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•••••• L•

Former SEC-registered adviserHouston, TexasCRD 159405SEC 801-110913IAPD
Latest filing May 10, 2022
First filing on the tape Jan 19, 2012 · 21 filings
RAUM
$194M
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
11
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$194M gross assets
History
21 filings and snapshots on the tape
RAUM$194M as of Mar 23, 2022
Mar 29, 2018$242M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 23, 2022
Mar 29, 20182 then
Employees (5.A)11 as of Mar 23, 2022
Mar 29, 20187 then
Private funds1 as of Mar 23, 2022
Mar 29, 20181 then
RAUM -41% over the last fiscal year-22% a year over threeIARs 2 to 2
Practice profile
derived from the filing of May 10, 2022; every figure names its basis
RAUM per advisor
$97.0MderivedRAUM 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
$194MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-41%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 pooled vehiclesreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$194M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Every departureEvery arrival
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
S•••••• T•••• R••••• I••••• F••• L•••Hedge Fund$194M54Jan 19, 2012
Owners and control persons
Schedule A and B, latest filing
  • D•••••••• A••••••• P•••• · Chief Compliance Officercontrol
    since 01/2014 · owns less than 5%
  • H•••••••• T•••••• H•••• · Coocontrol
    since 05/2013 · owns less than 5%
  • W••••• L•••• A••••• · Chief Investment Officercontrol
    since 05/2013 · owns less than 5%
  • H•••••••• T•••••• H•••• · Ownercontrol
    since 02/2010 · owns 75% or more of A••••• G••••• A•••••••• L••
  • H•••••••• T•••••• H•••• · Ownercontrol
    since 02/2011 · owns 50% to 75% of T•• T••• I••••••••• L••
  • K•••••• N•••• E••••• · Membercontrol
    since 01/2005 · owns 50% to 75% of S•••••• L••
  • K•••••• N•••• E••••• · Chief Executive Officercontrol
    since 01/2005 · owns F of S•••••• E••••• Advisors LP
  • K•••••• N•••• E••••• · Membercontrol
    since 09/2010 · owns 50% to 75% of C• I••••••••• G• L••
  • K•••••• N•••• E••••• · Limited Partnercontrol
    since 09/2010 · owns 75% or more of C• I••••••••• L•
  • K•••••• N•••• E••••• · Sole Shareholdercontrol
    since 04/2009 · owns 75% or more of Nek I•••••••, Inc
  • W••••• L•••• A••••• · Ownercontrol
    since 12/2016 · owns 75% or more of C•••••••• C••••• L••
  • W••••• L•••• A••••• · Ownercontrol
    since 02/2011 · owns 50% to 75% of T•• T••• I••••••••• L••
Entity owners
  • S•••••• E••••• A•••••••• L• · Limited Partner
    direct · owns 50% to 75%
  • T•• T••• I••••••••• L•• · General Partner
    direct · owns less than 5%
  • C• I••••••••• L• · Limited Partner
    indirect · owns 75% or more of S•••••• E••••• A•••••••• L•
  • N•• I•••••••• I••• · Member
    indirect · owns 25% to 50% of S•••••• L••
  • N•• I•••••••• I••• · Member
    indirect · owns 50% to 75% of C• I••••••••• G• L••
  • S•••••• L•• · General Partner
    indirect · owns F of S•••••• E••••• Advisors LP
  • A••••• G••••• A•••••••• L•• · Limited Partner
    direct · owns 10% to 25%
  • C•••••••• C••••• L•• · Limited Partner
    direct · owns 10% to 25%
  • C• I••••••••• G• L•• · General Partner
    indirect · owns F of C• I••••••••• L•
Related persons
Schedule D 7.A
  • S•••••• C•••••• I••••••••• P••••••• L•
    pooled vehicle sponsorn
  • S•••••• D•••••• A•••• M••••••••• L•
    bankpooled vehicle sponsorn
  • S•••••• E••••• T•••••• L•
    bankn
