••••• C•••••• G••••• F••• I••• L•Private Equity Fund$134M39Feb 14, 2012
      S••••••• C•• I• C•••••••• I• L•Private Equity Fund$129M5Mar 31, 2021
      S••••••• C•••••• G••••• F••• I•• •••• L•••no longer reportedPrivate Equity Fund$49.3M39Mar 29, 2018
      S••••••• C•• I• C•••••••• I••• L•Private Equity Fund$10.6M2Mar 31, 2021
      S••••••• F•••••• C••••••• L••Private Equity Fund$8.4M2Mar 30, 2016
      S••••••• F•••••• C••••••• I•• L•••Private Equity Fund$7.2M4Mar 30, 2017
      S••••••• C•••••• G••••• F••• V• ••••••••• L•••Private Equity Fund$6.1M12Mar 31, 2022
      S••••••• M•••••••• C•••••••• L••no longer reportedPrivate Equity Fund$3.5M6Mar 31, 2014
      S••••••• C•••••• G••••• F•••• L•no longer reportedPrivate Equity Fund$3.2M8Feb 14, 2012
      S••••••• C•••••• G••••• F••• I• ••••••••• L•••Private Equity Fund$3.1M7Mar 30, 2017
      S••••••• C•••••• G••••• F••• I•• L•no longer reportedPrivate Equity Fund$883,56631Feb 14, 2012
      S••••••• R• C•••••••• L••no longer reportedPrivate Equity Fund$115,61516Mar 30, 2016
      S••••••••• H••••••• L••no longer reportedPrivate Equity Fund$39,7892Mar 30, 2016
      S••••••• S••••••••• C•••••••• I• L••no longer reportedPrivate Equity Fund$1,1512Apr 1, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• R•••••••• J••• · Cco And General Counselcontrol
        since 08/2024 · owns less than 5%
      • H•••••• A•••••• J•• · Membercontrol
        since 01/2010 · owns less than 5%
      • L••••••• M••••••• A••••• · Membercontrol
        since 01/2010 · owns less than 5%
      • M••••••••• P••••• M•••• · Cfocontrol
        since 04/2023 · owns less than 5%
      • R••••• S••••••• D•••••• · Membercontrol
        since 01/2010 · owns less than 5%
      • R••••• P••••••• A•••••• · Membercontrol
        since 04/2016 · owns less than 5%
      • R••••• S••••••• D•••••• · Limited Partnercontrol
        since 10/2022 · owns 25% to 50% of S••••••• M••••••••• F•••••• L•••
      Entity owners
      • S••••••• M••••••••• H•••••• L••• · Holding Company
        direct · owns 75% or more
      • S••••••• M••••••••• F•••••• L••• · F••••• Entity
        indirect · owns 75% or more of S••••••• M••••••••• H•••••• L•••
      • S••••••• U••• L•• · General Partner
        indirect · owns F of S••••••• M••••••••• F•••••• L•••
      Related persons
      Schedule D 7.A
      • E••••••••• I• P•••••••• L••
        pooled vehicle sponsorn
      • S••••••• C•••••• C•••••• G• I•• L••
        pooled vehicle sponsorn
      • S••••••• C•••••• C•••••• G• I••• L••
        pooled vehicle sponsorn
      • S••••••• C•••••• D••• O••••••••• F••• I• G•• L••
        pooled vehicle sponsorn
      • S••••••• C•••••• G••••• F••• I•• L•••
        pooled vehicle sponsorn
      • S••••••• C•••••• P••••••• I••• L•••••
        pooled vehicle sponsorn
      • S••••••• C•••••• P••••••• I•• L•••••
        pooled vehicle sponsorn
      • S••••••• C•••••• P••••••• V• L•••••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $6.7B to $6.7B
        Mar 30, 2026 to Jun 3, 2026
      • Pooled vehicle RAUM · $6.7B to $6.7B
        Mar 30, 2026 to Jun 3, 2026
      • RAUM · $6.7B to $6.7B
        Mar 30, 2026 to Jun 3, 2026
      • Accounts · 23 to 25
        Oct 3, 2025 to Mar 30, 2026
      • Pooled vehicle clients · 23 to 25
        Oct 3, 2025 to Mar 30, 2026
      • Employees · 55 to 60
        Oct 3, 2025 to Mar 30, 2026
      • Private funds · 23 to 25
        Oct 3, 2025 to Mar 30, 2026
      • Discretionary RAUM · $6.6B to $6.7B
        Oct 3, 2025 to Mar 30, 2026
      • Pooled vehicle RAUM · $6.6B to $6.7B
        Oct 3, 2025 to Mar 30, 2026
      • RAUM · $6.6B to $6.7B
        Oct 3, 2025 to Mar 30, 2026
      • Accounts · 16 to 23
        Aug 23, 2024 to Mar 28, 2025
      • Advisory employees · 39 to 45
