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•••••• P••••••• G•• L••
Latest filing Feb 26, 2026
First filing on the tape Jun 22, 2015 · 23 filings
SEC status approved since Jun 29, 2015
RAUM
$379M
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
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$379M as of Feb 26, 2026
Mar 22, 2016$223M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 26, 2026
Mar 22, 20160 then
Employees (5.A)5 as of Feb 26, 2026
Mar 22, 20165 then
Private funds1 as of Feb 26, 2026
Mar 22, 20162 then
RAUM +3.0% over the last fiscal year+8.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 26, 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
- $379MderivedRAUM 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
- +3.0%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-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $380M, 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
- 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$379M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $380M for 1 clientsreported
- 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
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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••• C•••••• P••••••• I• L• | Hedge Fund | $323M | 75 | Mar 23, 2012 |
| S•••• C•••••• P••••••• A••••••••• L•no longer reported | Hedge Fund | $8.9M | 24 | Mar 23, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••••••• D••••• B••••••• · Secretarycontrolsince 04/2008 · owns 25% to 50%
- C••••••• C••••• J••••• · Chief Compliance Officercontrolsince 06/2013 · owns less than 5%
- D••••••• G••••••• G••••• · Vice Presidentcontrolsince 02/2006 · owns 25% to 50%
- K•••••• D••••• · Presidentcontrolsince 04/2004 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $370M to $380MMar 28, 2025 to Feb 26, 2026
- HQ city · CHICAGO to EVANSTONMar 28, 2025 to Feb 26, 2026
- Discretionary RAUM · $368M to $379MMar 28, 2025 to Feb 26, 2026
- Pooled vehicle RAUM · $368M to $379MMar 28, 2025 to Feb 26, 2026
- RAUM · $368M to $379MMar 28, 2025 to Feb 26, 2026
- BD registered reps · 4 to 0Apr 30, 2024 to Mar 28, 2025
- Assets in custody · $320M to $370MApr 30, 2024 to Mar 28, 2025
- Financial planning clients · unset to Apr 30, 2024 to Mar 28, 2025
- Discretionary RAUM · $323M to $368MApr 30, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $323M to $368MApr 30, 2024 to Mar 28, 2025
- RAUM · $323M to $368MApr 30, 2024 to Mar 28, 2025
- Related broker-dealer · true to falseFeb 21, 2024 to Apr 23, 2024
- Assets in custody · $300M to $320MFeb 22, 2023 to Feb 21, 2024
- Discretionary RAUM · $298M to $323MFeb 22, 2023 to Feb 21, 2024
- Pooled vehicle RAUM · $298M to $323MFeb 22, 2023 to Feb 21, 2024
- RAUM · $298M to $323MFeb 22, 2023 to Feb 21, 2024
- Accounts · 2 to 1Oct 6, 2022 to Feb 22, 2023
- Pooled vehicle clients · 2 to 1Oct 6, 2022 to Feb 22, 2023
- Assets in custody · $330M to $300MOct 6, 2022 to Feb 22, 2023
- Private funds · 2 to 1Oct 6, 2022 to Feb 22, 2023
- Discretionary RAUM · $330M to $298MOct 6, 2022 to Feb 22, 2023
- Pooled vehicle RAUM · $330M to $298MOct 6, 2022 to Feb 22, 2023
- RAUM · $330M to $298MOct 6, 2022 to Feb 22, 2023
- Assets in custody · $258M to $330MMar 5, 2021 to Mar 22, 2022
- Discretionary RAUM · $258M to $330MMar 5, 2021 to Mar 22, 2022
- Pooled vehicle RAUM · $258M to $330MMar 5, 2021 to Mar 22, 2022
- RAUM · $258M to $330MMar 5, 2021 to Mar 22, 2022
- Accounts · 3 to 2Jun 18, 2020 to Mar 5, 2021
- Advisory activities · 2 to 1Jun 18, 2020 to Mar 5, 2021
- Corporate clients · 1.0 to unsetJun 18, 2020 to Mar 5, 2021
- Assets in custody · $352M to $258MJun 18, 2020 to Mar 5, 2021
- Discretionary RAUM · $369M to $258MJun 18, 2020 to Mar 5, 2021
- Pooled vehicle RAUM · $329M to $258MJun 18, 2020 to Mar 5, 2021
- RAUM · $369M to $258MJun 18, 2020 to Mar 5, 2021
- Accounts · 2 to 3Mar 9, 2020 to Jun 18, 2020
- Advisory activities · 1 to 2Mar 9, 2020 to Jun 18, 2020
- Corporate clients · unset to 1.0Mar 9, 2020 to Jun 18, 2020
- Pooled vehicle RAUM · $369M to $329MMar 9, 2020 to Jun 18, 2020
- Assets in custody · $355M to $352MMar 8, 2019 to Mar 9, 2020
- Discretionary RAUM · $338M to $369MMar 8, 2019 to Mar 9, 2020
Signals
2 dated events
- S•••• C•••••• P••••••• G•• L•• reported RAUM $258.0M, down 30% from $369.2M (2020-06-18 to 2021-03-05)Mar 5, 2021 · RAUM change · derived
- S•••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 22, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••• C•••••• P••••••• G•• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- S••••CAPITAL.NETreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 312-559-1850reportedpublic record, Form ADV, Feb 26, 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