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•••••• M••••••••• L••

Former SEC-registered adviserSeal Beach, CaliforniaCRD 164195SEC 801-77001IAPD
Latest filing Aug 24, 2015
First filing on the tape Jul 31, 2012 · 19 filings
RAUM
$40.0M
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$40.0M as of Mar 11, 2015
May 31, 2013$35.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 11, 2015
May 31, 20131 then
Employees (5.A)1 as of Mar 11, 2015
May 31, 20136 then
Private funds: no history
RAUM -13% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Aug 24, 2015; every figure names its basis
RAUM per advisor
$40.0MderivedRAUM 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
$370,370derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-13%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, otherreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
108reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • K•••••••• R•••••• O•••• · Chief Compliance Officercontrol
        since 09/1996 · owns less than 5%
      • K•••••••• R•••••• O•••• · General Partner Is R••••• K•••••••control
        since 08/1990 · owns F of Ina D••• Acquisition LP
      Entity owners
      • I•• D••• A•••••••• L• · Owner / General Partner = R••••• K•••••••
        direct · owns 75% or more
      • O• W• K••••••• I••••••••• T•••••• R••••• K••••••• T•••••• · T••••••
        indirect · owns F of O. W. K••••••• I••••••••• Trust
      Related persons
      Schedule D 7.A
      Advisers that list S••••• C•••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Insurance-licensed employees · 0 to 1
        Apr 21, 2015 to Apr 28, 2015
      • Accounts · 173 to 108
        Nov 13, 2014 to Mar 11, 2015
      • Advisory activities · 2 to 1
        Nov 13, 2014 to Mar 11, 2015
      • Discretionary RAUM · $46.0M to $40.0M
        Nov 13, 2014 to Mar 11, 2015
      • RAUM · $46.0M to $40.0M
        Nov 13, 2014 to Mar 11, 2015
      • Advisory activities · 3 to 2
        Nov 22, 2013 to Jan 8, 2014
      • Employees · 6 to 1
        Nov 22, 2013 to Jan 8, 2014
      • Insurance-licensed employees · 1 to 0
        Nov 22, 2013 to Jan 8, 2014
      • Accounts · 60 to 173
        Jun 6, 2013 to Nov 22, 2013
      • Discretionary RAUM · $35.0M to $46.0M
        Jun 6, 2013 to Nov 22, 2013
      • RAUM · $35.0M to $46.0M
        Jun 6, 2013 to Nov 22, 2013
      • Accounts · 1,000 to 60
        Aug 8, 2012 to May 31, 2013
      • Advisory employees · unset to 1.0
        Aug 8, 2012 to May 31, 2013
      • BD registered reps · unset to 0.0
        Aug 8, 2012 to May 31, 2013
      • Employees · unset to 6.0
        Aug 8, 2012 to May 31, 2013
      • State-registered IARs · unset to 1.0
        Aug 8, 2012 to May 31, 2013
      • Discretionary RAUM · $90.0M to $35.0M
        Aug 8, 2012 to May 31, 2013
      • RAUM · $90.0M to $35.0M
        Aug 8, 2012 to May 31, 2013
      • Advisory activities · 2 to 3
        Jul 31, 2012 to Aug 8, 2012
      • Commission compensation · true to false
        Jul 31, 2012 to Aug 8, 2012
      • Related adviser · false to true
        Jul 31, 2012 to Aug 8, 2012
      • Related broker-dealer · true to false
        Jul 31, 2012 to Aug 8, 2012
      Signals
      1 dated events
      • S••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jul 31, 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