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••••••
Legal name S••••• C•••••• S•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Feb 15, 2012 · 19 filings
SEC status approved since Mar 30, 2012
RAUM
$659M
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
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
10
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$659M as of Mar 30, 2026
Mar 27, 2013$990M then
HNW client RAUM$0 as of Mar 23, 2020
Mar 26, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 27, 20130 then
Employees (5.A)5 as of Mar 30, 2026
Mar 27, 201315 then
Private funds10 as of Mar 30, 2026
Mar 27, 201314 then
RAUM +57% over the last fiscal year+36% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $65.9MderivedRAUM 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
- +57%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $659M, 10 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
- 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$659M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $659M for 10 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
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••••• V••••••• I•• L••• | Venture Capital Fund | $103M | 46 | Mar 29, 2016 |
| S••••• V••••••• G••••••••• L•• | Venture Capital Fund | $28.6M | 4 | Mar 26, 2021 |
| S••••• C•••••• V•• L••• | Venture Capital Fund | $26.9M | 19 | Feb 15, 2012 |
| L•• E•••••••• F•••• L•• | Venture Capital Fund | $24.2M | 10 | Mar 28, 2023 |
| S••••• C•••••• H••••••• L•••no longer reported | Venture Capital Fund | $21.0M | 2 | Mar 27, 2013 |
| S••••• C•••••• M•••• V•••••••• L••• | Venture Capital Fund | $16.8M | 6 | Mar 26, 2021 |
| C••••• E••••• F•••• L••• | Venture Capital Fund | $11.4M | 17 | Mar 26, 2018 |
| S••••• C•••••• M••••• • S••••• | Venture Capital Fund | $4.2M | 13 | Mar 28, 2023 |
| S••••• C•••••• E•••••• L••• | Venture Capital Fund | $3.2M | 5 | Feb 15, 2012 |
| S••••• C•••••• V• L•••no longer reported | Venture Capital Fund | $579,863 | 12 | Feb 15, 2012 |
| S••••• G••••••••• L•• | Venture Capital Fund | $131,195 | 4 | Mar 27, 2019 |
| S••••• C•••••• F•••••• L•••no longer reported | Venture Capital Fund | $0 | 0 | Feb 15, 2012 |
| S••••• C•••••• D•••••• L••• | Private Equity Fund | $0 | 0 | Feb 15, 2012 |
| S••••• C•••••• C•••••••• L•••no longer reported | Private Equity Fund | $0 | 0 | Feb 15, 2012 |
| S••••• V•••••••• L••no longer reported | Venture Capital Fund | $0 | 29 | Feb 15, 2012 |
| S••••• C•••••• I•• L•••no longer reported | Venture Capital Fund | $0 | 5 | Feb 15, 2012 |
| S••••• C•••••• I•• L•••no longer reported | Venture Capital Fund | $0 | 11 | Feb 15, 2012 |
| S••••• C•••••• I••• L•••no longer reported | Venture Capital Fund | $0 | 5 | Feb 15, 2012 |
| S••••• G•• L••no longer reported | Venture Capital Fund | $0 | 0 | Mar 27, 2019 |
| S••••• C•••••• B••••••••• L•••no longer reported | Venture Capital Fund | $0 | 4 | Feb 15, 2012 |
| S••••• R••••• C•••••• L•••no longer reported | Venture Capital Fund | $0 | 0 | Feb 15, 2012 |
| S••••• C•••••• G••••••• L••• | Venture Capital Fund | $0 | 0 | Feb 15, 2012 |
| K•• D•••••• M•••• L••no longer reported | Venture Capital Fund | $0 | 2 | Mar 23, 2020 |
Owners and control persons
Schedule A and B, latest filing
- Q••••••••• D••••• P••• · Managing Directorcontrolsince 06/2000 · owns 50% to 75%
- S•••••• K••••••• B••••• · Managing Directorcontrolsince 06/2000 · owns 50% to 75%
- K••••••• R•••••• W•••••• · Cfo And Ccosince 11/2007 · owns less than 5%
Related persons
Schedule D 7.A
- C••••• E••••• F•••• L••investment adviserpooled vehicle sponsorn
- S••••• A••••••• L••broker-dealern
- S••••• C•••••• D•••••• L••investment advisern
