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••••• C••••••• L••
Latest filing Apr 12, 2023
First filing on the tape Apr 9, 2018 · 15 filings
RAUM
$68.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$68.1M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$68.1M gross assets
History
15 filings and snapshots on the tape
RAUM$68.1M as of Mar 10, 2023
Mar 29, 2019$149M then
HNW client RAUM$0 as of Mar 10, 2023
Mar 29, 2019$0 then
State-registered IARs (5.B.3)1 as of Mar 10, 2023
Mar 29, 20191 then
Employees (5.A)2 as of Mar 10, 2023
Mar 29, 20193 then
Private funds2 as of Mar 10, 2023
Mar 29, 20193 then
RAUM -49% over the last fiscal year-16% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 12, 2023; every figure names its basis
- RAUM per advisor
- $68.1MderivedRAUM 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
- $17.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -49%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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
- $68.1M, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$68.1M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $68.1M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• D•••• H••••••••• | Phoenix, Az | Oct 17, 2012 | 20 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••• C••••• P•••••••• L• | Hedge Fund | $62.2M | 19 | Mar 17, 2014 |
| S•••• C••••• S• 2•••• L••no longer reported | Hedge Fund | $48.5M | 3 | Mar 17, 2014 |
| B•••• L•• | Hedge Fund | $6.0M | 2 | Mar 17, 2014 |
Owners and control persons
Schedule A and B, latest filing
- H••••••••• B••••• D•••• · Managing Member/Chief Compliance Officercontrolsince 08/2006 · owns 75% or more
Related persons
Schedule D 7.A
- S•••• C••••• I••••••••• 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 · $133M to $68.1MJun 7, 2022 to Mar 10, 2023
- Discretionary RAUM · $133M to $68.1MJun 7, 2022 to Mar 10, 2023
- Pooled vehicle RAUM · $133M to $68.1MJun 7, 2022 to Mar 10, 2023
- RAUM · $133M to $68.1MJun 7, 2022 to Mar 10, 2023
- Assets in custody · $120M to $133MMar 15, 2021 to Feb 9, 2022
- Discretionary RAUM · $120M to $133MMar 15, 2021 to Feb 9, 2022
- Pooled vehicle RAUM · $120M to $133MMar 15, 2021 to Feb 9, 2022
- RAUM · $120M to $133MMar 15, 2021 to Feb 9, 2022
- Advisory employees · 2 to 1Mar 13, 2020 to Feb 17, 2021
- Assets in custody · $116M to $120MMar 13, 2020 to Feb 17, 2021
- Employees · 3 to 2Mar 13, 2020 to Feb 17, 2021
- Discretionary RAUM · $116M to $120MMar 13, 2020 to Feb 17, 2021
- Pooled vehicle RAUM · $116M to $120MMar 13, 2020 to Feb 17, 2021
- RAUM · $116M to $120MMar 13, 2020 to Feb 17, 2021
- Accounts · 6 to 4Apr 9, 2019 to Mar 13, 2020
- Pooled vehicle clients · 3 to 2Apr 9, 2019 to Mar 13, 2020
- Assets in custody · $149M to $116MApr 9, 2019 to Mar 13, 2020
- Private funds · 3 to 2Apr 9, 2019 to Mar 13, 2020
- Discretionary RAUM · $149M to $116MApr 9, 2019 to Mar 13, 2020
- Pooled vehicle RAUM · $149M to $116MApr 9, 2019 to Mar 13, 2020
- RAUM · $149M to $116MApr 9, 2019 to Mar 13, 2020
- Assets in custody · $155M to $149MApr 9, 2018 to Mar 29, 2019
- Private funds · 6 to 3Apr 9, 2018 to Mar 29, 2019
- Discretionary RAUM · $155M to $149MApr 9, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $155M to $149MApr 9, 2018 to Mar 29, 2019
- RAUM · $155M to $149MApr 9, 2018 to Mar 29, 2019
Signals
1 dated events
- S•••• C••••• C••••••• L•• filed its initial SEC registration (Form ADV)Apr 9, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••• C••••• C••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- S••••C•••••CAPITAL.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
- $68.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026