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.
Former SEC-registered adviser
S••••• C•••• C••••••• L••
Latest filing Apr 15, 2021
First filing on the tape Mar 29, 2012 · 15 filings
RAUM
$49.9M
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
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
$49.9M gross assets
History
15 filings and snapshots on the tape
RAUM$49.9M as of Mar 22, 2021
Apr 1, 2013$392M then
HNW client RAUM$0 as of Mar 22, 2021
Mar 31, 2019$0 then
State-registered IARs (5.B.3)0 as of Mar 22, 2021
Apr 1, 20130 then
Employees (5.A)5 as of Mar 22, 2021
Apr 1, 20136 then
Private funds6 as of Mar 22, 2021
Apr 1, 20137 then
RAUM -75% over the last fiscal year-44% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 15, 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
- $8.3MderivedRAUM 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
- -75%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $49.9M, 6 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$49.9M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 6reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $49.9M for 6 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
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••• C•••• P•••••••• L• | Hedge Fund | $27.3M | 38 | Mar 29, 2012 |
| S••••• C•••• O••••••••• F•••• L•••no longer reported | Hedge Fund | $25.0M | 24 | Mar 29, 2012 |
| S••••• C•••• O••••••••• F••• I••••••••• L•••no longer reported | Hedge Fund | $13.1M | 6 | Mar 29, 2012 |
| S••••• C•••• P••••••• I•• L• | Hedge Fund | $10.0M | 5 | Mar 29, 2012 |
| S••••• C•••• P••••••• I••••••••• L••• | Hedge Fund | $7.8M | 9 | Mar 29, 2012 |
| S••••• C•••• V••••• F••• I••••••••• L•• | Hedge Fund | $5.4M | 5 | Mar 29, 2012 |
| S••••• C•••• N• L•• F•••• L• | Hedge Fund | $4.9M | 8 | Mar 30, 2016 |
| S••••• C•••• V••••• F•••• L• | Hedge Fund | $1.4M | 12 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••• T•••••• K• · Ceocontrolsince 01/2000 · owns 75% or more
- C•••••• B••••••• J••••• · Chief Compliance Officercontrolsince 02/2020 · owns less than 5%
- S••••••••• M••••••• M••••• · Directorcontrolsince 06/2001 · owns less than 5%
Related persons
Schedule D 7.A
- S••••• C•••• M••••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 4 to 2Mar 20, 2020 to Mar 22, 2021
- Assets in custody · $202M to $49.9MMar 20, 2020 to Mar 22, 2021
- Employees · 4 to 5Mar 20, 2020 to Mar 22, 2021
- Discretionary RAUM · $202M to $49.9MMar 20, 2020 to Mar 22, 2021
- Pooled vehicle RAUM · $202M to $49.9MMar 20, 2020 to Mar 22, 2021
- RAUM · $202M to $49.9MMar 20, 2020 to Mar 22, 2021
- Advisory employees · 5 to 4Sep 23, 2019 to Mar 20, 2020
- Assets in custody · $77.5M to $202MSep 23, 2019 to Mar 20, 2020
- Employees · 6 to 4Sep 23, 2019 to Mar 20, 2020
- Other offices · 1 to 0Sep 23, 2019 to Mar 20, 2020
- Private funds · 7 to 6Sep 23, 2019 to Mar 20, 2020
- Discretionary RAUM · $108M to $202MSep 23, 2019 to Mar 20, 2020
- Pooled vehicle RAUM · $108M to $202MSep 23, 2019 to Mar 20, 2020
- RAUM · $108M to $202MSep 23, 2019 to Mar 20, 2020
- HQ city · NEW YORK to RADNORApr 30, 2019 to Sep 23, 2019
- HQ state · NY to PAApr 30, 2019 to Sep 23, 2019
- Private funds · 6 to 7Apr 29, 2019 to Apr 30, 2019
- Discretionary RAUM · $108M to $108MMar 31, 2019 to Apr 29, 2019
- Pooled vehicle RAUM · $108M to $108MMar 31, 2019 to Apr 29, 2019
- RAUM · $108M to $108MMar 31, 2019 to Apr 29, 2019
- Accounts · 8 to 6Jan 16, 2019 to Mar 31, 2019
- Advisory activities · 2 to 1Jan 16, 2019 to Mar 31, 2019
- Charity clients · unset to 0.0Jan 16, 2019 to Mar 31, 2019
- Corporate clients · unset to 0.0Jan 16, 2019 to Mar 31, 2019
- HNW clients · unset to 0.0Jan 16, 2019 to Mar 31, 2019
- Individual clients · unset to 0.0Jan 16, 2019 to Mar 31, 2019
- Pension plan clients · unset to 0.0Jan 16, 2019 to Mar 31, 2019
- Pooled vehicle clients · 7 to 6Jan 16, 2019 to Mar 31, 2019
- Assets in custody · $194M to $77.5MJan 16, 2019 to Mar 31, 2019
- Employees · 7 to 6Jan 16, 2019 to Mar 31, 2019
- Financial planning clients · unset to 0Jan 16, 2019 to Mar 31, 2019
- Other offices · 0 to 1Jan 16, 2019 to Mar 31, 2019
- Private funds · 7 to 6Jan 16, 2019 to Mar 31, 2019
- Discretionary RAUM · $290M to $108MJan 16, 2019 to Mar 31, 2019
- HNW RAUM · unset to 0.0Jan 16, 2019 to Mar 31, 2019
- Individual RAUM · unset to 0.0Jan 16, 2019 to Mar 31, 2019
- Pension RAUM · unset to 0.0Jan 16, 2019 to Mar 31, 2019
- Pooled vehicle RAUM · $276M to $108MJan 16, 2019 to Mar 31, 2019
- RAUM · $290M to $108MJan 16, 2019 to Mar 31, 2019
- Pooled vehicle clients · unset to 7.0Mar 31, 2017 to Mar 30, 2018
Signals
4 dated events
- S••••• C•••• C••••••• L•• reported RAUM $49.9M, down 75% from $202.2M (2020-03-20 to 2021-03-22)Mar 22, 2021 · RAUM change · derived
- Douglas Stephen Krug (Cco) no longer on Schedule A of S••••• C•••• C••••••• L•• (listed 2019-09-23, absent 2020-03-20)Mar 20, 2020 · Control person left · inference
- James Zachary Maxfield (Director) no longer on Schedule A of S••••• C•••• C••••••• L•• (listed 2019-09-23, absent 2020-03-20)Mar 20, 2020 · Control person left · inference
- S••••• C•••• C••••••• L•• reported RAUM $107.6M, down 63% from $290.3M (2019-01-16 to 2019-03-31)Mar 31, 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