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•••••• P•••••••• L••
Latest filing Dec 26, 2024
First filing on the tape Mar 22, 2012 · 43 filings
SEC status approved since Apr 13, 2012
RAUM
$60.3M
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
1
1 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
5
$60.3M gross assets
History
43 filings and snapshots on the tape
RAUM$60.3M as of Mar 26, 2024
Apr 1, 2013$234M then
HNW client RAUM$339M as of Mar 29, 2023
Mar 30, 2018$741M then
State-registered IARs (5.B.3)1 as of Mar 26, 2024
Apr 1, 20134 then
Employees (5.A)2 as of Mar 26, 2024
Apr 1, 20136 then
Private funds5 as of Mar 26, 2024
Mar 30, 20151 then
RAUM -86% over the last fiscal year-51% a year over threeIARs 5 to 1offices 0 to 2
Practice profile
derived from the filing of Dec 26, 2024; every figure names its basis
- RAUM per advisor
- $60.3MderivedRAUM 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
- $12.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -86%derivedbetween the last two annual amendments
- Advisor growth, one year
- -80%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $60.3M, 5 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$60.3M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $60.3M for 5 clientsreported
- Compensation
- % of AUM, fixed, hourly, 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
- C••• L••••• C•••• to A•••••••• P•••••••• L••Apr 15, 2025 · Other
- J••• C••••• W••••• to A•••••••• P•••••••• L••Feb 26, 2024 · RIA to RIA
- D••• E••••• C•••• to E•••• 3• F••••••••• L••Sep 11, 2023 · RIA to a newly registered adviser
- R••••• L• P•••••• to E•••• 3• F••••••••• L••Sep 11, 2023 · RIA to RIA
- C••• A•••• J•••• to E•••• 3• F••••••••• L••Sep 11, 2023 · RIA to a newly registered adviser
- L•••• C• B•••• to V•••••• P•••••• W•••••• L•••Nov 27, 2019 · RIA to RIA
- J••• B••••••• G••••• to V•••••• P•••••• W•••••• L•••Nov 27, 2019 · RIA to a newly registered adviser
- P••• W•••••• H••••• to V•••••• P•••••• W•••••• L•••Nov 27, 2019 · RIA to RIA
- B•••• L•••• B•••••• to O•••• A•••••••• L••Aug 18, 2016 · Other
- C•••••• L••• R•• to B••••• B••••••• F•••••••• P•••••••• L••Jun 2, 2016 · Other
- C•••••••• N••• H•••• to E•••• 3• F••••••••• L••Oct 30, 2015 · Other
Joined, latest
- P••• W•••••• H••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 12, 2018 · Wirehouse to independent RIA
- L•••• C• B•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 25, 2017 · Other
- J••• B••••••• G••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 25, 2017 · Other
- R••••• L• P•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 10, 2015 · Other
- C•••••• L••• R•• from L••••••••• F•••••••• A•••••••• L••Aug 26, 2014 · Other
- D••• E••••• C•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 4, 2012 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- B•••• L•••• B•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 4, 2012 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C••• L••••• C•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 4, 2012 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C•••••••• N••• H•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 4, 2012 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for E•••• 3• F••••••••• L••Sep 11, 2023 · Midland, Tx
- 3 left for V•••••• P•••••• W•••••• L•••Nov 27, 2019 · Dallas, Tx
- 2 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 29, 2017 · Dallas, Tx
