DFX Intelligence
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SEC-registered adviser
S••••••• C••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Mar 16, 2018 · 18 filings
SEC status approved since Apr 16, 2018
RAUM
$802M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
48%
$385M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$401M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$802M as of Mar 24, 2026
Mar 25, 2019$204M then
HNW client RAUM$382M as of Mar 24, 2026
Mar 25, 2019$80.4M then
State-registered IARs (5.B.3)2 as of Mar 24, 2026
Mar 25, 20192 then
Employees (5.A)6 as of Mar 24, 2026
Mar 25, 20195 then
Private funds2 as of Mar 24, 2026
Mar 25, 20191 then
RAUM +24% over the last fiscal year+28% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $401MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 11derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $27.3MderivedHNW RAUM over HNW clients
- Average account
- $26.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 46%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- 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
- $40.0M, 1 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$382M48%
- State and municipal entities$367M46%
- Pooled investment vehicles$45.6M5.7%
- Other investment advisers$4.3M0.5%
- Individuals$2.9M0.4%
- Individual clients
- 8reported
- HNW clients
- 14reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 30reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $40.0M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.48 fund_share=0.06 institutional_share=0.46 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••••• F• T••••• | Menlo Park, Ca | Dec 2, 2011 | 16 y | 0 |
| J••• T••••• | Menlo Park, Ca | Jan 1, 2025 | 16 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••• C•••••• P•••••••• L• | Hedge Fund | $7.9M | 12 | Mar 16, 2018 |
Owners and control persons
Schedule A and B, latest filing
- T•••••• N•••••• F• · Ceo, Cio, Managing Membercontrolsince 01/2011 · owns 50% to 75%
- T•••••• J••• · Managing Membercontrolsince 01/2011 · owns 50% to 75%
- S••••••••• S••••• J• · Director Of Operations & Ccosince 08/2017 · owns less than 5%
Related persons
Schedule D 7.A
- S••••••• G•• L••pooled vehicle sponsory
Advisers that list S••••••• C••••••• L•• as a related person
- 313527 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Menlo Park, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 25 to 30Mar 26, 2025 to Mar 24, 2026
- HNW clients · 15 to 14Mar 26, 2025 to Mar 24, 2026
- Individual clients · unset to 8.0Mar 26, 2025 to Mar 24, 2026
- Financial planning clients · to 0Mar 26, 2025 to Mar 24, 2026
- Discretionary RAUM · $645M to $802MMar 26, 2025 to Mar 24, 2026
- HNW RAUM · $307M to $382MMar 26, 2025 to Mar 24, 2026
- Individual RAUM · $670,693 to $2.9MMar 26, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $47.4M to $45.6MMar 26, 2025 to Mar 24, 2026
- RAUM · $645M to $802MMar 26, 2025 to Mar 24, 2026
- HNW clients · 16 to 15Mar 27, 2024 to Mar 26, 2025
- Pooled vehicle clients · 1 to 2Mar 27, 2024 to Mar 26, 2025
- Assets in custody · unset to 40000000.0Mar 27, 2024 to Mar 26, 2025
- Custody of client assets · false to trueMar 27, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 26, 2025
- Private funds · 1 to 2Mar 27, 2024 to Mar 26, 2025
- Discretionary RAUM · $562M to $645MMar 27, 2024 to Mar 26, 2025
- HNW RAUM · $285M to $307MMar 27, 2024 to Mar 26, 2025
- Individual RAUM · $519,847 to $670,693Mar 27, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $7.9M to $47.4MMar 27, 2024 to Mar 26, 2025
- RAUM · $562M to $645MMar 27, 2024 to Mar 26, 2025
- Accounts · 28 to 25Mar 29, 2023 to Mar 27, 2024
- Charity clients · 1.0 to unsetMar 29, 2023 to Mar 27, 2024
- Corporate clients · 2.0 to unsetMar 29, 2023 to Mar 27, 2024
- HNW clients · 17 to 16Mar 29, 2023 to Mar 27, 2024
- Individual clients · 2.0 to unsetMar 29, 2023 to Mar 27, 2024
- Pension plan clients · 5.0 to unsetMar 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $383M to $562MMar 29, 2023 to Mar 27, 2024
- HNW RAUM · $159M to $285MMar 29, 2023 to Mar 27, 2024
- Individual RAUM · $325,774 to $519,847Mar 29, 2023 to Mar 27, 2024
- Pension RAUM · 168713039.0 to unsetMar 29, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $9.8M to $7.9MMar 29, 2023 to Mar 27, 2024
- RAUM · $383M to $562MMar 29, 2023 to Mar 27, 2024
- Accounts · 26 to 28Dec 2, 2022 to Mar 29, 2023
- Charity clients · unset to 1.0Dec 2, 2022 to Mar 29, 2023
- Corporate clients · unset to 2.0Dec 2, 2022 to Mar 29, 2023
- HNW clients · 19 to 17Dec 2, 2022 to Mar 29, 2023
- Individual clients · unset to 2.0Dec 2, 2022 to Mar 29, 2023
- Pension plan clients · unset to 5.0Dec 2, 2022 to Mar 29, 2023
- Discretionary RAUM · $278M to $383MDec 2, 2022 to Mar 29, 2023
- HNW RAUM · $189M to $159MDec 2, 2022 to Mar 29, 2023
Signals
3 dated events
- ••• LockedMar 27, 2024 · RAUM change · derived
- ••• LockedMar 29, 2023 · RAUM change · derived
- ••• LockedMar 16, 2018 · First SEC registration · fact
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
- Business phone
- 415-231-3000reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S•••••••CAPITAL.COMreportedpublic record, Form ADV, Mar 24, 2026
- Principal office phone
- 415-231-3000reportedpublic record, Form ADV, Mar 24, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $401Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026