        Aug 23, 2024 to Mar 28, 2025
      • Pooled vehicle clients · 16 to 23
        Aug 23, 2024 to Mar 28, 2025
      • Custody of client assets · false to true
        Aug 23, 2024 to Mar 28, 2025
      • Employees · 58 to 55
        Aug 23, 2024 to Mar 28, 2025
      • Financial planning clients · unset to
        Aug 23, 2024 to Mar 28, 2025
      • Private funds · 15 to 23
        Aug 23, 2024 to Mar 28, 2025
      • Discretionary RAUM · $4.3B to $6.6B
        Aug 23, 2024 to Mar 28, 2025
      • Pooled vehicle RAUM · $4.3B to $6.6B
        Aug 23, 2024 to Mar 28, 2025
      • RAUM · $4.3B to $6.6B
        Aug 23, 2024 to Mar 28, 2025
      • Accounts · 17 to 16
        Apr 13, 2023 to Mar 28, 2024
      • Advisory employees · 33 to 39
        Apr 13, 2023 to Mar 28, 2024
      • Pooled vehicle clients · 17 to 16
        Apr 13, 2023 to Mar 28, 2024
      • Employees · 52 to 58
        Apr 13, 2023 to Mar 28, 2024
      • Private funds · 16 to 15
        Apr 13, 2023 to Mar 28, 2024
      • Discretionary RAUM · $4.2B to $4.3B
        Apr 13, 2023 to Mar 28, 2024
      • Pooled vehicle RAUM · $4.2B to $4.3B
        Apr 13, 2023 to Mar 28, 2024
      • RAUM · $4.2B to $4.3B
        Apr 13, 2023 to Mar 28, 2024
      • Advisory employees · 26 to 33
        Nov 1, 2022 to Mar 31, 2023
      • Employees · 42 to 52
        Nov 1, 2022 to Mar 31, 2023
      • Discretionary RAUM · $3.6B to $4.2B
        Nov 1, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $3.6B to $4.2B
        Nov 1, 2022 to Mar 31, 2023
      • RAUM · $3.6B to $4.2B
        Nov 1, 2022 to Mar 31, 2023
      • Accounts · 13 to 17
        Dec 15, 2021 to Mar 31, 2022
      • Advisory employees · 23 to 26
        Dec 15, 2021 to Mar 31, 2022
      • Pooled vehicle clients · 13 to 17
        Dec 15, 2021 to Mar 31, 2022
      • Employees · 35 to 42
        Dec 15, 2021 to Mar 31, 2022
      • Private funds · 13 to 16
        Dec 15, 2021 to Mar 31, 2022
      • Discretionary RAUM · $2.6B to $3.6B
        Dec 15, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $2.6B to $3.6B
        Dec 15, 2021 to Mar 31, 2022
      Signals
      9 dated events
      • S••••••• C•••••• A•••••••• L•• reported RAUM $6.6B, up 53% from $4.3B (2024-08-23 to 2025-03-28)
        Mar 28, 2025 · RAUM change · derived
      • Joseph Peter Rivera (Cco) no longer on Schedule A of S••••••• C•••••• A•••••••• L•• (listed 2024-04-05, absent 2024-08-23)
        Aug 23, 2024 · Control person left · inference
      • J••• R••••••• B•••••• (Cco And General Counsel) appeared on Schedule A of S••••••• C•••••• A•••••••• L••
        Aug 23, 2024 · Control person joined · fact
      • Marie Paige Mcconnell (Cfo) appeared on Schedule A of S••••••• C•••••• A•••••••• L••
        Apr 13, 2023 · Control person joined · fact
      • S••••••• C•••••• A•••••••• L•• reported RAUM $3.6B, up 36% from $2.6B (2021-12-15 to 2022-03-31)
        Mar 31, 2022 · RAUM change · derived
      • S••••••• C•••••• A•••••••• L•• reported RAUM $2.6B, up 43% from $1.9B (2020-03-28 to 2021-03-31)
        Mar 31, 2021 · RAUM change · derived
      • John William Wynperle (Member) no longer on Schedule A of S••••••• C•••••• A•••••••• L•• (listed 2020-03-28, absent 2021-03-31)
        Mar 31, 2021 · Control person left · inference
      • Henri Alan Resnikoff (Member) no longer on Schedule A of S••••••• C•••••• A•••••••• L•• (listed 2020-03-28, absent 2021-03-31)
        Mar 31, 2021 · Control person left · inference
      • S••••••• C•••••• A•••••••• L•• reported RAUM $1.5B, down 29% from $2.2B (2018-03-29 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      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
      310-974-6600reportedpublic record, Form ADV, Jun 3, 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