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•••••• L••
Latest filing May 6, 2026
First filing on the tape Nov 23, 2011 · 39 filings
SEC status approved since Dec 22, 2011
RAUM
$1.1B
reported, Item 5.F
Discretionary
45%
of RAUM
Private clients
38%
$433M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
19
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$1.1B as of May 6, 2026
Mar 12, 2012$122M then
HNW client RAUM$433M as of May 6, 2026
Mar 30, 2018$76.6M then
State-registered IARs (5.B.3)2 as of May 6, 2026
Feb 15, 20136 then
Employees (5.A)19 as of May 6, 2026
Feb 15, 201310 then
Private funds4 as of May 6, 2026
Feb 15, 20134 then
RAUM +13% over the last fiscal year+10% a year over threeIARs 1 to 2
Practice profile
derived from the filing of May 6, 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
- $568MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 14derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $16.0MderivedHNW RAUM over HNW clients
- Average account
- $28.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 45%derivedof RAUM
- Institutional
- 47%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 9.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.0%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $194M, 6 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)
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$539M47%
- High-net-worth individuals$433M38%
- Pooled investment vehicles$165M15%
- Individual clients
- 0reported
- HNW clients
- 27reported
- Pension plan clients
- 0reported
- Charitable clients
- 9reported
- Accounts
- 40reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $194M for 6 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.38 fund_share=0.15 institutional_share=0.47 related_bd=false related_bank=false bd_reps=2.0derived
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
- S••••• P•• to S••••• I••••••••• L••Oct 12, 2016 · Other
- J•••••• T••••• L•• to L••Jan 12, 2016 · Other
Joined, latest
- S••••• P•• from U•• F•••••••• S••••••• I•••Jun 2, 2014 · Other
Private funds
12 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- D•••••••• S•••••• P• •• O•••• · Chairmancontrolsince 08/2014 · owns 10% to 25%
- G••••••••• R•••••• J•• · Chief Executive Officer Officercontrolsince 08/2014 · owns 5% to 10%
- G••••••• D•••• L••••• · Chief Financial Officercontrolsince 10/2023 · owns less than 5%
- P••••••• R•••• N•• · Foundercontrolsince 08/2014 · owns 10% to 25%
- M••••• J•••• E• · Sole Membersince 11/2013 · owns 75% or more of R••• I••••••••• L••
Entity owners
- M•••••••• A•••• M••••••••• S•••••••• S••••••••• L•• · Memberdirect · owns 10% to 25%
- R••• I••••••••• L•• · Memberdirect · owns 10% to 25%
- M•••••••• A•••• M••••••••• H••••••• P•• L•••••• · Parentindirect · owns 75% or more of M•••••••• A•••• M••••••••• U• H••••••• P•• L••••••
- M•••••••• A•••• M••••••••• U• H••••••• P•• L•••••• · Parentindirect · owns 75% or more of M•••••••• F• H•••••••• I•••
- M•••••••• F• H•••••••• I••• · Parentindirect · owns 75% or more of M•••••••• A•••• M••••••••• S•••••••• S••••••••• L••
- M•••••••• G•••• L•••••• · Parentindirect · owns 75% or more of M•••••••• A•••• M••••••••• H••••••• P•• L••••••
Related persons
Schedule D 7.A
- L•••• I••••• I••••••••• L•••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- institutional to wealth shiftCombination · filing Apr 30, 2026institutional share fell 15 points or more while private-client share rose 15 points or more. RAUM $1,009,760,931 to $1,136,785,878, advisors 1 to 2, private clients 25 to 27, offices 0 to 0 (2025-03-25 to 2026-04-30)peers: independent wealth managers, $1B to $5B (1,362)
- client mix shiftChange between filings · filing Apr 30, 2026private-client share of RAUM moved from 13.0% to 38.0% between the annual amendments of 2025-03-25 and 2026-04-30peers: independent wealth managers, $1B to $5B (1,362)
