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 Jul 8, 2026
First filing on the tape Apr 2, 2013 · 19 filings
SEC status approved since Apr 10, 2013
RAUM
$298M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$298M as of Jul 8, 2026
Mar 31, 2014$596M then
HNW client RAUM$0 as of Jul 31, 2025
Mar 30, 2019$0 then
State-registered IARs (5.B.3)0 as of Jul 8, 2026
Mar 31, 20140 then
Employees (5.A)4 as of Jul 8, 2026
Mar 31, 20148 then
Private funds4 as of Jul 8, 2026
Mar 31, 20142 then
RAUM -47% over the last fiscal year-35% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 8, 2026; 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
- $49.7MderivedRAUM 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
- -47%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
- 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)
- 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)
- 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
- Pooled investment vehicles$298M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
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
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••• C•••••• D••••••• F••• L•no longer reported | Hedge Fund | $321M | 25 | Apr 2, 2013 |
| I•• F••• L• | Hedge Fund | $320M | 1 | Mar 31, 2021 |
| S•••••• C•••••• H•••••• F••• L• | Hedge Fund | $233M | 1 | Mar 30, 2020 |
| S•••••• C•••••• O••••••• M••••• F••• L• | Hedge Fund | $188M | 28 | Apr 2, 2013 |
| S•••••• C•••••• C••••••• F••• L•• | Hedge Fund | $153M | 1 | Mar 29, 2018 |
| S•••••• C•••••• A••••• F••• L•• | Hedge Fund | $59.4M | 3 | Mar 30, 2020 |
| S•••••• C•••••• M••••• F••• I• L• | Hedge Fund | $12.4M | 11 | Mar 31, 2021 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• P••••••• E•••• · Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
- D•••••• A••••••••• J••• · Chief Executive Officer/Chief Investment Officercontrolsince 04/2013 · owns 75% or more
- D••••••• M•••• A•••••• · Chief Legal Officer/General Counselcontrolsince 04/2013 · owns less than 5%
- D•••••• A••••••••• J••• · Managing Membercontrolsince 04/2013 · owns 75% or more of S•••••• C•••••• M••••••••• G• L••
Entity owners
- S•••••• C•••••• M••••••••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- S•••••• C•••••• F••• G• L•bankpooled vehicle sponsorn
- S•••••• C•••••• O••••••• F••• G• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $558,626,069 to $298,342,350 (-47.0%) between the annual amendments of 2025-04-21 and 2026-03-31; the peer median change was +4.0% (1147 comparable advisers, 4.0th percentile of changes)peers: asset managers, $100M to $500M (1,147) · 4.0% percentile
- employee count dropChange between filings · filing Mar 31, 2026employees (Item 5.A) moved from 10.0 to 4.0 (-60.0%) between the annual amendments of 2025-04-21 and 2026-03-31; the peer median change was 0.0% (393 comparable advisers, 1.0th percentile of changes)peers: asset managers, $100M to $500M (393) · 1.3% percentile
What changed
consecutive filings, newest first
- Accounts · 10 to 6Jul 31, 2025 to Mar 31, 2026
- Advisory employees · 6 to 3Jul 31, 2025 to Mar 31, 2026
- Charity clients · 0.0 to unsetJul 31, 2025 to Mar 31, 2026
- Corporate clients · 0.0 to unsetJul 31, 2025 to Mar 31, 2026
- HNW clients · 0.0 to unsetJul 31, 2025 to Mar 31, 2026
- Individual clients · 0.0 to unsetJul 31, 2025 to Mar 31, 2026
- Pension plan clients · 0.0 to unsetJul 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 9 to 6Jul 31, 2025 to Mar 31, 2026
- Employees · 10 to 4Jul 31, 2025 to Mar 31, 2026
- Private funds · 5 to 4Jul 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $559M to $298MJul 31, 2025 to Mar 31, 2026
- HNW RAUM · 0.0 to unsetJul 31, 2025 to Mar 31, 2026
- Individual RAUM · 0.0 to unsetJul 31, 2025 to Mar 31, 2026
- Pension RAUM · 0.0 to unsetJul 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $550M to $298MJul 31, 2025 to Mar 31, 2026
- RAUM · $559M to $298MJul 31, 2025 to Mar 31, 2026
- Financial planning clients · unset to Apr 21, 2025 to Jul 31, 2025
- Advisory activities · 1 to 2Mar 29, 2024 to Apr 21, 2025
- Discretionary RAUM · $927M to $559MMar 29, 2024 to Apr 21, 2025
- Pooled vehicle RAUM · $907M to $550MMar 29, 2024 to Apr 21, 2025
- RAUM · $927M to $559MMar 29, 2024 to Apr 21, 2025
- Accounts · 12 to 10Mar 31, 2023 to Mar 29, 2024
- Pooled vehicle clients · 11 to 9Mar 31, 2023 to Mar 29, 2024
- Employees · 11 to 10Mar 31, 2023 to Mar 29, 2024
- Private funds · 6 to 5Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.1B to $927MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $1.0B to $907MMar 31, 2023 to Mar 29, 2024
- RAUM · $1.1B to $927MMar 31, 2023 to Mar 29, 2024
- Employees · 13 to 11Sep 20, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.3B to $1.1BSep 20, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.3B to $1.0BSep 20, 2022 to Mar 31, 2023
- RAUM · $1.3B to $1.1BSep 20, 2022 to Mar 31, 2023
- Accounts · 11 to 12Mar 31, 2021 to Mar 31, 2022
- Pooled vehicle clients · 10 to 11Mar 31, 2021 to Mar 31, 2022
- Assets in custody · $1.2B to $0Mar 31, 2021 to Mar 31, 2022
- Employees · 12 to 13Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $1.4B to $1.3BMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $1.2B to $1.3BMar 31, 2021 to Mar 31, 2022
- RAUM · $1.4B to $1.3BMar 31, 2021 to Mar 31, 2022
- Accounts · 7 to 11Mar 30, 2020 to Mar 31, 2021
Signals
6 dated events
- S•••••• C•••••• M••••••••• L• reported RAUM $298.3M, down 47% from $558.6M (2025-07-31 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- S•••••• C•••••• M••••••••• L• reported RAUM $558.6M, down 40% from $927.0M (2024-03-29 to 2025-04-21)Apr 21, 2025 · RAUM change · derived
- Nelson Eric Vincent (President) no longer on Schedule A of S•••••• C•••••• M••••••••• L• (listed 2022-09-20, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Nelson Eric Vincent (President) appeared on Schedule A of S•••••• C•••••• M••••••••• L•Mar 30, 2020 · Control person joined · fact
- S•••••• C•••••• M••••••••• L• reported RAUM $1.3B, up 100% from $643.9M (2019-03-30 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- S•••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Apr 2, 2013 · 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••••••CAP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-302-2330reportedpublic record, Form ADV, Jul 8, 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
- Asset manager (funds and pooled vehicles)deriveda 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