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 Jun 23, 2026
First filing on the tape Mar 7, 2012 · 29 filings
SEC status approved since Mar 30, 2012
RAUM
$1.6B
reported, Item 5.F
Discretionary
34%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$323M
derived; firm RAUM over IAPD count
Employees
33
17 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
15
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$1.6B as of Jun 23, 2026
Mar 28, 2013$238M then
HNW client RAUM$0 as of Jun 23, 2026
Mar 28, 2018$0 then
State-registered IARs (5.B.3)5 as of Jun 23, 2026
Mar 28, 20135 then
Employees (5.A)33 as of Jun 23, 2026
Mar 28, 201316 then
Private funds15 as of Jun 23, 2026
Mar 28, 20134 then
RAUM +13% over the last fiscal year+7.0% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Jun 23, 2026; every figure names its basis
- RAUM per advisor
- $323MderivedRAUM 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
- $108MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 34%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.6derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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
- 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)
- 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$1.6B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 15reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• E••••• H••••••• | Dallas, Tx | Apr 16, 2012 | 14 y | 0 |
| J••• R•••••• G••••• | Dallas, Tx | Nov 8, 2012 | 21 y | 0 |
| E••••• R••••• B•••• | Dallas, Tx | Nov 8, 2012 | 17 y | 0 |
| S•••• C•••• V••••••••• | Dallas, Tx | Nov 8, 2012 | 17 y | 0 |
| R•••••• M••• E••••••• | Dallas, Tx | Nov 8, 2012 | 17 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
16 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••• A•••• I•• L• | Hedge Fund | $306M | 150 | Mar 31, 2016 |
| S••••• A••••• L• | Hedge Fund | $272M | 87 | Mar 7, 2012 |
| S••••• C•••••• S•••••••• O••••••••• L• | Private Equity Fund | $169M | 94 | Mar 7, 2012 |
| S••••• C••••••••• P•••••••• L• | Private Equity Fund | $155M | 168 | Mar 30, 2020 |
| S••••• C•••••• I••• L• | Private Equity Fund | $119M | 93 | Mar 30, 2017 |
| S••••• T••••••• P•••••••• L• | Private Equity Fund | $35.3M | 58 | Mar 31, 2022 |
| S••••• E••••••••• P•••••••• L• | Hedge Fund | $27.2M | 30 | Jul 20, 2022 |
| S••••• C••••••••• P••••••• I•• L• | Private Equity Fund | $12.2M | 25 | Mar 31, 2022 |
| S••••• N•••• P••••••• L• | Private Equity Fund | $6.1M | 24 | Mar 31, 2023 |
| S••••• N•••• C•••••••• L• | Private Equity Fund | $3.3M | 25 | Apr 29, 2024 |
| S••••• H••• L• | Private Equity Fund | $2.0M | 43 | Mar 28, 2018 |
| S••••• S••••••• L• | Private Equity Fund | $1.4M | 50 | Mar 29, 2019 |
| S••••• C•••••• 2•••• L• | Private Equity Fund | $474,741 | 65 | Mar 7, 2012 |
| S••••• A•••• H••••••• L• | Private Equity Fund | $427,065 | 52 | Mar 31, 2016 |
| S••••• C•••••• 2•••••• L•no longer reported | Private Equity Fund | $418,506 | 43 | Mar 7, 2012 |
| S••••• C•••••• I• L• | Private Equity Fund | $0 | 0 | Mar 29, 2024 |
Owners and control persons
Schedule A and B, latest filing
- B••••• E•••••• R••••• · Principalcontrolsince 11/2008 · owns less than 5%
- E•••••••• R••••••• M••• · Managing Partnercontrolsince 11/2008 · owns less than 5%
- G•••••• J•••• R•••••• · Partnercontrolsince 11/2009 · owns less than 5%
- H•••••••• J••••• E••••• · Partner & Cio, S••••• A•••• Management, LLCcontrolsince 01/2012 · owns less than 5%
- H••••••• W•••••• •••• · Partner, Chief Operating Officer, Chief Financial Officer And Chief Compliance Officercontrolsince 02/2014 · owns less than 5%
- V••••••••• S••••• C•••• · Managing Partnercontrolsince 11/2008 · owns less than 5%
- E•••••••• R••••••• M••• · Trusteecontrolsince 04/2000 · owns 75% or more of T••• H•••• I••••••••• T••••
- V••••••••• S••••• C•••• · Trusteecontrolsince 01/2021 · owns 75% or more of S•• I••••••••• T••••
