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••••••• C•••••• L•••
Latest filing Mar 23, 2021
First filing on the tape Feb 13, 2012 · 14 filings
RAUM
$386M
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
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$386M as of Mar 23, 2021
Mar 15, 2013$701M then
HNW client RAUM$0 as of Mar 23, 2021
Mar 27, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 23, 2021
Mar 15, 20130 then
Employees (5.A)7 as of Mar 23, 2021
Mar 15, 20138 then
Private funds1 as of Mar 25, 2020
Mar 15, 20132 then
RAUM -12% over the last fiscal year-15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 2021; 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
- $386MderivedRAUM 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
- -12%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
- $386M, 1 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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
- Pooled investment vehicles$386M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $386M for 1 clientsreported
- 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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•••• • G••• F••• L•••no longer reported | Hedge Fund | $635M | 1 | Apr 25, 2012 |
| S••••••• C•••••• P••••••• L••• | Hedge Fund | $68.3M | 3 | Apr 25, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A•••• G•••••• · General Counsel/Chief Compliance Officercontrolsince 03/2012 · owns less than 5%
- C••••••• T•••••• L••• · Chief Financial Officer/Chief Operating Officercontrolsince 05/2020 · owns less than 5%
- S••••••••• V••••• R• · Limited Partner/President/Chief Executive Officercontrolsince 01/2012 · owns 75% or more
- S••••••••• V••••• R• · Managing Membercontrolsince 01/2012 · owns 75% or more of S••••••• C•••••• G• L••
Entity owners
- S••••••• C•••••• G• L•• · General Partnerdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- S••••••• C•••••• G• L••y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2 to 1Jun 8, 2020 to Mar 23, 2021
- Advisory employees · 7 to 5Jun 8, 2020 to Mar 23, 2021
- Pooled vehicle clients · 2 to 1Jun 8, 2020 to Mar 23, 2021
- Assets in custody · $372M to $386MJun 8, 2020 to Mar 23, 2021
- Employees · 9 to 7Jun 8, 2020 to Mar 23, 2021
- Private funds · 1 to unsetJun 8, 2020 to Mar 23, 2021
- Discretionary RAUM · $440M to $386MJun 8, 2020 to Mar 23, 2021
- Pooled vehicle RAUM · $440M to $386MJun 8, 2020 to Mar 23, 2021
- RAUM · $440M to $386MJun 8, 2020 to Mar 23, 2021
- Related bank · true to falseJun 8, 2020 to Mar 23, 2021
- Assets in custody · $398M to $372MMar 26, 2019 to Mar 25, 2020
- Discretionary RAUM · $464M to $440MMar 26, 2019 to Mar 25, 2020
- Pooled vehicle RAUM · $464M to $440MMar 26, 2019 to Mar 25, 2020
- RAUM · $464M to $440MMar 26, 2019 to Mar 25, 2020
- Assets in custody · $556M to $398MMar 27, 2018 to Mar 26, 2019
- Discretionary RAUM · $621M to $464MMar 27, 2018 to Mar 26, 2019
- Pooled vehicle RAUM · $621M to $464MMar 27, 2018 to Mar 26, 2019
- RAUM · $621M to $464MMar 27, 2018 to Mar 26, 2019
- Advisory employees · 9 to 7Mar 28, 2017 to Mar 27, 2018
- Charity clients · unset to 0.0Mar 28, 2017 to Mar 27, 2018
- Corporate clients · unset to 0.0Mar 28, 2017 to Mar 27, 2018
- HNW clients · unset to 0.0Mar 28, 2017 to Mar 27, 2018
- Individual clients · unset to 0.0Mar 28, 2017 to Mar 27, 2018
- Pension plan clients · unset to 0.0Mar 28, 2017 to Mar 27, 2018
- Pooled vehicle clients · unset to 2.0Mar 28, 2017 to Mar 27, 2018
- Assets in custody · $723M to $556MMar 28, 2017 to Mar 27, 2018
- Employees · 11 to 9Mar 28, 2017 to Mar 27, 2018
- Other offices · unset to 0.0Mar 28, 2017 to Mar 27, 2018
- Discretionary RAUM · $794M to $621MMar 28, 2017 to Mar 27, 2018
- HNW RAUM · unset to 0.0Mar 28, 2017 to Mar 27, 2018
- Individual RAUM · unset to 0.0Mar 28, 2017 to Mar 27, 2018
- Pension RAUM · unset to 0.0Mar 28, 2017 to Mar 27, 2018
- Pooled vehicle RAUM · unset to 621499857.0Mar 28, 2017 to Mar 27, 2018
- RAUM · $794M to $621MMar 28, 2017 to Mar 27, 2018
- Advisory employees · 10 to 9Mar 28, 2016 to Mar 28, 2017
- Assets in custody · $695M to $723MMar 28, 2016 to Mar 28, 2017
- Employees · 12 to 11Mar 28, 2016 to Mar 28, 2017
- Discretionary RAUM · $769M to $794MMar 28, 2016 to Mar 28, 2017
- RAUM · $769M to $794MMar 28, 2016 to Mar 28, 2017
- Advisory employees · 9 to 10Mar 26, 2015 to Mar 28, 2016
Signals
3 dated events
- Brian Centner (Chief Financial Officer/Chief Operating Officer) no longer on Schedule A of S••••••• C•••••• L••• (listed 2020-03-25, absent 2020-06-08)Jun 8, 2020 · Control person left · inference
- L••• T••••• C•••••• (Chief Financial Officer/Chief Operating Officer) appeared on Schedule A of S••••••• C•••••• L•••Jun 8, 2020 · Control person joined · fact
- S••••••• C•••••• L••• reported RAUM $464.0M, down 25% from $621.5M (2018-03-27 to 2019-03-26)Mar 26, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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