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••

Asset manager (funds and pooled vehicles)Houston, TexasCRD 160115SEC 801-73036websiteIAPD
Latest filing Jul 14, 2026
First filing on the tape Jan 6, 2012 · 29 filings
SEC status approved since Jan 17, 2012
RAUM
$3.5B
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
36
20 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
13
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$3.5B as of Jul 14, 2026
Apr 1, 2013$961M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 14, 2026
Apr 1, 20130 then
Employees (5.A)36 as of Jul 14, 2026
Apr 1, 201319 then
Private funds13 as of Jul 14, 2026
Mar 25, 20145 then
RAUM +4.2% over the last fiscal year+9.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 14, 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
$175MderivedRAUM 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
+4.2%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 vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$774M, 5 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$2.5B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
20reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$774M for 5 clientsreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
      Every departureEvery arrival
      Private funds
      16 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•••••• C••••• M••••• F••• I••• L••Private Equity Fund$414M48Mar 31, 2022
      S•••••• C••••• V••• F••• I••• L••Private Equity Fund$275M11Mar 31, 2022
      S•••••• C••••• M••••• F••• I•• L••Private Equity Fund$168M55Mar 30, 2018
      S•••••• C•••••• E••••• C•••••••• ••••••••• F•••• L••Private Equity Fund$152M3Mar 30, 2018
      S•••••• C••••• F•••• I••••••• B• L•Private Equity Fund$129M1Mar 31, 2022
      S•••••• C••••• F•••• I••••••• A• L••Private Equity Fund$128M2Mar 31, 2022
      S•••••• C••••• V••• F••• I•• L••Private Equity Fund$100M9Mar 30, 2018
      S•••••• S••••• S•••••• L••• F•••• L••Private Equity Fund$99.1M3Mar 30, 2020
      S•••••• P•••••• C••••• B•• F••••• L•Private Equity Fund$93.1M8Mar 30, 2024
      S•••••• C•••••• E••••• F••• I• L•no longer reportedPrivate Equity Fund$41.1M10Sep 4, 2013
      S•••••• C•••••• E••••• O••••••••• F•••• L•no longer reportedPrivate Equity Fund$31.5M10Sep 4, 2013
      S•••••• C••••• M••••• F••• I• L••Private Equity Fund$16.3M13Mar 25, 2014
      S•••••• C••••• V••• F••• I• L••Private Equity Fund$6.1M5Mar 25, 2014
      S•••••• C•••••• E••••• ••••• F•••• L•no longer reportedPrivate Equity Fund$957,09412Mar 25, 2014
      S•••••• C•••••• E••••• O••••••••• F••• I•• L•no longer reportedPrivate Equity Fund$016Apr 5, 2019
      S•••••• C•••••• E••••• C•••••••• ••••••••• F•••• L••no longer reportedPrivate Equity Fund$01Apr 5, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••• D•••• A••••• · Member, Partnercontrol
        since 01/2012 · owns less than 5%
      • D••••• J•••••• T••••• · Member, Partnercontrol
        since 01/2012 · owns less than 5%
      • H••••••••• W••••••• T••• · Member, Partner, Cco, Cfocontrol
        since 01/2012 · owns less than 5%
      • L•••• R•••••• T•••••• · Managing Member, Managing Partnercontrol
        since 01/2012 · owns less than 5%
      • O••••••••• T•••• A••• · Member, Partnercontrol
        since 01/2012 · owns less than 5%
      • L•••• R•••••• T•••••• · Managing Member, Managing Partnercontrol
        since 01/2012 · owns 50% to 75% of Scm Holdings Gp, LLC
      Entity owners
      • S•••••• C•••••• M••••••••• H•••••••• L••• · Member
        direct · owns 75% or more
      • S•• H••••••• G•• L••• · General Partner
        indirect · owns 75% or more of Stellus Capital Management Holdings, L.P.
