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 1, 2026
First filing on the tape Feb 14, 2012 · 29 filings
SEC status approved since Mar 30, 2012
RAUM
$418M
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
14
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$418M as of May 1, 2026
Mar 23, 2013$269M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 1, 2026
Mar 23, 20130 then
Employees (5.A)14 as of May 1, 2026
Mar 23, 201311 then
Private funds7 as of May 1, 2026
Mar 23, 201314 then
RAUM +5.7% over the last fiscal year-3.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 1, 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
- $59.7MderivedRAUM 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
- +5.7%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
- Custody
- yesreportedItem 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)
- 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$418M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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=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
23 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••• C•••••• P••••••• V•• L••• | Private Equity Fund | $200M | 102 | Mar 26, 2021 |
| S•••••• C•••••• P••••••• V• L••• | Private Equity Fund | $102M | 97 | Mar 29, 2017 |
| S•••••• C•••••• P••••••• P••••••• V•• L••• | Private Equity Fund | $34.3M | 8 | Mar 26, 2021 |
| S•• C•••••••• S•••••• L•• | Private Equity Fund | $33.4M | 85 | Mar 19, 2018 |
| S•••••• N• I••••••••• L••no longer reported | Private Equity Fund | $17.0M | 22 | Mar 23, 2013 |
| S•••••• M•• I••••••••• L•• | Private Equity Fund | $15.2M | 20 | Mar 17, 2014 |
| S•••••• C•••••• P••••••• P••••••• V• L• | Private Equity Fund | $14.2M | 2 | Mar 19, 2018 |
| S•••••• C•••••• P••••••• I•• L•••no longer reported | Private Equity Fund | $13.1M | 75 | Feb 14, 2012 |
| S•••••• I• T•••• I••••••••• L•••no longer reported | Private Equity Fund | $6.5M | 5 | Feb 14, 2012 |
| S•••••• ••••• L••no longer reported | Private Equity Fund | $3.9M | 10 | Feb 14, 2012 |
| S•••••• C•••••• P••••••• I••• L•••no longer reported | Private Equity Fund | $3.0M | 25 | Feb 14, 2012 |
| S•••••• N•• C••••••••• L••no longer reported | Private Equity Fund | $1.9M | 20 | Mar 23, 2013 |
| S•••••• C•••••• P••••••• I•• L•••no longer reported | Private Equity Fund | $1.8M | 25 | Feb 14, 2012 |
| S•••••• S••• I••••••••• L•••no longer reported | Private Equity Fund | $688,000 | 18 | Feb 14, 2012 |
| S•••••• C•••••••• I••• L•••no longer reported | Private Equity Fund | $435,000 | 9 | Feb 14, 2012 |
| S•••••• W••••• I••••••••• L•••no longer reported | Private Equity Fund | $420,000 | 23 | Feb 14, 2012 |
| S•••••• I••••••••• L••no longer reported | Private Equity Fund | $406,000 | 23 | Feb 14, 2012 |
| S•••••• C•••••• P••••••• I••••• L•••no longer reported | Private Equity Fund | $391,000 | 5 | Feb 14, 2012 |
| S•••••• N•••• I••••••••• L••no longer reported | Private Equity Fund | $305,000 | 21 | Mar 17, 2015 |
| S•••••• F••••••••• C••••••••• L••no longer reported | Private Equity Fund | $186,000 | 20 | Mar 23, 2013 |
| S•••••• B•••••••• I••••••••• L•• | Private Equity Fund | $150,000 | 22 | Mar 17, 2015 |
| S•••••• C•••••• P••••••• I•••• A••• L•••no longer reported | Private Equity Fund | $0 | 5 | Feb 14, 2012 |
| S•••••• C•••••• P••••••• I•• A••• L•••no longer reported | Private Equity Fund | $0 | 24 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• J••••• J••••• · Partnercontrolsince 02/2017 · owns less than 5%
- L•••• W••••••• K••• · Partnercontrolsince 02/2017 · owns less than 5%
- M••••••••• M••••••• S•••• · Partnercontrolsince 02/2017 · owns 50% to 75%
- M•••••• A•••••• J•••• · Partnercontrolsince 04/2018 · owns less than 5%
