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 Jul 17, 2026
First filing on the tape Mar 16, 2021 · 13 filings
SEC status approved since Apr 15, 2021
RAUM
$16B
reported, Item 5.F
Discretionary
27%
of RAUM
Private clients
24%
$3.8B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
64
41 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$16B as of Jul 17, 2026
Mar 18, 2022$8.8B then
HNW client RAUM$3.8B as of Jul 17, 2026
Mar 18, 2022$3.3B then
State-registered IARs (5.B.3)0 as of Jul 17, 2026
Mar 18, 20220 then
Employees (5.A)64 as of Jul 17, 2026
Mar 18, 202260 then
Private funds2 as of Jul 17, 2026
Mar 18, 20222 then
RAUM +11% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- $34.8MderivedHNW RAUM over HNW clients
- Average account
- $86.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 27%derivedof RAUM
- Institutional
- 40%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
- +11%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, publications, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$6.2B48%
- High-net-worth individuals$3.8B29%
- Corporations and businesses$3.1B23%
- Pooled investment vehicles$19.8M0.2%
- Individual clients
- n/areported
- HNW clients
- 108reported
- Pension plan clients
- n/areported
- Charitable clients
- 42reported
- Accounts
- 182reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.24 fund_share=0.0 institutional_share=0.4 related_bd=true related_bank=true 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
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••• F••• 9•no longer reported | Private Equity Fund | $257M | 164 | Mar 30, 2016 |
| S••••••• F••• 5•no longer reported | Other Private Fund | $230M | 1 | Mar 30, 2012 |
| S••••••• F••• 1•no longer reported | Other Private Fund | $218M | 3 | Sep 29, 2017 |
| S••••••• F••• 6•no longer reported | Other Private Fund | $48.7M | 1 | Mar 30, 2012 |
| S••••••• F••• 1• | Real Estate Fund | $13.8M | 5 | Mar 18, 2022 |
| S••••••• F••• 1• | Venture Capital Fund | $6.0M | 5 | Mar 18, 2022 |
| S••••••• F••• 8•no longer reported | Private Equity Fund | $1.3M | 37 | Mar 30, 2012 |
| S••••••• F••• 1•no longer reported | Real Estate Fund | $289,189 | 28 | Mar 30, 2016 |
Owners and control persons
Schedule A and B, latest filing
- B•••• J•••••••• A•••••• · Chief Investment Officercontrolsince 03/2008 · owns less than 5%
- P••••• D•••••• E•••• · Chief Executive Officercontrolsince 01/2013 · owns less than 5%
- S••••••• C••••••••• J••• · Chief Financial Officercontrolsince 07/2021 · owns less than 5%
- P••••• D•••••• E•••• · Controllercontrolsince 04/2018 · owns 50% to 75% of S••••••• C•••••• G•••• S•
- B•••••• D••••• A•••• · Chief Legal Officer And Chief Compliance Officersince 09/2014 · owns less than 5%
- C••••••• I•• · Head Of Investment Portfoliosince 03/2017 · owns less than 5%
Entity owners
- C•••••• M••••••••• L•••••• · Controllerdirect · owns 75% or more
- S••••••• C•••••• M••••••••• L•••••• ••• · Controllerdirect · owns 75% or more
- S••••••• C•••••• G•••• S• · Controllerindirect · owns 75% or more of S••••••• C•••••• S••••••••• S•
- S••••••• C•••••• S••••••••• S• · Controllerindirect · owns 75% or more of S••••••• C•••••• M••••••••• L•••••• •••
- C•••••• ••••••••• M•••••• L•• · Controllerdirect · owns 75% or more
- S••••••• C•••••• ••••••••• M•••••• L•• · Controllerdirect · owns 75% or more
Related persons
Schedule D 7.A
- E••••••• R••• E••••• O••••••••• G•pooled vehicle sponsorn
- C•••••• Shc Partners (US) LPinvestment adviserpooled vehicle sponsornRAUM $1.7B
- P•••••• S••••• G•••••• P•••••• S••••••bankn
- P•••••• S••••• U• R••• E••••• I• L•pooled vehicle sponsorn
- S•• V••••••• G•••••• P•••••• L••pooled vehicle sponsorn
- S••••••• C•••••• ••••••••• S•••investment advisery
Advisers that list S••••••• C••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Jul 17, 2026RAUM per account of $86,238,354 against a peer median of $1,534,512 (282 comparable advisers, 99.0th percentile, 52.8 robust deviations)peers: independent wealth managers, $5B to $20B (282) · 99% percentile
