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•••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Feb 14, 2012 · 22 filings
SEC status approved since Mar 30, 2012
RAUM
$629M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$629M as of Mar 27, 2026
Mar 28, 2013$98.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 28, 20130 then
Employees (5.A)4 as of Mar 27, 2026
Mar 28, 20133 then
Private funds2 as of Mar 27, 2026
Mar 28, 20131 then
RAUM +4.9% over the last fiscal year+5.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; 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
- $210MderivedRAUM 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
- +4.9%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
- 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)
- 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$629M100%
- 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
- noreported
- Compensation
- % of AUM, 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••• F••• A•no longer reported | Hedge Fund | $71.6M | 4 | Feb 10, 2012 |
| S•••• C•••••• P••••••• I•• L• | Hedge Fund | $61.8M | 2 | Mar 29, 2019 |
| S•••• C•••••• P•••••••• L• | Hedge Fund | $40.4M | 16 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••• J••••• S•••••• · Chief Compliance Officercontrolsince 11/2023 · owns less than 5%
- G•••••• F••••••••• T••••• · Chief Investment Officercontrolsince 09/2004 · owns less than 5%
- G•••••• F••••••••• T••••• · Limited Partnercontrolsince 12/2018 · owns 75% or more of S•••• C•••••• H•••••••• L•
Entity owners
- S•••• C•••••• H•••••••• L• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- S•••• C••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $599M to $629MMar 27, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $599M to $629MMar 27, 2025 to Mar 27, 2026
- RAUM · $599M to $629MMar 27, 2025 to Mar 27, 2026
- Financial planning clients · unset to Mar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $599M to $599MMar 27, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $599M to $599MMar 27, 2024 to Mar 27, 2025
- RAUM · $599M to $599MMar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $538M to $599MNov 3, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $538M to $599MNov 3, 2023 to Mar 27, 2024
- RAUM · $538M to $599MNov 3, 2023 to Mar 27, 2024
- Discretionary RAUM · $487M to $538MMar 31, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $487M to $538MMar 31, 2022 to Mar 29, 2023
- RAUM · $487M to $538MMar 31, 2022 to Mar 29, 2023
- Employees · 3 to 4Sep 14, 2021 to Mar 31, 2022
- Discretionary RAUM · $379M to $487MSep 14, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $379M to $487MSep 14, 2021 to Mar 31, 2022
- RAUM · $379M to $487MSep 14, 2021 to Mar 31, 2022
- Assets in custody · 82396382.0 to unsetMar 31, 2021 to Aug 19, 2021
- Custody of client assets · true to falseMar 31, 2021 to Aug 19, 2021
- Employees · 4 to 3Mar 31, 2021 to Aug 19, 2021
- Assets in custody · $82.2M to $82.4MMar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $338M to $379MMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $338M to $379MMar 30, 2020 to Mar 31, 2021
- RAUM · $338M to $379MMar 30, 2020 to Mar 31, 2021
- Assets in custody · $76.9M to $82.2MMar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $288M to $338MMar 29, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $288M to $338MMar 29, 2019 to Mar 30, 2020
- RAUM · $288M to $338MMar 29, 2019 to Mar 30, 2020
- Accounts · 2 to 3Mar 31, 2018 to Mar 29, 2019
- Pooled vehicle clients · 2 to 3Mar 31, 2018 to Mar 29, 2019
- Assets in custody · $27.7M to $76.9MMar 31, 2018 to Mar 29, 2019
- Private funds · 1 to 2Mar 31, 2018 to Mar 29, 2019
- Discretionary RAUM · $222M to $288MMar 31, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $222M to $288MMar 31, 2018 to Mar 29, 2019
- RAUM · $222M to $288MMar 31, 2018 to Mar 29, 2019
- Pooled vehicle clients · unset to 2.0Mar 31, 2017 to Mar 31, 2018
- Assets in custody · $22.6M to $27.7MMar 31, 2017 to Mar 31, 2018
- Other offices · unset to 0.0Mar 31, 2017 to Mar 31, 2018
- Discretionary RAUM · $210M to $222MMar 31, 2017 to Mar 31, 2018
- Pooled vehicle RAUM · unset to 222410620.0Mar 31, 2017 to Mar 31, 2018
Signals
5 dated events
- Ian Howard Nurtman (Cco) no longer on Schedule A of S•••• C•••••• M••••••••• L•• (listed 2023-03-29, absent 2023-11-03)Nov 3, 2023 · Control person left · inference
- Stephen James Cator (Chief Compliance Officer) appeared on Schedule A of S•••• C•••••• M••••••••• L••Nov 3, 2023 · Control person joined · fact
- S•••• C•••••• M••••••••• L•• reported RAUM $486.6M, up 28% from $379.1M (2021-09-14 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Ian Howard Nurtman (Cco) appeared on Schedule A of S•••• C•••••• M••••••••• L••Aug 19, 2021 · Control person joined · fact
- Estee Levy (Chief Financial Officer, Chief Compliance Officer, Chief Operating Officer) no longer on Schedule A of S•••• C•••••• M••••••••• L•• (listed 2021-03-31, absent 2021-08-19)Aug 19, 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.
How to reach
public business contact points only, each with its source
- Website
- S••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-625-1300reportedpublic record, Form ADV, Mar 27, 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
- 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