- T••••••••• R•••••• R•••••• · Partnercontrolsince 02/2017 · owns 50% to 75%
- S••••••••• S•••••• E• · Chief Financial Officer And Chief Compliance Officersince 10/2023 · owns less than 5%
Related persons
Schedule D 7.A
- S•••••• A••••••••• I•• L••pooled vehicle sponsorn
- S•••••• B•••••••• A••••••••• L••pooled vehicle sponsorn
- S•••••• I••••••••• P••••••• V• L•••pooled vehicle sponsorn
- S•••••• I••••••••• P••••••• V•• L•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 10 to 11Apr 29, 2025 to Mar 27, 2026
- Employees · 16 to 14Apr 29, 2025 to Mar 27, 2026
- Discretionary RAUM · $396M to $418MApr 29, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $396M to $418MApr 29, 2025 to Mar 27, 2026
- RAUM · $396M to $418MApr 29, 2025 to Mar 27, 2026
- Financial planning clients · unset to May 10, 2024 to Apr 29, 2025
- Discretionary RAUM · $400M to $396MMay 10, 2024 to Apr 29, 2025
- Pooled vehicle RAUM · $400M to $396MMay 10, 2024 to Apr 29, 2025
- RAUM · $400M to $396MMay 10, 2024 to Apr 29, 2025
- Discretionary RAUM · $400M to $400MMar 26, 2024 to May 10, 2024
- Pooled vehicle RAUM · $400M to $400MMar 26, 2024 to May 10, 2024
- RAUM · $400M to $400MMar 26, 2024 to May 10, 2024
- Assets in custody · $460M to $0Oct 25, 2023 to Mar 26, 2024
- Employees · 18 to 16Oct 25, 2023 to Mar 26, 2024
- Discretionary RAUM · $460M to $400MOct 25, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $460M to $400MOct 25, 2023 to Mar 26, 2024
- RAUM · $460M to $400MOct 25, 2023 to Mar 26, 2024
- Assets in custody · $568M to $460MApr 28, 2022 to Mar 31, 2023
- Employees · 15 to 18Apr 28, 2022 to Mar 31, 2023
- Discretionary RAUM · $568M to $460MApr 28, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $568M to $460MApr 28, 2022 to Mar 31, 2023
- RAUM · $568M to $460MApr 28, 2022 to Mar 31, 2023
- Advisory employees · 9 to 10Mar 26, 2021 to Mar 28, 2022
- Assets in custody · $0 to $568MMar 26, 2021 to Mar 28, 2022
- Discretionary RAUM · $549M to $568MMar 26, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $549M to $568MMar 26, 2021 to Mar 28, 2022
- RAUM · $549M to $568MMar 26, 2021 to Mar 28, 2022
- Employees · 14 to 15May 26, 2020 to Mar 26, 2021
- Discretionary RAUM · $417M to $549MMay 26, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $417M to $549MMay 26, 2020 to Mar 26, 2021
- RAUM · $417M to $549MMay 26, 2020 to Mar 26, 2021
- Accounts · 8 to 7Apr 23, 2019 to Mar 18, 2020
- Pooled vehicle clients · 8 to 7Apr 23, 2019 to Mar 18, 2020
- Assets in custody · $344M to $0Apr 23, 2019 to Mar 18, 2020
- Employees · 15 to 14Apr 23, 2019 to Mar 18, 2020
- Other offices · 1 to 0Apr 23, 2019 to Mar 18, 2020
- Private funds · 8 to 7Apr 23, 2019 to Mar 18, 2020
- Discretionary RAUM · $344M to $417MApr 23, 2019 to Mar 18, 2020
- Pooled vehicle RAUM · $344M to $417MApr 23, 2019 to Mar 18, 2020
- RAUM · $344M to $417MApr 23, 2019 to Mar 18, 2020
Signals
4 dated events
- Martin Howard Kaufman (Chief Compliance Officer And Chief Financial Officer) no longer on Schedule A of S•••••• C••••••• L•• (listed 2023-04-28, absent 2023-10-25)Oct 25, 2023 · Control person left · inference
- James Andrew Meyers (Vice President) appeared on Schedule A of S•••••• C••••••• L••Mar 28, 2022 · Control person joined · fact
- S•••••• C••••••• L•• reported RAUM $549.1M, up 32% from $417.3M (2020-05-26 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- S•••••• C••••••• L•• reported RAUM $413.2M, up 61% from $256.1M (2017-05-01 to 2018-03-19)Mar 19, 2018 · RAUM change · derived
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
- Website
- S••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-847-8900reportedpublic record, Form ADV, May 1, 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