- HNW share shiftChange between filings · filing Apr 30, 2026HNW share of RAUM moved from 13.0% to 38.0% between the annual amendments of 2025-03-25 and 2026-04-30peers: independent wealth managers, $1B to $5B (1,362)
- institutional asset share shiftChange between filings · filing Apr 30, 2026institutional share of RAUM moved from 64.0% to 47.0% between the annual amendments of 2025-03-25 and 2026-04-30peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Private funds · 6 to 4Apr 30, 2026 to May 6, 2026
- Accounts · 42 to 40Mar 26, 2026 to Apr 30, 2026
- Pooled vehicle clients · 6 to 4Mar 26, 2026 to Apr 30, 2026
- Discretionary RAUM · $510M to $508MMar 26, 2026 to Apr 30, 2026
- HNW RAUM · $297M to $433MMar 26, 2026 to Apr 30, 2026
- Non-discretionary RAUM · $509M to $629MMar 26, 2026 to Apr 30, 2026
- Pooled vehicle RAUM · $194M to $165MMar 26, 2026 to Apr 30, 2026
- RAUM · $1.0B to $1.1BMar 26, 2026 to Apr 30, 2026
- Accounts · 41 to 42Mar 25, 2025 to Mar 26, 2026
- Advisory employees · 13 to 12Mar 25, 2025 to Mar 26, 2026
- BD registered reps · 0 to 2Mar 25, 2025 to Mar 26, 2026
- Charity clients · 10 to 9Mar 25, 2025 to Mar 26, 2026
- HNW clients · 25 to 27Mar 25, 2025 to Mar 26, 2026
- Assets in custody · $141M to $194MMar 25, 2025 to Mar 26, 2026
- Employees · 20 to 19Mar 25, 2025 to Mar 26, 2026
- State-registered IARs · 1 to 2Mar 25, 2025 to Mar 26, 2026
- Discretionary RAUM · $531M to $510MMar 25, 2025 to Mar 26, 2026
- HNW RAUM · $134M to $297MMar 25, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $479M to $509MMar 25, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $233M to $194MMar 25, 2025 to Mar 26, 2026
- RAUM · $1.0B to $1.0BMar 25, 2025 to Mar 26, 2026
- Advisory employees · 11 to 13May 21, 2024 to Mar 25, 2025
- Charity clients · 9 to 10May 21, 2024 to Mar 25, 2025
- Assets in custody · $161M to $141MMay 21, 2024 to Mar 25, 2025
- Employees · 19 to 20May 21, 2024 to Mar 25, 2025
- Financial planning clients · unset to May 21, 2024 to Mar 25, 2025
- Discretionary RAUM · $366M to $531MMay 21, 2024 to Mar 25, 2025
- HNW RAUM · $80.8M to $134MMay 21, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $427M to $479MMay 21, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $256M to $233MMay 21, 2024 to Mar 25, 2025
- RAUM · $793M to $1.0BMay 21, 2024 to Mar 25, 2025
- Accounts · 42 to 41Oct 31, 2023 to Mar 30, 2024
- Charity clients · 8 to 9Oct 31, 2023 to Mar 30, 2024
- HNW clients · 27 to 25Oct 31, 2023 to Mar 30, 2024
- Assets in custody · $218M to $161MOct 31, 2023 to Mar 30, 2024
- Employees · 14 to 19Oct 31, 2023 to Mar 30, 2024
- Discretionary RAUM · $435M to $366MOct 31, 2023 to Mar 30, 2024
- HNW RAUM · $117M to $80.8MOct 31, 2023 to Mar 30, 2024
- Non-discretionary RAUM · $408M to $427MOct 31, 2023 to Mar 30, 2024
- Pooled vehicle RAUM · $288M to $256MOct 31, 2023 to Mar 30, 2024
Signals
4 dated events
- S•••• C•••••• L•• reported RAUM $1.0B, up 27% from $792.7M (2024-05-21 to 2025-03-25)Mar 25, 2025 · RAUM change · derived
- Labair Dion Griffin (Chief Financial Officer) appeared on Schedule A of S•••• C•••••• L••Oct 31, 2023 · Control person joined · fact
- S•••• C•••••• L•• reported RAUM $843.3M, up 48% from $568.6M (2022-09-15 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Nicholas Koukopoulos (Chief Investment Officer) no longer on Schedule A of S•••• C•••••• L•• (listed 2021-03-30, absent 2021-05-20)May 20, 2021 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- S•••• C•••••• L•• · Independent Sponsorsshared crd · capital_provider
- S•••• C•••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- info@sonencapital.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 415-534-4444reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- S••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-534-4444reportedpublic record, Form ADV, May 6, 2026
- p••••• contact form
- sonencapital.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026