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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S•• C•••••• M••••••••• L••
Latest filing Apr 2, 2025
First filing on the tape Jan 31, 2012 · 21 filings
SEC status approved since Feb 14, 2012
RAUM
$75.4M
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
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$75.4M as of Apr 2, 2025
Feb 1, 2013$46.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 2, 2025
Feb 1, 20130 then
Employees (5.A)3 as of Apr 2, 2025
Feb 1, 20136 then
Private funds1 as of Apr 2, 2025
Feb 1, 20133 then
RAUM -73% over the last fiscal year-45% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 2, 2025; 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
- $25.1MderivedRAUM 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
- -73%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $75.4M, 3 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$75.4M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $75.4M for 3 clientsreported
- Compensation
- % of AUM, fixed, 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
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•• V•••••• I••••• F•••• L•no longer reported | Other Private Fund | $21.8M | 202 | Mar 30, 2016 |
| S•• P•••••••• A••••••••• C••••••• L•• | Other Private Fund | $10.9M | 73 | Apr 2, 2019 |
| S•• S•••••• O••••••••• F•••• L•• | Other Private Fund | $10.4M | 86 | Jan 31, 2012 |
| S•• A••••••••• I••••••••• F••• I• L••no longer reported | Other Private Fund | $7.0M | 87 | Jan 31, 2012 |
| S•• A••••••••• I••••••••• F••• I•• L••no longer reported | Other Private Fund | $6.9M | 94 | Jan 31, 2012 |
Owners and control persons
Schedule A and B, latest filing
- R••••••• N•••• A•••••• · Chairmancontrolsince 12/2007 · owns 25% to 50%
- S••••••••• J•••••••• J••• · Partner / President / Chief Executive Officer / Ccocontrolsince 12/2007 · owns less than 5%
- S••••••••• J•••••••• J••• · Shareholdercontrolsince 01/2006 · owns 50% to 75% of S•• C•••••• C•••••••••
- M••••••••• M••••••• N•• · Partnersince 12/2007 · owns less than 5%
- D••••••••• B••••••• M•••••• · Shareholdersince 01/2006 · owns 25% to 50% of S•• C•••••• C•••••••••
Entity owners
- S•• C•••••• P•••••••• L•• · Managing Memberdirect · owns 75% or more
- S•• C•••••• C••••••••• · Managing Memberindirect · owns 75% or more of S•• C•••••• P•••••••• L••
Related persons
Schedule D 7.A
- S•• A•• I•• G•• L••pooled vehicle sponsory
- S•• A•• I• G•• L••pooled vehicle sponsory
- S•• C•••••• M••••••••• ••••••••• L••investment advisery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Apr 2, 2025discretionary share of RAUM moved from 31.0% to 100.0% between the annual amendments of 2024-03-29 and 2025-04-02peers: asset managers, under $100M (329)
What changed
consecutive filings, newest first
- Accounts · 8 to 3Mar 29, 2024 to Apr 2, 2025
- Advisory employees · 3 to 1Mar 29, 2024 to Apr 2, 2025
- Advisory activities · 2 to 1Mar 29, 2024 to Apr 2, 2025
- Pooled vehicle clients · 8 to 3Mar 29, 2024 to Apr 2, 2025
- Assets in custody · $87.1M to $75.4MMar 29, 2024 to Apr 2, 2025
- Employees · 5 to 3Mar 29, 2024 to Apr 2, 2025
- Financial planning clients · unset to Mar 29, 2024 to Apr 2, 2025
- Private funds · 2 to 1Mar 29, 2024 to Apr 2, 2025
- Discretionary RAUM · $87.1M to $75.4MMar 29, 2024 to Apr 2, 2025
- Non-discretionary RAUM · $195M to $0Mar 29, 2024 to Apr 2, 2025
- Pooled vehicle RAUM · $282M to $75.4MMar 29, 2024 to Apr 2, 2025
- RAUM · $282M to $75.4MMar 29, 2024 to Apr 2, 2025
- Related adviser · true to falseMar 29, 2024 to Apr 2, 2025
- Accounts · 10 to 8Mar 29, 2023 to Mar 29, 2024
- Advisory employees · 6 to 3Mar 29, 2023 to Mar 29, 2024
- Assets in custody · $93.6M to $87.1MMar 29, 2023 to Mar 29, 2024
- Employees · 9 to 5Mar 29, 2023 to Mar 29, 2024
- Discretionary RAUM · $93.6M to $87.1MMar 29, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $321M to $195MMar 29, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $289M to $282MMar 29, 2023 to Mar 29, 2024
- RAUM · $415M to $282MMar 29, 2023 to Mar 29, 2024
- Accounts · 11 to 10Nov 10, 2022 to Mar 29, 2023
- Pooled vehicle clients · 9 to 8Nov 10, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $371M to $321MNov 10, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $339M to $289MNov 10, 2022 to Mar 29, 2023
- RAUM · $465M to $415MNov 10, 2022 to Mar 29, 2023
- Accounts · 12 to 11Mar 31, 2021 to Mar 31, 2022
- Pooled vehicle clients · 8 to 9Mar 31, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $341M to $371MMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $309M to $339MMar 31, 2021 to Mar 31, 2022
- RAUM · $435M to $465MMar 31, 2021 to Mar 31, 2022
- Accounts · 14 to 12May 16, 2020 to Mar 31, 2021
- Advisory employees · 5 to 6May 16, 2020 to Mar 31, 2021
- Pooled vehicle clients · 10 to 8May 16, 2020 to Mar 31, 2021
- Assets in custody · $97.3M to $93.6MMay 16, 2020 to Mar 31, 2021
- Employees · 8 to 9May 16, 2020 to Mar 31, 2021
- Discretionary RAUM · $636M to $93.6MMay 16, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $283M to $341MMay 16, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $852M to $309MMay 16, 2020 to Mar 31, 2021
- RAUM · $919M to $435MMay 16, 2020 to Mar 31, 2021
Signals
3 dated events
- S•• C•••••• M••••••••• L•• reported RAUM $75.4M, down 73% from $282.1M (2024-03-29 to 2025-04-02)Apr 2, 2025 · RAUM change · derived
- S•• C•••••• M••••••••• L•• reported RAUM $282.1M, down 32% from $414.6M (2023-03-29 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- S•• C•••••• M••••••••• L•• reported RAUM $434.6M, down 53% from $918.7M (2020-05-16 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- S•• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- w••.s•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (212) 422-2166reportedpublic record, Form ADV, Apr 2, 2025
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