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••••••• V•••••••

Former SEC-registered adviserPrinceton, New JerseyCRD 159683SEC 801-73019IAPD
Legal name S••••••• M••••••••• C•••••••••
Latest filing Mar 22, 2012
First filing on the tape Jan 3, 2012 · 2 filings
RAUM
$191M
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$208M gross assets
History
2 filings and snapshots on the tape
RAUM$191M as of Mar 22, 2012
Jan 3, 2012$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds3 as of Mar 22, 2012
Jan 3, 20123 then
Practice profile
derived from the filing of Mar 22, 2012; 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
$63.6MderivedRAUM 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
unknownderivedbetween 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
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••••• V•••••• C••••••• L•••Venture Capital Fund$8.7M54Jan 3, 2012
      A••••••• I• F•••• L•••Private Equity Fund$4.6M37Jan 3, 2012
      I•••••••• F•••• L•••Private Equity Fund$365,53840Jan 3, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • L••••••••• D••••• S••••• · Chief Compliance Officer/Chief Financial Officercontrol
        since 06/1997 · owns less than 5%
      • W••••••• J•••• R•••••• · Presidentcontrol
        since 08/1995 · owns 25% to 50%
      • S••••• R•••• P••••• · Managing Membercontrol
        since 06/2010 · owns 50% to 75% of S••••••• M••••••••• C•••••• L••
      • G••••• P••••• G••••• · Secretary
        since 08/1995 · owns 25% to 50%
      • T•• K••••• N•• · Principal
        since 08/1995 · owns 25% to 50%
      • G••••• P••••• G••••• · Member
        since 06/2010 · owns F of S••••••• M••••••••• C•••••• L••
      • T•• K••••• N•• · Member
        since 06/2010 · owns F of S••••••• M••••••••• C•••••• L••
      • W••••••• J•••• R•••••• · Member
        since 06/2010 · owns F of S••••••• M••••••••• C•••••• L••
      Entity owners
      • S••••••• M••••••••• C•••••• L•• · Owner
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Cupertino, CA
      • New York, NY
      What changed
      consecutive filings, newest first
      • Accounts · 0 to 3
        Jan 3, 2012 to Mar 22, 2012
      • Discretionary RAUM · $0 to $191M
        Jan 3, 2012 to Mar 22, 2012
      • RAUM · $0 to $191M
        Jan 3, 2012 to Mar 22, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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