- S••••• C•••••• E••••••• L••investment adviserpooled vehicle sponsorn
- S••••• C•••••• G••••••• L••investment advisern
- S••••• C•••••• V•• L••investment adviserpooled vehicle sponsorn
- S••••• V••••••• I•• L••investment adviserpooled vehicle sponsorn
- S•••• L••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Mar 30, 2026performance-based compensation (Item 5.E.6): no on the filing of 2025-03-28, yes on the filing of 2026-03-30peers: asset managers, $500M to $1B (784)
What changed
consecutive filings, newest first
- Accounts · 9 to 10Mar 28, 2025 to Mar 30, 2026
- Advisory employees · 2 to 4Mar 28, 2025 to Mar 30, 2026
- BD registered reps · 1 to 2Mar 28, 2025 to Mar 30, 2026
- Pooled vehicle clients · 9 to 10Mar 28, 2025 to Mar 30, 2026
- Assets in custody · $420M to $659MMar 28, 2025 to Mar 30, 2026
- Employees · 3 to 5Mar 28, 2025 to Mar 30, 2026
- Private funds · 9 to 10Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $420M to $659MMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $420M to $659MMar 28, 2025 to Mar 30, 2026
- RAUM · $420M to $659MMar 28, 2025 to Mar 30, 2026
- Related adviser · true to falseMar 28, 2025 to Mar 30, 2026
- Assets in custody · $218M to $420MNov 20, 2024 to Mar 28, 2025
- Financial planning clients · unset to Nov 20, 2024 to Mar 28, 2025
- HQ city · unset to Nov 20, 2024 to Mar 28, 2025
- HQ state · unset to Nov 20, 2024 to Mar 28, 2025
- Discretionary RAUM · $218M to $420MNov 20, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $218M to $420MNov 20, 2024 to Mar 28, 2025
- RAUM · $218M to $420MNov 20, 2024 to Mar 28, 2025
- HQ city · DENVER to unsetMar 26, 2024 to Oct 18, 2024
- HQ state · CO to unsetMar 26, 2024 to Oct 18, 2024
- Accounts · 11 to 9Dec 20, 2023 to Mar 26, 2024
- Pooled vehicle clients · 11 to 9Dec 20, 2023 to Mar 26, 2024
- Assets in custody · $262M to $218MDec 20, 2023 to Mar 26, 2024
- Private funds · 11 to 9Dec 20, 2023 to Mar 26, 2024
- Discretionary RAUM · $262M to $218MDec 20, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $262M to $218MDec 20, 2023 to Mar 26, 2024
- RAUM · $262M to $218MDec 20, 2023 to Mar 26, 2024
- Accounts · 10 to 11Mar 29, 2022 to Mar 28, 2023
- Assets in custody · $190M to $262MMar 29, 2022 to Mar 28, 2023
- Private funds · 10 to 11Mar 29, 2022 to Mar 28, 2023
- Discretionary RAUM · $190M to $262MMar 29, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $190M to $262MMar 29, 2022 to Mar 28, 2023
- RAUM · $190M to $262MMar 29, 2022 to Mar 28, 2023
- Accounts · 11 to 10Mar 26, 2021 to Mar 29, 2022
- Advisory employees · 4 to 2Mar 26, 2021 to Mar 29, 2022
- BD registered reps · 0 to 1Mar 26, 2021 to Mar 29, 2022
- Assets in custody · $543M to $190MMar 26, 2021 to Mar 29, 2022
- Employees · 6 to 3Mar 26, 2021 to Mar 29, 2022
- Private funds · 11 to 10Mar 26, 2021 to Mar 29, 2022
- Discretionary RAUM · $543M to $190MMar 26, 2021 to Mar 29, 2022
Signals
4 dated events
- S••••• C•••••• reported RAUM $659.3M, up 57% from $419.9M (2025-03-28 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- S••••• C•••••• reported RAUM $419.9M, up 92% from $218.5M (2024-11-20 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- S••••• C•••••• reported RAUM $189.7M, down 65% from $542.9M (2021-03-26 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- S••••• C•••••• reported RAUM $542.9M, up 144% from $222.3M (2020-03-23 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- S••••• C•••••• · Private Equityshared crd · organization
- S••••• C•••••• · Venture Capitalshared 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
- 415-773-2080reportedpublic record, Form ADV, Mar 30, 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