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 adviserMinneapolis, MinnesotaCRD 162258SEC 801-100482IAPD
Latest filing Jun 29, 2015
First filing on the tape Jun 29, 2015 · 1 filings
RAUM
$170M
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
14
12 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
10
$339M gross assets
History
1 filings and snapshots on the tape
RAUM: $170M
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 14
Private funds: 10
Practice profile
derived from the filing of Jun 29, 2015; 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
$33.9MderivedRAUM 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
unknownderivedbetween 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
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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
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
noreported
Custody of client assets
noreported
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
      9 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•••• C•••••• M•••••••• P••••••• S••• I•• L•Private Equity Fund$214M96Mar 30, 2018
      S•••• C•••••• P••••••• F••• V• F•• Q•••••••• P••••••••• L•Private Equity Fund$65.7M133Mar 30, 2016
      S•••• C•••••• M•••••••• P••••••• S•••• L•Private Equity Fund$23.3M97Mar 27, 2013
      S•••• C•••••• P••••••• F••• I•• F•• Q•••••••• P••••••••• L•Private Equity Fund$21.5M69Mar 30, 2012
      S•••• C•••••• P••••••• F••• I•• L•no longer reportedPrivate Equity Fund$15.8M73Mar 30, 2012
      S•••• C•••••• P••••••• F••• I••• L•Private Equity Fund$11.8M93Mar 30, 2012
      S•••• C•••••• P••••••• F••• V• L•Private Equity Fund$10.6M57Mar 30, 2016
      S•••• C•••••• P••••••• M•••••••• F•••• L•Private Equity Fund$1.8M49Mar 30, 2012
      S•••• C•••••• P••••••• F••• I•• L•Private Equity Fund$565,25589Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • N•••••• A•••••• R•• · Chief Financial Officer/ Chief Compliance Officercontrol
        since 01/2010 · owns less than 5%
      • S••••• H••••• W•••••• · LLC Member, Chairmancontrol
        since 04/1997 · owns 10% to 25%
      • S••••• W••••••• H•••• · LLC Member, Ceo, President, Secretarycontrol
        since 04/1997 · owns 75% or more
      Related persons
      Schedule D 7.A
      • S••• M••••••••• I• L••
        investment adviserpooled vehicle sponsorn
      • S•• M••••••••• I••• L••
        investment adviserpooled vehicle sponsorn
      • S•• M••••••••• I•• L••
        investment adviserpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      1 dated events
      • S•••• C•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 29, 2015 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Website
      S••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 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
      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