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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SEC-registered adviser
S•••• C•••••• M••••••••• L••
Latest filing Feb 13, 2026
First filing on the tape Jun 30, 2022 · 8 filings
SEC status approved since Aug 3, 2022
RAUM
$129M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
53%
$68.4M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$129M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$129M as of Feb 13, 2026
Mar 27, 2023$95.2M then
HNW client RAUM$64.2M as of Feb 13, 2026
Mar 27, 2023$23.0M then
State-registered IARs (5.B.3)1 as of Feb 13, 2026
Mar 27, 20231 then
Employees (5.A)2 as of Feb 13, 2026
Mar 27, 20231 then
Private funds2 as of Feb 13, 2026
Mar 27, 20232 then
RAUM +22% over the last fiscal year+11% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 13, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $129MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 88derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%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
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +17%derived
- Compensation
- percentage of assets, subscription, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, publicationsreportedItem 5.G
- Custody
- $61.0M, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$64.2M50%
- Pooled investment vehicles$61.0M47%
- Individuals$4.1M3.2%
- Individual clients
- 39reported
- HNW clients
- 49reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 123reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $61.0M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.53 fund_share=0.47 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• H••••• H•••• | Fuquay Varina, Nc | Feb 11, 2013 | 16 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••• C•••••• P•••••••• L• | Hedge Fund | $28.7M | 72 | Jun 30, 2022 |
| S•••• C•••••• P••••••• I•• L• | Hedge Fund | $8.4M | 30 | Jun 30, 2022 |
Owners and control persons
Schedule A and B, latest filing
- H••••• J•••• H••••• · Managing Member And Chief Compliance Officercontrolsince 10/2012 · owns 75% or more
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
- Accounts · 115 to 123Apr 1, 2025 to Feb 13, 2026
- HNW clients · 50 to 49Apr 1, 2025 to Feb 13, 2026
- Individual clients · 25 to 39Apr 1, 2025 to Feb 13, 2026
- Assets in custody · $46.5M to $61.0MApr 1, 2025 to Feb 13, 2026
- Discretionary RAUM · $104M to $128MApr 1, 2025 to Feb 13, 2026
- HNW RAUM · $56.4M to $64.2MApr 1, 2025 to Feb 13, 2026
- Individual RAUM · $2.8M to $4.1MApr 1, 2025 to Feb 13, 2026
- Non-discretionary RAUM · $1.5M to $1.4MApr 1, 2025 to Feb 13, 2026
- Pooled vehicle RAUM · $46.5M to $61.0MApr 1, 2025 to Feb 13, 2026
- RAUM · $106M to $129MApr 1, 2025 to Feb 13, 2026
- Accounts · 71 to 115Jun 26, 2024 to Apr 1, 2025
- HNW clients · 46 to 50Jun 26, 2024 to Apr 1, 2025
- Individual clients · 23 to 25Jun 26, 2024 to Apr 1, 2025
- Assets in custody · $37.1M to $46.5MJun 26, 2024 to Apr 1, 2025
- Employees · 1 to 2Jun 26, 2024 to Apr 1, 2025
- Financial planning clients · unset to Jun 26, 2024 to Apr 1, 2025
- Discretionary RAUM · $87.0M to $104MJun 26, 2024 to Apr 1, 2025
- HNW RAUM · $51.2M to $56.4MJun 26, 2024 to Apr 1, 2025
- Individual RAUM · $2.2M to $2.8MJun 26, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $3.6M to $1.5MJun 26, 2024 to Apr 1, 2025
- Pooled vehicle RAUM · $37.1M to $46.5MJun 26, 2024 to Apr 1, 2025
- RAUM · $90.6M to $106MJun 26, 2024 to Apr 1, 2025
- Accounts · 93 to 71May 31, 2024 to Jun 26, 2024
- HNW clients · 59 to 46May 31, 2024 to Jun 26, 2024
- Individual clients · 36 to 23May 31, 2024 to Jun 26, 2024
- Assets in custody · $36.5M to $37.1MMay 31, 2024 to Jun 26, 2024
- Discretionary RAUM · $82.6M to $87.0MMay 31, 2024 to Jun 26, 2024
- HNW RAUM · $44.4M to $51.2MMay 31, 2024 to Jun 26, 2024
- Individual RAUM · $2.7M to $2.2MMay 31, 2024 to Jun 26, 2024
- Non-discretionary RAUM · $1.0M to $3.6MMay 31, 2024 to Jun 26, 2024
- Pooled vehicle RAUM · $36.5M to $37.1MMay 31, 2024 to Jun 26, 2024
- RAUM · $83.6M to $90.6MMay 31, 2024 to Jun 26, 2024
- Accounts · 86 to 93Mar 27, 2023 to Mar 27, 2024
- Advisory activities · 3 to 4Mar 27, 2023 to Mar 27, 2024
- HNW clients · 55 to 59Mar 27, 2023 to Mar 27, 2024
- Individual clients · 28 to 36Mar 27, 2023 to Mar 27, 2024
- Assets in custody · $22.2M to $36.5MMar 27, 2023 to Mar 27, 2024
- Discretionary RAUM · $94.6M to $82.6MMar 27, 2023 to Mar 27, 2024
- HNW RAUM · $23.0M to $44.4MMar 27, 2023 to Mar 27, 2024
- Individual RAUM · $1.8M to $2.7MMar 27, 2023 to Mar 27, 2024
Signals
1 dated events
- S•••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 30, 2022 · 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.
How to reach
public business contact points only, each with its source
- Website
- S••••CAPITALMGT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 919-610-6809reportedpublic record, Form ADV, Feb 13, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $129Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026