      Related persons
      Schedule D 7.A
      • S•• I••••••• B• G•• L••
        pooled vehicle sponsorn
      • S•••••• C••••• F••• E•••• O••••••• G• I••• L•••
        pooled vehicle sponsorn
      • S•••••• C••••• F••• O••••••• G• I•• L•••
        pooled vehicle sponsorn
      • S•••••• C••••• F••• O••••••• G• I••• L•••
        pooled vehicle sponsorn
      • S•••••• C••••• F••• O••••••• G•• L•••
        pooled vehicle sponsorn
      • S•••••• C••••• M••••• F••• I• G•• L••
        pooled vehicle sponsorn
      • S•••••• C••••• M••••• F••• I• G•• L••
        pooled vehicle sponsorn
      • S•••••• C••••• M••••• F••• I•• G•• L••
        pooled vehicle sponsory
      • Stellus Private Bdc Advisor, LLC
        investment adviserbankyRAUM $473M
      • S•••••• S••••• S•••••• F••• G•• L••
        pooled vehicle sponsory
      Advisers that list S•••••• C•••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Bethesda, MD1 employees
      • Charlotte, NC1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 19 to 20
        Apr 29, 2025 to Mar 31, 2026
      • Advisory employees · 19 to 20
        Apr 29, 2025 to Mar 31, 2026
      • Pooled vehicle clients · 18 to 19
        Apr 29, 2025 to Mar 31, 2026
      • Assets in custody · $639M to $774M
        Apr 29, 2025 to Mar 31, 2026
      • Employees · 37 to 36
        Apr 29, 2025 to Mar 31, 2026
      • Private funds · 12 to 13
        Apr 29, 2025 to Mar 31, 2026
      • Discretionary RAUM · $3.4B to $3.5B
        Apr 29, 2025 to Mar 31, 2026
      • Pooled vehicle RAUM · $2.4B to $2.5B
        Apr 29, 2025 to Mar 31, 2026
      • RAUM · $3.4B to $3.5B
        Apr 29, 2025 to Mar 31, 2026
      • Accounts · 15 to 19
        Apr 30, 2024 to Apr 29, 2025
      • Pooled vehicle clients · 14 to 18
        Apr 30, 2024 to Apr 29, 2025
      • Assets in custody · $509M to $639M
        Apr 30, 2024 to Apr 29, 2025
      • Employees · 36 to 37
        Apr 30, 2024 to Apr 29, 2025
      • Financial planning clients · unset to
        Apr 30, 2024 to Apr 29, 2025
      • Private funds · 10 to 12
        Apr 30, 2024 to Apr 29, 2025
      • Discretionary RAUM · $2.7B to $3.4B
        Apr 30, 2024 to Apr 29, 2025
      • Pooled vehicle RAUM · $1.8B to $2.4B
        Apr 30, 2024 to Apr 29, 2025
      • RAUM · $2.7B to $3.4B
        Apr 30, 2024 to Apr 29, 2025
      • Accounts · 16 to 15
        May 10, 2023 to Mar 30, 2024
      • Advisory employees · 18 to 19
        May 10, 2023 to Mar 30, 2024
      • Pooled vehicle clients · 15 to 14
        May 10, 2023 to Mar 30, 2024
      • Assets in custody · $561M to $509M
        May 10, 2023 to Mar 30, 2024
      • Custody of client assets · false to true
        May 10, 2023 to Mar 30, 2024
      • Employees · 35 to 36
        May 10, 2023 to Mar 30, 2024
      • Discretionary RAUM · $2.6B to $2.7B
        May 10, 2023 to Mar 30, 2024
      • Non-discretionary RAUM · $3.5M to $0
        May 10, 2023 to Mar 30, 2024
      • Pooled vehicle RAUM · $1.7B to $1.8B
        May 10, 2023 to Mar 30, 2024
      • RAUM · $2.6B to $2.7B
        May 10, 2023 to Mar 30, 2024
      • Accounts · 18 to 16
        May 16, 2022 to Mar 31, 2023
      • Pooled vehicle clients · 17 to 15
        May 16, 2022 to Mar 31, 2023
      • Assets in custody · $0 to $561M
        May 16, 2022 to Mar 31, 2023
      • Employees · 29 to 35
        May 16, 2022 to Mar 31, 2023
      • Private funds · 12 to 10
        May 16, 2022 to Mar 31, 2023
      • Discretionary RAUM · $2.4B to $2.6B
        May 16, 2022 to Mar 31, 2023
      • Non-discretionary RAUM · $0 to $3.5M
        May 16, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $1.6B to $1.7B
        May 16, 2022 to Mar 31, 2023
      • RAUM · $2.4B to $2.6B
        May 16, 2022 to Mar 31, 2023
      • Accounts · 13 to 18
        Mar 31, 2021 to Mar 31, 2022
      • Advisory employees · 19 to 18
        Mar 31, 2021 to Mar 31, 2022
      • Pooled vehicle clients · 12 to 17
        Mar 31, 2021 to Mar 31, 2022
      Signals
      2 dated events
      • Stellus Capital Management, Llc reported RAUM $3.4B, up 25% from $2.7B (2024-04-30 to 2025-04-29)
        Apr 29, 2025 · RAUM change · derived
      • Stellus Capital Management, Llc reported RAUM $2.4B, up 50% from $1.6B (2021-03-31 to 2022-03-31)
        Mar 31, 2022 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Firm profile
      linkedin.com/company/stellus-capital-managementreportedpublic record, Form ADV, Sep 18, 2026
      Website
      STELLUSCAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      713-292-5400reportedpublic record, Form ADV, Jul 14, 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