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•••••• L••••••

Former SEC-registered adviserLondon, CRD 167253SEC 801-77913IAPD
Latest filing Mar 27, 2018
First filing on the tape Apr 1, 2013 · 7 filings
RAUM
$307M
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
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$307M as of Mar 27, 2018
Mar 31, 2014$508M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2018
Mar 31, 20140 then
Employees (5.A)6 as of Mar 27, 2018
Mar 31, 201421 then
Private funds: no history
RAUM -5.4% over the last fiscal year-25% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2018; 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
$12.3MderivedRAUM 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
-5.4%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
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$307M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
25reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• R•••••• · Directorcontrol
        since 07/2015 · owns less than 5%
      • M•••••••• C••••••••• P••• · Director And Chief Compliance Officercontrol
        since 10/2008 · owns less than 5%
      • R••••• I••••••• •••• P•• · Directorcontrol
        since 10/2008 · owns less than 5%
      • R••••• I••••••• ••••• · Shareholdercontrol
        since 09/2008 · owns 75% or more of S•• M••••••••• L•••
      • R••••• I••••••• ••••• · Shareholdercontrol
        since 08/2012 · owns 50% to 75% of S••••• F••• O• F•••• M••••••••• H••••••• L•••
      • R••••• I••••••• ••••• · Shareholdercontrol
        since 07/2008 · owns F of S••••• F•• O••••••• H••••••• L•••
      Entity owners
      • S••••• F••• O• F•••• M••••••••• L••• · Owner
        direct · owns 75% or more
      • S••••• F••• O• F•••• M••••••••• H••••••• L••• · Shareholder
        indirect · owns 75% or more of S••••• F••• O• F•••• M••••••••• L•••
      • S•• H••••••• 4• L••• · Shareholder
        indirect · owns 50% to 75% of S••••• F•• O••••••• H••••••• L•••
      • S•• M••••••••• L••• · Shareholder
        indirect · owns F of S•• H••••••• 4• L•••
      • S••••• F•• O••••••• H••••••• L••• · Shareholder
        indirect · owns 25% to 50% of S••••• F••• O• F•••• M••••••••• H••••••• L•••
      Related persons
      Schedule D 7.A
      Advisers that list S••••• C•••••• L•••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 27 to 25
        Mar 31, 2017 to Mar 27, 2018
      • Corporate clients · unset to 1.0
        Mar 31, 2017 to Mar 27, 2018
      • Pooled vehicle clients · unset to 25.0
        Mar 31, 2017 to Mar 27, 2018
      • Employees · 5 to 6
        Mar 31, 2017 to Mar 27, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 27, 2018
      • Discretionary RAUM · $0 to $307M
        Mar 31, 2017 to Mar 27, 2018
      • Non-discretionary RAUM · $324M to $0
        Mar 31, 2017 to Mar 27, 2018
      • Pooled vehicle RAUM · unset to 306574396.0
        Mar 31, 2017 to Mar 27, 2018
      • RAUM · $324M to $307M
        Mar 31, 2017 to Mar 27, 2018
      • Accounts · 7 to 27
        Sep 29, 2016 to Mar 31, 2017
      • Advisory employees · 3 to 2
        Sep 29, 2016 to Mar 31, 2017
      • Employees · 6 to 5
        Sep 29, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $243M to $324M
        Sep 29, 2016 to Mar 31, 2017
      • RAUM · $243M to $324M
        Sep 29, 2016 to Mar 31, 2017
      • Accounts · 3 to 7
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 8 to 3
        Mar 31, 2015 to Mar 30, 2016
      • Advisory activities · 3 to 2
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 17 to 6
        Mar 31, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $713M to $243M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $713M to $243M
        Mar 31, 2015 to Mar 30, 2016
      • Accounts · 4 to 3
        Mar 31, 2014 to Mar 31, 2015
      • Employees · 21 to 17
        Mar 31, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $508M to $713M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $508M to $713M
        Mar 31, 2014 to Mar 31, 2015
      • Accounts · 2 to 4
        Apr 1, 2013 to Mar 31, 2014
      • Advisory employees · 17 to 8
        Apr 1, 2013 to Mar 31, 2014
      • Advisory activities · 2 to 3
        Apr 1, 2013 to Mar 31, 2014
      • Employees · 23 to 21
        Apr 1, 2013 to Mar 31, 2014
      • Non-discretionary RAUM · $2.2B to $508M
        Apr 1, 2013 to Mar 31, 2014
      • RAUM · $2.2B to $508M
        Apr 1, 2013 to Mar 31, 2014
      Signals
      1 dated events
      • S••••• C•••••• L•••••• filed its initial SEC registration (Form ADV)
        Apr 1, 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.
      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