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W••••••• C••••• F••• I• L• | Private Equity Fund | $21.1M | 13 | Mar 30, 2018 |
| S••••• R••• E••••• F••• L•• • S••••• 3• | Real Estate Fund | $12.5M | 11 | Mar 29, 2023 |
| S••••• R••• E••••• F••• L•• • S••••• 1• | Real Estate Fund | $12.5M | 11 | Mar 31, 2022 |
| S••••• R••• E••••• F••• L•• • S••••• 2• | Real Estate Fund | $7.4M | 9 | Mar 31, 2022 |
| W••••••• C••••• F••• I•• L• • S••••• A• | Private Equity Fund | $6.9M | 5 | Mar 29, 2023 |
| S••••• R••• E••••• F•••• L••no longer reported | Real Estate Fund | $4.0M | 5 | Aug 20, 2021 |
| A••••• H••••• E••••• F•••• L•no longer reported | Hedge Fund | $0 | 17 | Jan 14, 2015 |
Owners and control persons
Schedule A and B, latest filing
- C••••• C•••• L••••• · Managing Director And Chief Compliance Officercontrolsince 05/2012 · owns less than 5%
- C••••• C•••• L••••• · Managercontrolsince 08/2014 · owns F of S••••• C•••••• H•••••••• L••
- C••••• C•••• L••••• · Limited Partner Of S••••• G••••• H•••••••• L•controlsince 07/2019 · owns 50% to 75% of S••••• G••••• H•••••••• L•
- C••••• D•••• E••••• · Managercontrolsince 08/2014 · owns F of S••••• C•••••• H•••••••• L••
- C••••• D•••• E••••• · Beneficial Onwercontrolsince 07/2019 · owns 50% to 75% of C•••• F••••• L•
- C••••• S••••• S•••• · Limited Partner Of C•••• F••••• L•controlsince 07/2019 · owns 50% to 75% of C•••• F••••• L•
Entity owners
- S••••• G••••• H•••••••• L• · Member/Managerdirect · owns 75% or more
- S••••• H•••••••• L•• · Member/Managerdirect · owns 10% to 25%
- C•••• F••••• G•• L•• · General Partner Of C•••• F••••• L•indirect · owns F of S••••• G••••• H•••••••• L•
- C•••• F••••• L• · Limited Partner Of S••••• G••••• H•••••••• L•indirect · owns 50% to 75% of S••••• G••••• H•••••••• L•
- S••••• C•••••• H•••••••• L•• · General Partner Of S••••• G••••• H•••••••• L•indirect · owns F of S••••• G••••• H•••••••• L•
Related persons
Schedule D 7.A
- E•••• 3• F••••••••• L••investment advisernRAUM $532M
Advisers that list S••••• C•••••• P•••••••• L•• as a related person
- 327632 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Colorado Springs, Co | 0 | 0 | 0 | ||
| Midland, Tx · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Employees · 2 to 1Mar 27, 2024 to Dec 13, 2024
- Other offices · 1 to 2Mar 27, 2024 to Dec 13, 2024
- Accounts · 706 to 5Oct 12, 2023 to Mar 26, 2024
- Advisory employees · 3 to 1Oct 12, 2023 to Mar 26, 2024
- HNW clients · 70.0 to unsetOct 12, 2023 to Mar 26, 2024
- Individual clients · 30.0 to unsetOct 12, 2023 to Mar 26, 2024
- Pooled vehicle clients · 13 to 5Oct 12, 2023 to Mar 26, 2024
- Assets in custody · $55.8M to $60.3MOct 12, 2023 to Mar 26, 2024
- Employees · 3 to 2Oct 12, 2023 to Mar 26, 2024
- Insurance-licensed employees · 0 to 1Oct 12, 2023 to Mar 26, 2024
- State-registered IARs · 3 to 1Oct 12, 2023 to Mar 26, 2024
- Other offices · 0 to 1Oct 12, 2023 to Mar 26, 2024
- Discretionary RAUM · $361M to $60.3MOct 12, 2023 to Mar 26, 2024
- HNW RAUM · 339121567.0 to unsetOct 12, 2023 to Mar 26, 2024
- Individual RAUM · 6184582.0 to unsetOct 12, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $80.1M to $0Oct 12, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $54.8M to $60.3MOct 12, 2023 to Mar 26, 2024
- RAUM · $442M to $60.3MOct 12, 2023 to Mar 26, 2024
- Advisory employees · 5 to 3Mar 31, 2023 to Oct 9, 2023
- Employees · 10 to 3Mar 31, 2023 to Oct 9, 2023
