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•••• M••• C•••••• P•••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 162881SEC 801-108101IAPD
Legal name S•••• M••• C•••••• P••••••• L•
Latest filing Jul 3, 2019
First filing on the tape Jun 30, 2016 · 8 filings
RAUM
$120M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$120M gross assets
History
8 filings and snapshots on the tape
RAUM$120M as of Mar 29, 2019
Mar 31, 2017$150M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 31, 20170 then
Employees (5.A)4 as of Mar 29, 2019
Mar 31, 20174 then
Private funds4 as of Mar 29, 2019
Mar 31, 20174 then
RAUM -27% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 3, 2019; 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
$30.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-27%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, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$120M, 4 clientsreportedItem 9.A
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
  • Pooled investment vehicles$120M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$120M for 4 clientsreported
Compensation
% of AUMreported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•••• M••• C•••••• P••••••• S•••••• O••••••••• F•••• L••••• S•••• M••• C•••••• P••••••• F••• I•• L••Private Equity Fund$21.0M3Mar 31, 2014
      S•••• M••• C••••••••• S••• L•Private Equity Fund$19.5M4Mar 30, 2016
      S•••• M••• C••••••••• S••• L•Private Equity Fund$1.5M5Mar 31, 2014
      S•••• M••• C•••••• P••••••• F••••••• F•••• L•••Private Equity Fund$58,2372Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••••• V••••••• P••••••• · Managing Partnercontrol
        since 10/2011 · owns 75% or more
      • P••••••••• C••••• N•• · Chief Compliance Officercontrol
        since 10/2011 · owns less than 5%
      • F•••••••• C•••••• L• •• O•••• · LP
        since 03/2013 · owns less than 5%
      Related persons
      Schedule D 7.A
      • S•••• M••• C•••••• P••••••• G• I•• L••
        pooled vehicle sponsorn
      • S•••• M••• C•••••• P••••••• G•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $164M to $120M
        Jul 20, 2018 to Mar 29, 2019
      • Discretionary RAUM · $164M to $120M
        Jul 20, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $164M to $120M
        Jul 20, 2018 to Mar 29, 2019
      • RAUM · $164M to $120M
        Jul 20, 2018 to Mar 29, 2019
      • Pooled vehicle clients · unset to 4.0
        Jul 18, 2017 to Mar 30, 2018
      • Assets in custody · $150M to $164M
        Jul 18, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Jul 18, 2017 to Mar 30, 2018
      • Discretionary RAUM · $150M to $164M
        Jul 18, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 164487938.0
        Jul 18, 2017 to Mar 30, 2018
      • RAUM · $150M to $164M
        Jul 18, 2017 to Mar 30, 2018
      • Advisory employees · 5 to 3
        Aug 8, 2016 to Mar 31, 2017
      • Assets in custody · $220M to $150M
        Aug 8, 2016 to Mar 31, 2017
      • Employees · 6 to 4
        Aug 8, 2016 to Mar 31, 2017
      • Discretionary RAUM · $220M to $150M
        Aug 8, 2016 to Mar 31, 2017
      • RAUM · $220M to $150M
        Aug 8, 2016 to Mar 31, 2017
      • Business name · S•••• M••• C•••••• P•••••••• L•• to S•••• M••• C•••••• P•••••••• L•
        Jun 30, 2016 to Aug 8, 2016
      • Private funds · 8 to 4
        Jun 30, 2016 to Aug 8, 2016
      Signals
      1 dated events
      • S•••• M••• C•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 30, 2016 · 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••••M•••CP.COMreportedpublic record, Form ADV, Sep 19, 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