Entity owners
- R••••• G•••• P•••••••• L• · Ownerdirect · owns 50% to 75%
- T••• H•••• I••••••••• T•••• · Ownerdirect · owns 50% to 75%
- S•• I••••••••• T•••• · Ownerindirect · owns 75% or more of R••••• G•••• P•••••••• L•
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Fort Worth, TX3 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 27, 2026discretionary share of RAUM moved from 54.0% to 34.0% between the annual amendments of 2025-03-31 and 2026-03-27peers: asset managers, $1B to $5B (1,506)
What changed
consecutive filings, newest first
- Advisory employees · 16 to 17Mar 31, 2025 to Mar 27, 2026
- Employees · 35 to 33Mar 31, 2025 to Mar 27, 2026
- Discretionary RAUM · $771M to $542MMar 31, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $653M to $1.1BMar 31, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $1.4B to $1.6BMar 31, 2025 to Mar 27, 2026
- RAUM · $1.4B to $1.6BMar 31, 2025 to Mar 27, 2026
- Advisory employees · 15 to 16Feb 26, 2025 to Mar 31, 2025
- Financial planning clients · unset to Feb 26, 2025 to Mar 31, 2025
- Discretionary RAUM · $723M to $771MFeb 26, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $721M to $653MFeb 26, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $1.4B to $1.4BFeb 26, 2025 to Mar 31, 2025
- RAUM · $1.4B to $1.4BFeb 26, 2025 to Mar 31, 2025
- Employees · 29 to 35Mar 29, 2024 to Apr 29, 2024
- Private funds · 14 to 15Mar 29, 2024 to Apr 29, 2024
- Discretionary RAUM · $717M to $723MMar 29, 2024 to Apr 29, 2024
- Pooled vehicle RAUM · $1.4B to $1.4BMar 29, 2024 to Apr 29, 2024
- RAUM · $1.4B to $1.4BMar 29, 2024 to Apr 29, 2024
- Accounts · 13 to 15Mar 31, 2023 to Mar 29, 2024
- Pooled vehicle clients · 13 to 15Mar 31, 2023 to Mar 29, 2024
- Private funds · 13 to 14Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $590M to $717MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $726M to $721MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $1.3B to $1.4BMar 31, 2023 to Mar 29, 2024
- RAUM · $1.3B to $1.4BMar 31, 2023 to Mar 29, 2024
- Accounts · 11 to 13Nov 4, 2022 to Mar 31, 2023
- Pooled vehicle clients · 11 to 13Nov 4, 2022 to Mar 31, 2023
- Private funds · 12 to 13Nov 4, 2022 to Mar 31, 2023
- Discretionary RAUM · $695M to $590MNov 4, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $781M to $726MNov 4, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.5B to $1.3BNov 4, 2022 to Mar 31, 2023
- RAUM · $1.5B to $1.3BNov 4, 2022 to Mar 31, 2023
- Private funds · 11 to 12Apr 27, 2022 to Jul 20, 2022
- Accounts · 9 to 11Mar 31, 2021 to Mar 31, 2022
- Advisory employees · 13 to 15Mar 31, 2021 to Mar 31, 2022
- Pooled vehicle clients · 9 to 11Mar 31, 2021 to Mar 31, 2022
- Employees · 30 to 29Mar 31, 2021 to Mar 31, 2022
- Private funds · 9 to 11Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $375M to $695MMar 31, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $674M to $781MMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $1.0B to $1.5BMar 31, 2021 to Mar 31, 2022
Signals
3 dated events
- S••••• C••••••• L•• reported RAUM $1.5B, up 41% from $1.0B (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Benoit William Holloway (Chief Operating Officer & General Counsel) no longer on Schedule A of S••••• C••••••• L•• (listed 2019-03-29, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- S••••• C••••••• L•• reported RAUM $974.5M, up 53% from $637.4M (2018-01-29 to 2018-03-28)Mar 28, 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•••••A••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 214-390-6270reportedpublic record, Form ADV, Jun 23, 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
- $323Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
S••••• C••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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