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••••••

Former SEC-registered adviserNew York, New YorkCRD 163702SEC 801-76955IAPD
Legal name S••••• C•••••• L••
Latest filing Mar 30, 2020
First filing on the tape Jul 19, 2012 · 11 filings
RAUM
$38.1M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$38.1M gross assets
History
11 filings and snapshots on the tape
RAUM$38.1M as of Mar 30, 2020
Mar 28, 2013$96.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 28, 20130 then
Employees (5.A)2 as of Mar 30, 2020
Mar 28, 20135 then
Private funds1 as of Mar 30, 2020
Mar 28, 20133 then
RAUM +7.1% over the last fiscal year-7.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2020; 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
$12.7MderivedRAUM 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
+7.1%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
$38.1M, 2 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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$38.1M100%
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
$38.1M for 2 clientsreported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••• I••••••••• L•••no longer reportedHedge Fund$43.0M7Mar 30, 2012
      S••••• G••••• M••••• L•••Hedge Fund$33.5M3Mar 30, 2012
      S••••• G••••• L•••no longer reportedHedge Fund$26.6M3Mar 30, 2016
      S••••• P••••••• L•no longer reportedHedge Fund$808,1043Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F••••• A•••••••• · Managing Membercontrol
        since 08/2008 · owns 75% or more
      • P•••••• F••••••• · Cco,Cfocontrol
        since 09/2008 · owns less than 5%
      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 · $34.5M to $38.1M
        Apr 11, 2019 to Mar 30, 2020
      • Discretionary RAUM · $35.6M to $38.1M
        Apr 11, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $35.6M to $38.1M
        Apr 11, 2019 to Mar 30, 2020
      • RAUM · $35.6M to $38.1M
        Apr 11, 2019 to Mar 30, 2020
      • Assets in custody · $29.6M to $34.5M
        Mar 30, 2018 to Apr 11, 2019
      • Discretionary RAUM · $59.1M to $35.6M
        Mar 30, 2018 to Apr 11, 2019
      • Pooled vehicle RAUM · $59.1M to $35.6M
        Mar 30, 2018 to Apr 11, 2019
      • RAUM · $59.1M to $35.6M
        Mar 30, 2018 to Apr 11, 2019
      • Accounts · 2 to 3
        Nov 1, 2017 to Mar 30, 2018
      • Pooled vehicle clients · 2 to 3
        Nov 1, 2017 to Mar 30, 2018
      • Assets in custody · $28.1M to $29.6M
        Nov 1, 2017 to Mar 30, 2018
      • Private funds · 2 to 1
        Nov 1, 2017 to Mar 30, 2018
      • Discretionary RAUM · $48.8M to $59.1M
        Nov 1, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · $48.8M to $59.1M
        Nov 1, 2017 to Mar 30, 2018
      • RAUM · $48.8M to $59.1M
        Nov 1, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 2.0
        Mar 31, 2017 to Nov 1, 2017
      • Other offices · unset to 0.0
        Mar 31, 2017 to Nov 1, 2017
      • Pooled vehicle RAUM · unset to 48827551.0
        Mar 31, 2017 to Nov 1, 2017
      • Assets in custody · unset to 28132468.0
        Mar 30, 2016 to Mar 31, 2017
      • Custody of client assets · false to true
        Mar 30, 2016 to Mar 31, 2017
      • Employees · 3 to 2
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $38.0M to $48.8M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $38.0M to $48.8M
        Mar 30, 2016 to Mar 31, 2017
      • Related bank · true to false
        Mar 30, 2016 to Mar 31, 2017
      • Accounts · 3 to 2
        Mar 31, 2015 to Mar 30, 2016
      • Private funds · 3 to 2
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $54.3M to $38.0M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $54.3M to $38.0M
        Mar 31, 2015 to Mar 30, 2016
      • Accounts · 4 to 3
        Mar 31, 2014 to Mar 31, 2015
      • Advisory employees · 3 to 2
        Mar 31, 2014 to Mar 31, 2015
      • Advisory activities · 2 to 1
        Mar 31, 2014 to Mar 31, 2015
      • Employees · 5 to 3
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $83.0M to $54.3M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $83.0M to $54.3M
        Mar 31, 2014 to Mar 31, 2015
      • Accounts · 5 to 4
        Mar 28, 2013 to Mar 31, 2014
      • Advisory activities · 3 to 2
        Mar 28, 2013 to Mar 31, 2014
      • Discretionary RAUM · $96.1M to $83.0M
        Mar 28, 2013 to Mar 31, 2014
      • RAUM · $96.1M to $83.0M
        Mar 28, 2013 to Mar 31, 2014
      • Accounts · 3 to 5
        Jul 23, 2012 to Mar 28, 2013
      • Advisory employees · unset to 3.0
        Jul 23, 2012 to Mar 28, 2013
      Signals
      1 dated events
      • S••••• C•••••• filed its initial SEC registration (Form ADV)
        Jul 19, 2012 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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