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••

Former SEC-registered adviserCarlsbad, CaliforniaCRD 162070SEC 801-74456IAPD
Latest filing Mar 16, 2020
First filing on the tape Feb 28, 2012 · 26 filings
RAUM
$14.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
24%
$3.5M 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
26 filings and snapshots on the tape
RAUM$14.7M as of Mar 16, 2020
Mar 25, 2013$369M then
HNW client RAUM$3.5M as of Mar 16, 2020
Mar 27, 2018$5.6M then
State-registered IARs (5.B.3)2 as of Mar 16, 2020
Mar 25, 20130 then
Employees (5.A)7 as of Mar 16, 2020
Mar 25, 201318 then
Private funds: 1
RAUM -85% over the last fiscal year-48% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 16, 2020; every figure names its basis
RAUM per advisor
$7.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$315,503derivedHNW RAUM over HNW clients
Average account
$920,064derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-85%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-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$8.8M, 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$8.8M60%
  • High-net-worth individuals$3.5M24%
  • Investment companies$2.1M14%
  • Pension and profit-sharing plans$336,0002.3%
Individual clients
n/areported
HNW clients
11reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
16reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$8.8M 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
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•••••• G••••• M••••• D••••••••• F••• L••no longer reportedOther Private Fund$130M250Feb 28, 2012
      S•••••• C••••••••• S••••• P•••••••• • C••••••• F••• L•no longer reportedOther Private Fund$5.5M20Feb 28, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••• J••••• S•••• · Chief Executive Officer, Managing Membercontrol
        since 05/2008 · owns less than 5%
      • S••••••••• R••••••• C••••• · Chief Research Officer, P•••••••• Managercontrol
        since 02/1995 · owns less than 5%
      • S••••••• C••••••••• A••••• · Chief Investment Officer, P•••••••• Managercontrol
        since 01/2012 · owns less than 5%
      • W••••••• J••••• C•••••• · Chief Compliance Officercontrol
        since 10/2015 · owns less than 5%
      • G••••••• J••••• S•••• · Membercontrol
        since 05/2015 · owns 25% to 50% of S•• I••••••••• H••••••• L••
      • S••••••••• R••••••• C••••• · Membercontrol
        since 05/2015 · owns 25% to 50% of S•• I••••••••• H••••••• L••
      • S••••••• C••••••••• A••••• · Membercontrol
        since 05/2015 · owns 25% to 50% of S•• I••••••••• H••••••• L••
      Entity owners
      • S•• I••••••••• H••••••• L•• · Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Advisers that list S•••••• C•••••• P••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 26 to 16
        Aug 1, 2019 to Mar 16, 2020
      • HNW clients · unset to 11.0
        Aug 1, 2019 to Mar 16, 2020
      • Individual clients · 22.0 to unset
        Aug 1, 2019 to Mar 16, 2020
      • Pooled vehicle clients · 2 to 1
        Aug 1, 2019 to Mar 16, 2020
      • Assets in custody · $31.5M to $8.8M
        Aug 1, 2019 to Mar 16, 2020
      • Discretionary RAUM · $97.2M to $14.7M
        Aug 1, 2019 to Mar 16, 2020
      • HNW RAUM · $3.3M to $3.5M
        Aug 1, 2019 to Mar 16, 2020
      • Individual RAUM · 4210000.0 to unset
        Aug 1, 2019 to Mar 16, 2020
      • Pension RAUM · unset to 336000.0
        Aug 1, 2019 to Mar 16, 2020
      • Pooled vehicle RAUM · $44.7M to $8.8M
        Aug 1, 2019 to Mar 16, 2020
      • RAUM · $97.2M to $14.7M
        Aug 1, 2019 to Mar 16, 2020
      • Accounts · 28 to 26
        Jan 3, 2019 to Mar 27, 2019
      • HNW clients · 21.0 to unset
        Jan 3, 2019 to Mar 27, 2019
      • Individual clients · 3 to 22
        Jan 3, 2019 to Mar 27, 2019
      • Pension plan clients · 1.0 to unset
        Jan 3, 2019 to Mar 27, 2019
      • Pooled vehicle clients · 3 to 2
        Jan 3, 2019 to Mar 27, 2019
      • Discretionary RAUM · $75.8M to $97.2M
        Jan 3, 2019 to Mar 27, 2019
      • HNW RAUM · $7.0M to $3.3M
        Jan 3, 2019 to Mar 27, 2019
      • Individual RAUM · $295,622 to $4.2M
        Jan 3, 2019 to Mar 27, 2019
      • Pension RAUM · 163000.0 to unset
        Jan 3, 2019 to Mar 27, 2019
      • Pooled vehicle RAUM · $68.3M to $44.7M
        Jan 3, 2019 to Mar 27, 2019
      • RAUM · $75.8M to $97.2M
        Jan 3, 2019 to Mar 27, 2019
      • Related adviser · false to true
        Jan 3, 2019 to Mar 27, 2019
      • Advisory activities · 2 to 3
        Oct 23, 2018 to Jan 3, 2019
      • Related bank · true to false
        Jun 29, 2018 to Aug 10, 2018
      • Accounts · 27 to 28
        Mar 27, 2018 to Jun 29, 2018
      • Advisory employees · 7 to 5
        Mar 27, 2018 to Jun 29, 2018
      • HNW clients · 18 to 21
        Mar 27, 2018 to Jun 29, 2018
      • Individual clients · 5 to 3
        Mar 27, 2018 to Jun 29, 2018
      • Employees · 10 to 7
        Mar 27, 2018 to Jun 29, 2018
      • Discretionary RAUM · $79.7M to $75.8M
        Mar 27, 2018 to Jun 29, 2018
      • HNW RAUM · $5.6M to $7.0M
        Mar 27, 2018 to Jun 29, 2018
      • Individual RAUM · $1.9M to $295,622
        Mar 27, 2018 to Jun 29, 2018
      • Pension RAUM · $166,000 to $163,000
        Mar 27, 2018 to Jun 29, 2018
      • Pooled vehicle RAUM · $72.0M to $68.3M
        Mar 27, 2018 to Jun 29, 2018
      • RAUM · $79.7M to $75.8M
        Mar 27, 2018 to Jun 29, 2018
      • Accounts · 37 to 27
        Mar 31, 2017 to Mar 27, 2018
      • HNW clients · unset to 18.0
        Mar 31, 2017 to Mar 27, 2018
      • Individual clients · unset to 5.0
        Mar 31, 2017 to Mar 27, 2018
      • Pension plan clients · unset to 1.0
        Mar 31, 2017 to Mar 27, 2018
      Signals
      No event on the tape.
      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