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•••••• C••• M••••••••• L••
Latest filing Apr 26, 2023
First filing on the tape Feb 13, 2012 · 25 filings
RAUM
$25.6M
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
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
4
$57.7M gross assets
History
25 filings and snapshots on the tape
RAUM$25.6M as of Feb 28, 2023
Mar 8, 2013$203M then
HNW client RAUM$0 as of Feb 28, 2023
Mar 23, 2018$0 then
State-registered IARs (5.B.3)0 as of Feb 28, 2023
Mar 8, 20130 then
Employees (5.A)2 as of Feb 28, 2023
Mar 8, 20134 then
Private funds4 as of Feb 28, 2023
Mar 8, 20134 then
RAUM -47% over the last fiscal year-28% a year over threeIARs 0 to 0offices 0 to 2
Practice profile
derived from the filing of Apr 26, 2023; 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
- $6.4MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -47%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
- $25.6M, 4 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$25.6M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $25.6M for 4 clientsreported
- Compensation
- % of AUM, performancereported
- 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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••• C••• S•••••• C•••••• M••••• F••• I••• | Hedge Fund | $32.1M | 3 | Feb 13, 2012 |
| S•••••• C••• S•••••• C•••••• O••••••• F••• I• L•••••• | Hedge Fund | $20.1M | 1 | Feb 13, 2012 |
| S•••••• C••• S•••••• C•••••• O••••••• F••• I• L•••••• | Hedge Fund | $4.8M | 7 | Feb 13, 2012 |
| S•••••• C••• S•••••• C••••• F••• I• L••• | Hedge Fund | $694,818 | 5 | Feb 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• P•••••• R•••••• · Managing Membercontrolsince 03/2011 · owns 25% to 50%
- S••••••••• P••••••• S•••• · Managing Member; Chief Compliance Officercontrolsince 03/2011 · owns 50% to 75%
Related persons
Schedule D 7.A
- S•••••• C••• G• L••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Assets in custody · $48.8M to $25.6MSep 7, 2022 to Feb 28, 2023
- Discretionary RAUM · $48.8M to $25.6MSep 7, 2022 to Feb 28, 2023
- Pooled vehicle RAUM · $48.8M to $25.6MSep 7, 2022 to Feb 28, 2023
- RAUM · $48.8M to $25.6MSep 7, 2022 to Feb 28, 2023
- Other offices · 0 to 2Mar 28, 2022 to Jul 5, 2022
- Assets in custody · $43.5M to $48.8MMay 27, 2021 to Mar 28, 2022
- Discretionary RAUM · $43.5M to $48.8MMay 27, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $43.5M to $48.8MMay 27, 2021 to Mar 28, 2022
- RAUM · $43.5M to $48.8MMay 27, 2021 to Mar 28, 2022
- Advisory employees · 3 to 2Mar 25, 2021 to May 27, 2021
- Employees · 3 to 2Mar 25, 2021 to May 27, 2021
- Assets in custody · $69.2M to $43.5MJan 27, 2021 to Mar 25, 2021
- Employees · 4 to 3Jan 27, 2021 to Mar 25, 2021
- Discretionary RAUM · $69.2M to $43.5MJan 27, 2021 to Mar 25, 2021
- Pooled vehicle RAUM · $69.2M to $43.5MJan 27, 2021 to Mar 25, 2021
- RAUM · $69.2M to $43.5MJan 27, 2021 to Mar 25, 2021
- Assets in custody · $66.4M to $69.2MJan 17, 2020 to Mar 19, 2020
- Employees · 5 to 4Jan 17, 2020 to Mar 19, 2020
- Discretionary RAUM · $66.4M to $69.2MJan 17, 2020 to Mar 19, 2020
- Pooled vehicle RAUM · $66.4M to $69.2MJan 17, 2020 to Mar 19, 2020
- RAUM · $66.4M to $69.2MJan 17, 2020 to Mar 19, 2020
- Advisory activities · 2 to 1Apr 12, 2018 to Mar 15, 2019
- Assets in custody · $86.8M to $66.4MApr 12, 2018 to Mar 15, 2019
- Discretionary RAUM · $86.8M to $66.4MApr 12, 2018 to Mar 15, 2019
- Pooled vehicle RAUM · $86.8M to $66.4MApr 12, 2018 to Mar 15, 2019
- RAUM · $86.8M to $66.4MApr 12, 2018 to Mar 15, 2019
- Accounts · 5 to 4Sep 18, 2017 to Mar 23, 2018
- Charity clients · unset to 0.0Sep 18, 2017 to Mar 23, 2018
- Corporate clients · unset to 0.0Sep 18, 2017 to Mar 23, 2018
- HNW clients · unset to 0.0Sep 18, 2017 to Mar 23, 2018
- Individual clients · unset to 0.0Sep 18, 2017 to Mar 23, 2018
- Pension plan clients · unset to 0.0Sep 18, 2017 to Mar 23, 2018
- Pooled vehicle clients · unset to 4.0Sep 18, 2017 to Mar 23, 2018
- Assets in custody · $79.9M to $86.8MSep 18, 2017 to Mar 23, 2018
- Other offices · unset to 0.0Sep 18, 2017 to Mar 23, 2018
- Discretionary RAUM · $75.1M to $86.8MSep 18, 2017 to Mar 23, 2018
- HNW RAUM · unset to 0.0Sep 18, 2017 to Mar 23, 2018
- Individual RAUM · unset to 0.0Sep 18, 2017 to Mar 23, 2018
- Pension RAUM · unset to 0.0Sep 18, 2017 to Mar 23, 2018
- Pooled vehicle RAUM · unset to 86765533.0Sep 18, 2017 to Mar 23, 2018
Signals
1 dated events
- Richard Stephen Levitan (Managing Member) no longer on Schedule A of S•••••• C••• M••••••••• L•• (listed 2021-03-25, absent 2021-05-27)May 27, 2021 · Control person left · inference
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