Advisers that list S•••••• C•••••• L• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory employees · 5 to 4
    Apr 29, 2021 to Mar 23, 2022
  • Employees · 12 to 11
    Apr 29, 2021 to Mar 23, 2022
  • Discretionary RAUM · $331M to $194M
    Apr 29, 2021 to Mar 23, 2022
  • Pooled vehicle RAUM · $331M to $194M
    Apr 29, 2021 to Mar 23, 2022
  • RAUM · $331M to $194M
    Apr 29, 2021 to Mar 23, 2022
  • Accounts · 3 to 1
    Apr 30, 2020 to Mar 31, 2021
  • Advisory activities · 3 to 1
    Apr 30, 2020 to Mar 31, 2021
  • Corporate clients · 2.0 to unset
    Apr 30, 2020 to Mar 31, 2021
  • Employees · 11 to 12
    Apr 30, 2020 to Mar 31, 2021
  • Discretionary RAUM · $442M to $331M
    Apr 30, 2020 to Mar 31, 2021
  • Pooled vehicle RAUM · $355M to $331M
    Apr 30, 2020 to Mar 31, 2021
  • RAUM · $442M to $331M
    Apr 30, 2020 to Mar 31, 2021
  • Advisory employees · 3 to 5
    Jun 23, 2019 to Mar 24, 2020
  • Employees · 9 to 11
    Jun 23, 2019 to Mar 24, 2020
  • Discretionary RAUM · $404M to $442M
    Jun 23, 2019 to Mar 24, 2020
  • Pooled vehicle RAUM · $306M to $355M
    Jun 23, 2019 to Mar 24, 2020
  • RAUM · $404M to $442M
    Jun 23, 2019 to Mar 24, 2020
  • Related adviser · true to false
    Jun 23, 2019 to Mar 24, 2020
  • Employees · 7 to 9
    Aug 31, 2018 to Mar 29, 2019
  • Discretionary RAUM · $242M to $404M
    Aug 31, 2018 to Mar 29, 2019
  • Pooled vehicle RAUM · $155M to $306M
    Aug 31, 2018 to Mar 29, 2019
  • RAUM · $242M to $404M
    Aug 31, 2018 to Mar 29, 2019
  • Accounts · 9 to 3
    Jul 24, 2017 to Mar 29, 2018
  • Advisory employees · 2 to 3
    Jul 24, 2017 to Mar 29, 2018
  • Corporate clients · unset to 2.0
    Jul 24, 2017 to Mar 29, 2018
  • Pooled vehicle clients · unset to 1.0
    Jul 24, 2017 to Mar 29, 2018
  • Employees · 6 to 7
    Jul 24, 2017 to Mar 29, 2018
  • Other offices · unset to 0.0
    Jul 24, 2017 to Mar 29, 2018
  • Discretionary RAUM · $219M to $242M
    Jul 24, 2017 to Mar 29, 2018
  • Pooled vehicle RAUM · unset to 155321528.0
    Jul 24, 2017 to Mar 29, 2018
  • RAUM · $219M to $242M
    Jul 24, 2017 to Mar 29, 2018
  • Accounts · 0 to 9
    May 25, 2012 to Jun 28, 2017
  • Advisory employees · unset to 2.0
    May 25, 2012 to Jun 28, 2017
  • Advisory activities · 1 to 3
    May 25, 2012 to Jun 28, 2017
  • BD registered reps · unset to 0.0
    May 25, 2012 to Jun 28, 2017
  • Business name · G•••••• C••••••• L•• to S•••••• C•••••• L•
    May 25, 2012 to Jun 28, 2017
  • Assets in custody · 0.0 to unset
    May 25, 2012 to Jun 28, 2017
  • Custody of client assets · true to false
    May 25, 2012 to Jun 28, 2017
  • Employees · unset to 6.0
    May 25, 2012 to Jun 28, 2017
  • State-registered IARs · unset to 2.0
    May 25, 2012 to Jun 28, 2017
Signals
5 dated events
  • L••• A••••• W•••• left S•••••• C•••••• L• for S••••• A•••• L• (registered 2024-01-02)
    Jul 11, 2022 · Advisor changed firm · fact
  • S•••••• C•••••• L• reported RAUM $194.0M, down 41% from $330.7M (2021-04-29 to 2022-03-23)
    Mar 23, 2022 · RAUM change · derived
  • S•••••• C•••••• L• reported RAUM $330.7M, down 25% from $441.8M (2020-04-30 to 2021-03-31)
    Mar 31, 2021 · RAUM change · derived
  • S•••••• C•••••• L• reported RAUM $404.1M, up 67% from $241.8M (2018-08-31 to 2019-03-29)
    Mar 29, 2019 · RAUM change · derived
  • S•••••• C•••••• L• filed its initial SEC registration (Form ADV)
    Jun 28, 2017 · 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.
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