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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

S••••••• C•••••• A•••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 163210SEC 801-78151IAPD
Latest filing Mar 23, 2017
First filing on the tape May 29, 2013 · 10 filings
RAUM
$255M
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
8
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
5
$396M gross assets
History
10 filings and snapshots on the tape
RAUM$255M as of Mar 23, 2017
Jan 31, 2014$637M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2017
Jan 31, 20140 then
Employees (5.A)8 as of Mar 23, 2017
Jan 31, 201410 then
Private funds5 as of Mar 23, 2017
Jan 31, 20145 then
RAUM -34% over the last fiscal year-26% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 2017; 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
$84.9MderivedRAUM 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
-34%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
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
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
3reported
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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••••• C•••••• M••••• F••• L•••Hedge Fund$237M7Mar 22, 2012
      S••••••• C•••••• F••• L•••Hedge Fund$97.8M10Mar 22, 2012
      S••••••• C•••••• P•••••••• L•Hedge Fund$26.2M16Mar 22, 2012
      S••••••• C•••••• L••• O••• M••••• F•••• L•Hedge Fund$18.0M2Jan 31, 2014
      S••••••• C•••••• L••• O••• F••• L•••Hedge Fund$17.3M1Jan 31, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • T••••••• S••••••••• B• · Portfolio Manager, Limited Partnercontrol
        since 08/2011 · owns 50% to 75%
      • W••••• B•••••• · Director Of Research, Limited Partnercontrol
        since 08/2011 · owns 25% to 50%
      • T••••••• S••••••••• B• · Managing Membercontrol
        since 12/2013 · owns 50% to 75% of S••••••• C•••••• A••••••• •••• L••
      • W••••• B•••••• · Membercontrol
        since 12/2013 · owns 25% to 50% of S••••••• C•••••• A••••••• •••• L••
      • G••••••• J••••• W•••••• · Chief Operating Officer, Chief Financial Officer, Chief Compliance Officer
        since 09/2012 · owns less than 5%
      Entity owners
      • S••••••• C•••••• A••••••• •••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • S••••••• C••••••• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 7 to 6
        May 3, 2016 to Mar 23, 2017
      • Employees · 10 to 8
        May 3, 2016 to Mar 23, 2017
      • Discretionary RAUM · $386M to $255M
        May 3, 2016 to Mar 23, 2017
      • RAUM · $386M to $255M
        May 3, 2016 to Mar 23, 2017
      • Advisory employees · 6 to 7
        Apr 2, 2015 to Mar 28, 2016
      • Employees · 9 to 10
        Apr 2, 2015 to Mar 28, 2016
      • Discretionary RAUM · $756M to $386M
        Apr 2, 2015 to Mar 28, 2016
      • RAUM · $756M to $386M
        Apr 2, 2015 to Mar 28, 2016
      • Advisory employees · 7 to 6
        Dec 15, 2014 to Mar 19, 2015
      • Employees · 10 to 9
        Dec 15, 2014 to Mar 19, 2015
      • Discretionary RAUM · $637M to $756M
        Dec 15, 2014 to Mar 19, 2015
      • RAUM · $637M to $756M
        Dec 15, 2014 to Mar 19, 2015
      • Business name · S••••••• C•••••• A•••••••• L•• to S••••••• C•••••• A•••••••• L•
        Jan 31, 2014 to Mar 3, 2014
      • Legal name · S••••••• C•••••• A•••••••• L•• to S••••••• C•••••• A•••••••• L•
        Jan 31, 2014 to Mar 3, 2014
      • Succession · true to false
        Jan 31, 2014 to Mar 3, 2014
      • Accounts · 2 to 3
        May 30, 2013 to Jan 31, 2014
      • Advisory employees · 6 to 7
        May 30, 2013 to Jan 31, 2014
      • Employees · 9 to 10
        May 30, 2013 to Jan 31, 2014
      • Organization form · Limited Liability Company to Limited Partnership
        May 30, 2013 to Jan 31, 2014
      • Private funds · 3 to 5
        May 30, 2013 to Jan 31, 2014
      • Discretionary RAUM · $546M to $637M
        May 30, 2013 to Jan 31, 2014
      • RAUM · $546M to $637M
        May 30, 2013 to Jan 31, 2014
      • Succession · false to true
        May 30, 2013 to Jan 31, 2014
      • Private funds · 6 to 3
        May 29, 2013 to May 30, 2013
      Signals
      2 dated events
      • S••••••• C•••••• A•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Jan 31, 2014 · Succession (Item 4) · fact
      • S••••••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        May 29, 2013 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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