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••

Other adviserChicago, IllinoisCRD 154504SEC 801-71748websiteIAPD
Latest filing Mar 27, 2024
First filing on the tape Mar 30, 2012 · 16 filings
SEC status approved since Aug 9, 2010
RAUM
$169M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$169M as of Mar 27, 2024
Mar 30, 2012$893M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2024
Mar 30, 20120 then
Employees (5.A)1 as of Mar 27, 2024
Mar 21, 20136 then
Private funds2 as of Mar 28, 2014
Mar 30, 20121 then
RAUM +56% over the last fiscal year+10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2024; 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
$56.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
20%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
+56%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 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$135M80%
  • Pension and profit-sharing plans$34.6M20%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
1reported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.2 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•••• C•••••• P••••••• L•no longer reportedHedge Fund$18.8M5Mar 30, 2012
      S•••• C•••••• L••••• O••••••••• F••• L•no longer reportedHedge Fund$11.8M10Mar 21, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • S••••• A•••••••• · Founding Principal, Ceo, Ccocontrol
        since 07/2008 · owns 75% or more
      • S••••• A•••••••• · Shareholder
        since 07/2016 · owns 10% to 25%
      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
      • Accounts · 7 to 3
        Mar 29, 2023 to Mar 27, 2024
      • Pension plan clients · 5 to 1
        Mar 29, 2023 to Mar 27, 2024
      • Discretionary RAUM · $109M to $169M
        Mar 29, 2023 to Mar 27, 2024
      • Pension RAUM · $26.8M to $34.6M
        Mar 29, 2023 to Mar 27, 2024
      • RAUM · $109M to $169M
        Mar 29, 2023 to Mar 27, 2024
      • Accounts · 3 to 7
        Apr 25, 2022 to Mar 29, 2023
      • Pension plan clients · 1 to 5
        Apr 25, 2022 to Mar 29, 2023
      • Discretionary RAUM · $119M to $109M
        Apr 25, 2022 to Mar 29, 2023
      • Pension RAUM · $11.1M to $26.8M
        Apr 25, 2022 to Mar 29, 2023
      • RAUM · $119M to $109M
        Apr 25, 2022 to Mar 29, 2023
      • Discretionary RAUM · $126M to $119M
        Mar 31, 2021 to Mar 24, 2022
      • Pension RAUM · $23.8M to $11.1M
        Mar 31, 2021 to Mar 24, 2022
      • RAUM · $126M to $119M
        Mar 31, 2021 to Mar 24, 2022
      • Accounts · 5 to 3
        Mar 30, 2020 to Mar 31, 2021
      • Corporate clients · 4 to 2
        Mar 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $199M to $126M
        Mar 30, 2020 to Mar 31, 2021
      • Pension RAUM · $15.7M to $23.8M
        Mar 30, 2020 to Mar 31, 2021
      • RAUM · $199M to $126M
        Mar 30, 2020 to Mar 31, 2021
      • Accounts · 3 to 5
        Jan 24, 2020 to Mar 30, 2020
      • Corporate clients · 2 to 4
        Jan 24, 2020 to Mar 30, 2020
      • Discretionary RAUM · $103M to $199M
        Jan 24, 2020 to Mar 30, 2020
      • Pension RAUM · $10.0M to $15.7M
        Jan 24, 2020 to Mar 30, 2020
      • RAUM · $103M to $199M
        Jan 24, 2020 to Mar 30, 2020
      • Advisory employees · 2 to 1
        Mar 28, 2019 to Jan 24, 2020
      • Employees · 3 to 1
        Mar 28, 2019 to Jan 24, 2020
      • Other offices · 1 to 0
        Mar 28, 2019 to Jan 24, 2020
      • Discretionary RAUM · $93.0M to $103M
        Apr 2, 2018 to Mar 28, 2019
      • RAUM · $93.0M to $103M
        Apr 2, 2018 to Mar 28, 2019
      • Accounts · 2 to 3
        Mar 31, 2017 to Apr 2, 2018
      • Corporate clients · unset to 2.0
        Mar 31, 2017 to Apr 2, 2018
      • Pension plan clients · unset to 1.0
        Mar 31, 2017 to Apr 2, 2018
      • Other offices · unset to 1.0
        Mar 31, 2017 to Apr 2, 2018
      • Discretionary RAUM · $98.0M to $93.0M
        Mar 31, 2017 to Apr 2, 2018
      • Pension RAUM · unset to 10000000.0
        Mar 31, 2017 to Apr 2, 2018
      • RAUM · $98.0M to $93.0M
        Mar 31, 2017 to Apr 2, 2018
      • Advisory employees · 3 to 2
        Apr 1, 2016 to Mar 31, 2017
      • Discretionary RAUM · $105M to $98.0M
        Apr 1, 2016 to Mar 31, 2017
      • RAUM · $105M to $98.0M
        Apr 1, 2016 to Mar 31, 2017
      • Discretionary RAUM · $181M to $105M
        Mar 30, 2015 to Apr 1, 2016
      • RAUM · $181M to $105M
        Mar 30, 2015 to Apr 1, 2016
      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.
      How to reach
      public business contact points only, each with its source
      Website
      S••••CAPITALMANAGEMENT.COMreportedpublic record, Form ADV, Sep 19, 2026
      Principal office phone
      312-840-8259reportedpublic record, Form ADV, Mar 27, 2024
      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
      Other 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