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•••••• P••••••• I•• L••

Former SEC-registered adviserNeedham Heights, MassachusettsCRD 166574SEC 801-77561IAPD
Latest filing May 6, 2016
First filing on the tape Jan 8, 2013 · 13 filings
RAUM
$286M
reported, Item 5.F
Discretionary
61%
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
14
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$177M gross assets
History
13 filings and snapshots on the tape
RAUM$286M as of Nov 30, 2015
Dec 26, 2013$553M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Nov 30, 2015
Dec 26, 20130 then
Employees (5.A)14 as of Nov 30, 2015
Dec 26, 201333 then
Private funds3 as of Nov 30, 2015
Dec 26, 20133 then
RAUM -69% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 6, 2016; 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
$35.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
61%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
-69%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • 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
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•••• C•• 2•••••• L•••Securitized Asset Fund$175M17May 17, 2013
      M•• C••••• O••••••••• F••• I• L••Private Equity Fund$1.3M6Oct 1, 2013
      Y•• I• L••Private Equity Fund$675,0003Jan 8, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • D••••• B••••••• M••••• · Chief Compliance Officercontrol
        since 05/2016 · owns less than 5%
      • S•••••• K••• · Presidentcontrol
        since 04/2015 · owns less than 5%
      Entity owners
      • S•••• C•••••• P•••••••• L•• · Managing Member
        direct · owns 75% or more
      • F• H••••• I• L••• · Managing Member
        indirect · owns 75% or more of H•• A•••• M••••••••• H•••••••• L••
      • H•• A•••• M••••••••• H•••••••• L•• · Managing Member
        indirect · owns 75% or more of S•••• C•••••• P•••••••• L••
      • H•• G•••• I••• · Shareholder
        indirect · owns 75% or more of F• H••••• I• L••• · public reporting company
      Related persons
      Schedule D 7.A
      • C••••••••• C••••••• L••
        investment advisernRAUM $1.1B
      • E••••• • I••••••••• C•••••• L••
        investment advisern
      • F••••••• • G••••••• L•••
        real estaten
      • F••••••• • G••••••• L••• I•••••••• C••••••
        real estaten
      • F••••••• • G••••••• L••• I•••••••• C•••••• O• N•• Y•••
        real estaten
      • F•••• S••••• R• ••••••• L•••
        real estaten
      • F•••• S••••• R• L•••
        real estaten
      • R•••• R••••••••• C••••••
        real estaten
      • S•••• C•••••• P•••••••• L••
        investment advisery
      Advisers that list S•••• C•••••• P••••••• I•• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 7 to 8
        Jul 16, 2015 to Nov 30, 2015
      • Advisory employees · 10 to 1
        Jul 16, 2015 to Nov 30, 2015
      • Employees · 46 to 14
        Jul 16, 2015 to Nov 30, 2015
      • Discretionary RAUM · $433M to $175M
        Jul 16, 2015 to Nov 30, 2015
      • Non-discretionary RAUM · $362M to $111M
        Jul 16, 2015 to Nov 30, 2015
      • RAUM · $795M to $286M
        Jul 16, 2015 to Nov 30, 2015
      • Discretionary RAUM · $550M to $433M
        Apr 30, 2015 to Jul 16, 2015
      • Non-discretionary RAUM · $364M to $362M
        Apr 30, 2015 to Jul 16, 2015
      • RAUM · $914M to $795M
        Apr 30, 2015 to Jul 16, 2015
      • Accounts · 4 to 7
        Sep 22, 2014 to Dec 15, 2014
      • Advisory employees · 13 to 10
        Sep 22, 2014 to Dec 15, 2014
      • Assets in custody · $550M to $0
        Sep 22, 2014 to Dec 15, 2014
      • Employees · 33 to 46
        Sep 22, 2014 to Dec 15, 2014
      • Discretionary RAUM · $553M to $550M
        Sep 22, 2014 to Dec 15, 2014
      • Non-discretionary RAUM · $0 to $364M
        Sep 22, 2014 to Dec 15, 2014
      • RAUM · $553M to $914M
        Sep 22, 2014 to Dec 15, 2014
      • Advisory employees · 9 to 13
        Oct 1, 2013 to Dec 26, 2013
      • Assets in custody · $485M to $550M
        Oct 1, 2013 to Dec 26, 2013
      • Employees · 35 to 33
        Oct 1, 2013 to Dec 26, 2013
      • Discretionary RAUM · $488M to $553M
        Oct 1, 2013 to Dec 26, 2013
      • RAUM · $488M to $553M
        Oct 1, 2013 to Dec 26, 2013
      • Accounts · 2 to 4
        May 17, 2013 to Oct 1, 2013
      • Advisory activities · 1 to 2
        May 17, 2013 to Oct 1, 2013
      • Assets in custody · $229M to $485M
        May 17, 2013 to Oct 1, 2013
      • Employees · 25 to 35
        May 17, 2013 to Oct 1, 2013
      • Private funds · 2 to 3
        May 17, 2013 to Oct 1, 2013
      • Discretionary RAUM · $230M to $488M
        May 17, 2013 to Oct 1, 2013
      • RAUM · $230M to $488M
        May 17, 2013 to Oct 1, 2013
      • Accounts · 1 to 2
        Jan 30, 2013 to May 17, 2013
      • Advisory employees · 4 to 9
        Jan 30, 2013 to May 17, 2013
      • Assets in custody · unset to 229296962.0
        Jan 30, 2013 to May 17, 2013
      • Custody of client assets · false to true
        Jan 30, 2013 to May 17, 2013
      • Employees · 20 to 25
        Jan 30, 2013 to May 17, 2013
      • Private funds · 1 to 2
        Jan 30, 2013 to May 17, 2013
      • Discretionary RAUM · $675,000 to $230M
        Jan 30, 2013 to May 17, 2013
      • RAUM · $675,000 to $230M
        Jan 30, 2013 to May 17, 2013
      Signals
      1 dated events
      • S•••• C•••••• P••••••• I•• L•• filed its initial SEC registration (Form ADV)
        Jan 8, 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