- State-registered IARs · 5 to 3Mar 31, 2023 to Oct 9, 2023
- Related adviser · false to trueMar 31, 2023 to Oct 9, 2023
- Accounts · 709 to 706Nov 2, 2022 to Mar 29, 2023
- HNW clients · 66 to 70Nov 2, 2022 to Mar 29, 2023
- Individual clients · 25 to 30Nov 2, 2022 to Mar 29, 2023
- Pooled vehicle clients · 10 to 13Nov 2, 2022 to Mar 29, 2023
- Assets in custody · $1.0M to $55.8MNov 2, 2022 to Mar 29, 2023
- Employees · 7 to 10Nov 2, 2022 to Mar 29, 2023
- State-registered IARs · 4 to 5Nov 2, 2022 to Mar 29, 2023
- Private funds · 3 to 5Nov 2, 2022 to Mar 29, 2023
- Discretionary RAUM · $375M to $361MNov 2, 2022 to Mar 29, 2023
- HNW RAUM · $358M to $339MNov 2, 2022 to Mar 29, 2023
- Individual RAUM · $7.7M to $6.2MNov 2, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $78.5M to $80.1MNov 2, 2022 to Mar 29, 2023
- Pension RAUM · 809718.0 to unsetNov 2, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $44.4M to $54.8MNov 2, 2022 to Mar 29, 2023
- RAUM · $454M to $442MNov 2, 2022 to Mar 29, 2023
- Other offices · 1 to 0Jun 6, 2022 to Jul 5, 2022
- Accounts · 640 to 709Nov 2, 2021 to Mar 31, 2022
- Charity clients · 9.0 to unsetNov 2, 2021 to Mar 31, 2022
Signals
13 dated events
- S••••• C•••••• P•••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $60.3M)May 2, 2025 · Left the SEC roster · derived
- C••• L••••• C•••• left S••••• C•••••• P•••••••• L•• for A•••••••• P•••••••• L•• (registered 2024-01-31)Apr 15, 2025 · a•••••• firm change · fact
- S••••• C•••••• P•••••••• L•• reported RAUM $60.3M, down 86% from $441.6M (2023-10-12 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- James Robert Carlyon (Chief Compliance Officer/Chief Operating Officer) no longer on Schedule A of S••••• C•••••• P•••••••• L•• (listed 2023-10-12, absent 2024-03-26)Mar 26, 2024 · Control person left · inference
- J••• C••••• W••••• left S••••• C•••••• P•••••••• L•• for A•••••••• P•••••••• L•• (registered 2024-01-26)Feb 26, 2024 · a•••••• firm change · fact
- 2 advisors left S••••• C•••••• P•••••••• L•• (Midland, TX) for E•••• 3• F••••••••• L•• on the same daySep 11, 2023 · Team lift-out · derived
- R••••• L• P•••••• left S••••• C•••••• P•••••••• L•• for E•••• 3• F••••••••• L•• (registered 2024-03-15)Sep 11, 2023 · a•••••• firm change · fact
- C••• A•••• J•••• left S••••• C•••••• P•••••••• L•• for E•••• 3• F••••••••• L•• (registered 2023-09-14)Sep 11, 2023 · a•••••• firm change · fact
- D••• E••••• C•••• left S••••• C•••••• P•••••••• L•• for E•••• 3• F••••••••• L•• (registered 2023-09-14)Sep 11, 2023 · a•••••• firm change · fact
- L. F•••••• K••••• (Trustee And Beneficiary) no longer on Schedule A of S••••• C•••••• P•••••••• L•• (listed 2021-08-20, absent 2021-10-06)Oct 6, 2021 · Control person left · inference
- Sally Crunk (Limited Partner Of C•••• F••••• L•) appeared on Schedule A of S••••• C•••••• P•••••••• L••Mar 31, 2021 · Control person joined · fact
- L. F•••••• K••••• (Trustee And Beneficiary) appeared on Schedule A of S••••• C•••••• P•••••••• L••Mar 31, 2021 · Control person joined · fact
- S••••• C•••••• P•••••••• L•• reported RAUM $747.3M, up 37% from $545.0M (2017-11-07 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- S••••• C•••••• P•••••••• L•• · Private Equityshared crd · organization
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
Across the graphs
S••••• C•••••• P•••••••• 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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