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••

Former SEC-registered adviserGig Harbor, WashingtonCRD 153269SEC 801-71332IAPD
Legal name S•••••••• C•••••• A••••••••• L••
Latest filing Mar 30, 2016
First filing on the tape Dec 14, 2011 · 16 filings
RAUM
$208M
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
6
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$208M as of Mar 30, 2016
Mar 30, 2012$251M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 30, 2016
Apr 1, 20135 then
Employees (5.A)6 as of Mar 30, 2016
Apr 1, 20137 then
Private funds: no history
RAUM -82% over the last fiscal year-20% a year over threeIARs 5 to 3
Practice profile
derived from the filing of Mar 30, 2016; every figure names its basis
RAUM per advisor
$69.2MderivedRAUM 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
$90,820derivedRAUM 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
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-82%derivedbetween the last two annual amendments
Advisor growth, one year
-40%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, otherreportedItem 5.G
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2,286reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • R••••••••• R•••••• J•• · Chief Executive Officercontrol
    since 03/2016 · owns 25% to 50%
  • F•••••• T••••••• J••••• · Member Of S•• H•••••••• L••control
    since 06/2014 · owns 25% to 50% of S•• H•••••••• L••
  • J••••••• R•••••• J••••• · Member Of A••••••• M••••••••• L••control
    since 02/2007 · owns 25% to 50% of A••••••• M••••••••• L••
  • R••••••••• R•••••• J•• · Member Of S•• H•••••••• L••control
    since 06/2014 · owns 25% to 50% of S•• H•••••••• L••
  • L•••••• B••••••• T••••• · Chief Compliance Officer
    since 09/2012 · owns less than 5%
Entity owners
  • S•• H•••••••• L•• · Managing Member
    direct · owns 75% or more
  • A••••••• C•••••• O••••••••• F•••• L• · Member Of S•• H•••••••• L••
    indirect · owns 25% to 50% of S•• H•••••••• L••
  • A••••••• C••••••••• F••••••• L•• · Limited Partner Of A••••••• C•••••• O••••••••• F•••• L•
    indirect · owns 25% to 50% of A••••••• C•••••• O••••••••• F•••• L•
  • A••••••• H•••••••• L•• · Member Of A••••••• C••••••••• F••••••• L••
    indirect · owns 75% or more of A••••••• C••••••••• F••••••• L••
  • A••••••• M••••••••• L•• · Member Of A••••••• H•••••••• L••
    indirect · owns 75% or more of A••••••• H•••••••• L••
Related persons
Schedule D 7.A
Advisers that list S•• as a related person
Offices
Schedule D 1.F, the 25 largest
  • Dallas, TX
What changed
consecutive filings, newest first
  • Accounts · 4,135 to 2,286
    Mar 31, 2015 to Mar 30, 2016
  • Advisory employees · 8 to 3
    Mar 31, 2015 to Mar 30, 2016
  • BD registered reps · 6 to 5
    Mar 31, 2015 to Mar 30, 2016
  • Employees · 10 to 6
    Mar 31, 2015 to Mar 30, 2016
  • Insurance-licensed employees · 0 to 3
    Mar 31, 2015 to Mar 30, 2016
  • State-registered IARs · 5 to 3
    Mar 31, 2015 to Mar 30, 2016
  • Discretionary RAUM · $1.1B to $208M
    Mar 31, 2015 to Mar 30, 2016
  • RAUM · $1.1B to $208M
    Mar 31, 2015 to Mar 30, 2016
  • Accounts · 306 to 4,135
    Oct 20, 2014 to Mar 31, 2015
  • BD registered reps · 8 to 6
    Oct 20, 2014 to Mar 31, 2015
  • Employees · 11 to 10
    Oct 20, 2014 to Mar 31, 2015
  • Insurance-licensed employees · 5 to 0
    Oct 20, 2014 to Mar 31, 2015
  • State-registered IARs · 8 to 5
    Oct 20, 2014 to Mar 31, 2015
  • Discretionary RAUM · $475M to $1.1B
    Oct 20, 2014 to Mar 31, 2015
  • RAUM · $475M to $1.1B
    Oct 20, 2014 to Mar 31, 2015
  • Advisory employees · 12 to 8
    May 16, 2014 to Oct 20, 2014
  • BD registered reps · 6 to 8
    May 16, 2014 to Oct 20, 2014
  • Business name · S•••••••• C•••••• A••••••••• to SCA
    May 16, 2014 to Oct 20, 2014
  • Employees · 14 to 11
    May 16, 2014 to Oct 20, 2014
  • Insurance-licensed employees · 1 to 5
    May 16, 2014 to Oct 20, 2014
  • State-registered IARs · 5 to 8
    May 16, 2014 to Oct 20, 2014
  • Accounts · 1,554 to 306
    Nov 27, 2013 to Apr 1, 2014
  • Advisory employees · 7 to 12
    Nov 27, 2013 to Apr 1, 2014
  • Employees · 11 to 14
    Nov 27, 2013 to Apr 1, 2014
  • Insurance-licensed employees · 6 to 1
    Nov 27, 2013 to Apr 1, 2014
  • State-registered IARs · 6 to 5
    Nov 27, 2013 to Apr 1, 2014
  • Discretionary RAUM · $440M to $475M
    Nov 27, 2013 to Apr 1, 2014
  • RAUM · $440M to $475M
    Nov 27, 2013 to Apr 1, 2014
  • Accounts · 1,231 to 1,554
    Apr 1, 2013 to Oct 18, 2013
  • Advisory employees · 5 to 7
    Apr 1, 2013 to Oct 18, 2013
  • BD registered reps · 5 to 6
    Apr 1, 2013 to Oct 18, 2013
  • Employees · 7 to 11
    Apr 1, 2013 to Oct 18, 2013
  • Insurance-licensed employees · 2 to 6
    Apr 1, 2013 to Oct 18, 2013
  • State-registered IARs · 5 to 6
    Apr 1, 2013 to Oct 18, 2013
  • Discretionary RAUM · $399M to $440M
    Apr 1, 2013 to Oct 18, 2013
  • RAUM · $399M to $440M
    Apr 1, 2013 to Oct 18, 2013
  • Accounts · 1,466 to 1,231
    Sep 27, 2012 to Apr 1, 2013
  • Advisory employees · unset to 5.0
    Sep 27, 2012 to Apr 1, 2013
  • BD registered reps · unset to 5.0
    Sep 27, 2012 to Apr 1, 2013
  • Employees · unset to 7.0
    Sep 27, 2012 to Apr 1, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026