- affiliate changedChange between filings · filing Jul 17, 2026broker-dealer affiliate (Item 7.A.1): no on the filing of 2026-03-09, yes on the filing of 2026-07-17peers: independent wealth managers, $5B to $20B (289)
- affiliate changedChange between filings · filing Jul 17, 2026insurance affiliate (Item 7.A.10): no on the filing of 2026-03-09, yes on the filing of 2026-07-17peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Related broker-dealer · false to trueMar 9, 2026 to Jul 17, 2026
- Related insurance company · false to trueMar 9, 2026 to Jul 17, 2026
- Accounts · 188 to 182Mar 26, 2025 to Mar 9, 2026
- Advisory employees · 42 to 41Mar 26, 2025 to Mar 9, 2026
- Charity clients · 43 to 42Mar 26, 2025 to Mar 9, 2026
- Corporate clients · 16 to 19Mar 26, 2025 to Mar 9, 2026
- HNW clients · 116 to 108Mar 26, 2025 to Mar 9, 2026
- Assets in custody · 14195480.0 to unsetMar 26, 2025 to Mar 9, 2026
- Employees · 58 to 64Mar 26, 2025 to Mar 9, 2026
- Discretionary RAUM · $3.7B to $4.3BMar 26, 2025 to Mar 9, 2026
- HNW RAUM · $3.8B to $3.8BMar 26, 2025 to Mar 9, 2026
- Non-discretionary RAUM · $10B to $11BMar 26, 2025 to Mar 9, 2026
- Pooled vehicle RAUM · $14.2M to $19.8MMar 26, 2025 to Mar 9, 2026
- RAUM · $14B to $16BMar 26, 2025 to Mar 9, 2026
- Accounts · 182 to 188Sep 9, 2024 to Mar 26, 2025
- Advisory employees · 40 to 42Sep 9, 2024 to Mar 26, 2025
- Charity clients · 41 to 43Sep 9, 2024 to Mar 26, 2025
- Corporate clients · 14 to 16Sep 9, 2024 to Mar 26, 2025
- Assets in custody · unset to 14195480.0Sep 9, 2024 to Mar 26, 2025
- Employees · 57 to 58Sep 9, 2024 to Mar 26, 2025
- Financial planning clients · unset to Sep 9, 2024 to Mar 26, 2025
- HQ state · unset to Sep 9, 2024 to Mar 26, 2025
- Discretionary RAUM · $3.5B to $3.7BSep 9, 2024 to Mar 26, 2025
- HNW RAUM · $3.6B to $3.8BSep 9, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $8.6B to $10BSep 9, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $8.9M to $14.2MSep 9, 2024 to Mar 26, 2025
- RAUM · $12B to $14BSep 9, 2024 to Mar 26, 2025
- Corporate clients · 16 to 14Mar 28, 2024 to Sep 9, 2024
- Pooled vehicle clients · unset to 2.0Mar 28, 2024 to Sep 9, 2024
- Pooled vehicle RAUM · unset to 8871801.0Mar 28, 2024 to Sep 9, 2024
- Accounts · 177 to 182Nov 22, 2023 to Mar 28, 2024
- Advisory employees · 41 to 40Nov 22, 2023 to Mar 28, 2024
- Corporate clients · 12 to 16Nov 22, 2023 to Mar 28, 2024
- HNW clients · 128 to 116Nov 22, 2023 to Mar 28, 2024
- Employees · 64 to 57Nov 22, 2023 to Mar 28, 2024
- Discretionary RAUM · $3.3B to $3.5BNov 22, 2023 to Mar 28, 2024
- HNW RAUM · $3.5B to $3.6BNov 22, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $7.8B to $8.6BNov 22, 2023 to Mar 28, 2024
- RAUM · $11B to $12BNov 22, 2023 to Mar 28, 2024
- Accounts · 169 to 177Mar 18, 2022 to Mar 23, 2023
Signals
4 dated events
- S••••••• C••••••• L•• reported RAUM $11.1B, up 26% from $8.8B (2022-03-18 to 2023-03-23)Mar 23, 2023 · RAUM change · derived
- J••• C••••••••• S•••••• (Chief Financial Officer) appeared on Schedule A of S••••••• C••••••• L••Mar 18, 2022 · Control person joined · fact
- Hedley J••• Baron (Chief Financial Officer) no longer on Schedule A of S••••••• C••••••• L•• (listed 2021-03-26, absent 2022-03-18)Mar 18, 2022 · Control person left · inference
- S••••••• C••••••• L•• filed its initial SEC registration (Form ADV)Mar 16, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••••• C••••••• L•• · Private Equityshared crd · organization
- S••••••• C••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 44 207 7251800reportedpublic record, Form ADV, Jul 17, 2026
- Contact form
- corient.com/us/en/contact-usreportedpublished by the firm, firm site, Sep 16, 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
- Wealth manager with institutional or fund businessderiveda 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••••••• 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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