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Former SEC-registered adviser

S••••••••• C•••••• P••••••• L••

Former SEC-registered adviserHouston, TexasCRD 169673SEC 801-78858IAPD
Latest filing Mar 31, 2021
First filing on the tape Nov 19, 2013 · 26 filings
RAUM
$507M
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
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$174M gross assets
History
26 filings and snapshots on the tape
RAUM$507M as of Mar 29, 2021
Mar 31, 2014$0 then
HNW client RAUM$0 as of Mar 29, 2021
Mar 31, 2018$699M then
State-registered IARs (5.B.3)0 as of Mar 29, 2021
Mar 31, 20140 then
Employees (5.A)7 as of Mar 29, 2021
Mar 31, 20145 then
Private funds1 as of Mar 29, 2021
Mar 27, 20151 then
RAUM -27% over the last fiscal year-52% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2021; 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
$56.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
34%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
-27%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$174M34%
  • Investment companies$159M31%
  • Charitable organizations$100M20%
  • State and municipal entities$72.9M14%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
n/areported
Charitable clients
4reported
Accounts
9reported
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
      • D••••• M••••••••• B•••• · Portfolio Manager & Member Of Management Committeecontrol
        since 06/2014 · owns less than 5%
      • K••••••••• J••••• E••••• · Chief Financial Officer, Chief Operating Officer, Chief Compliance Officer & Member Of Management Committeecontrol
        since 01/2014 · owns less than 5%
      • S••••••• K••••••• L•• · Portfolio Manager & Member Of Management Committeecontrol
        since 06/2014 · owns less than 5%
      • D••••• M••••••••• B•••• · Limited Partnercontrol
        since 12/2013 · owns 25% to 50% of S••••••••• G• L•
      • D••••• M••••••••• B•••• · Manager/Membercontrol
        since 11/2013 · owns 50% to 75% of S••••••••• H••••••• L••
      • S••••••• K••••••• L•• · Manager/Membercontrol
        since 11/2013 · owns 50% to 75% of S••••••••• H••••••• L••
      • S••••••• K••••••• L•• · Limited Partnercontrol
        since 12/2013 · owns 25% to 50% of S••••••••• G• L•
      Entity owners
      • S••••••••• G• L• · Manager/Member
        direct · owns 75% or more
      • S••••••••• H••••••• L•• · General Partner
        indirect · owns F of S••••••••• G• L•
      Related persons
      Schedule D 7.A
      • S••••••••• G••••• N•••••• R•••••••• G•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 18 to 9
        Mar 2, 2021 to Mar 29, 2021
      • Charity clients · 7 to 4
        Mar 2, 2021 to Mar 29, 2021
      • Pooled vehicle clients · 2 to 1
        Mar 2, 2021 to Mar 29, 2021
      • Employees · 13 to 7
        Mar 2, 2021 to Mar 29, 2021
      • Discretionary RAUM · $488M to $507M
        Mar 2, 2021 to Mar 29, 2021
      • Pooled vehicle RAUM · $145M to $174M
        Mar 2, 2021 to Mar 29, 2021
      • RAUM · $488M to $507M
        Mar 2, 2021 to Mar 29, 2021
      • HNW clients · unset to 0.0
        May 29, 2020 to Mar 2, 2021
      • Pooled vehicle clients · 1 to 2
        May 29, 2020 to Mar 2, 2021
      • HQ city · LARKSPUR to HOUSTON
        May 29, 2020 to Mar 2, 2021
      • HQ state · CA to TX
        May 29, 2020 to Mar 2, 2021
      • HNW RAUM · $112M to $0
        May 29, 2020 to Mar 2, 2021
      • Pooled vehicle RAUM · $33.1M to $145M
        May 29, 2020 to Mar 2, 2021
      • Accounts · 19 to 18
        Mar 13, 2020 to May 29, 2020
      • Advisory employees · 5 to 4
        Mar 13, 2020 to May 29, 2020
      • Charity clients · 8 to 7
        Mar 13, 2020 to May 29, 2020
      • Employees · 15 to 13
        Mar 13, 2020 to May 29, 2020
      • Discretionary RAUM · $691M to $488M
        Mar 13, 2020 to May 29, 2020
      • HNW RAUM · $140M to $112M
        Mar 13, 2020 to May 29, 2020
      • Pension RAUM · $75.4M to $0
        Mar 13, 2020 to May 29, 2020
      • Pooled vehicle RAUM · $51.9M to $33.1M
        Mar 13, 2020 to May 29, 2020
      • RAUM · $691M to $488M
        Mar 13, 2020 to May 29, 2020
      • Accounts · 45 to 19
        Apr 26, 2019 to Mar 13, 2020
      • Charity clients · 21 to 8
        Apr 26, 2019 to Mar 13, 2020
      • HNW clients · 6.0 to unset
        Apr 26, 2019 to Mar 13, 2020
      • Employees · 17 to 15
        Apr 26, 2019 to Mar 13, 2020
      • HQ city · SAN FRANCISCO to LARKSPUR
        Apr 26, 2019 to Mar 13, 2020
      • Discretionary RAUM · $2.3B to $691M
        Apr 26, 2019 to Mar 13, 2020
      • HNW RAUM · $320M to $140M
        Apr 26, 2019 to Mar 13, 2020
      • Pension RAUM · $103M to $75.4M
        Apr 26, 2019 to Mar 13, 2020
      • Pooled vehicle RAUM · $213M to $51.9M
        Apr 26, 2019 to Mar 13, 2020
      • RAUM · $2.3B to $691M
        Apr 26, 2019 to Mar 13, 2020
      • Assets in custody · 213334874.0 to unset
        Apr 4, 2019 to Apr 26, 2019
      • Custody of client assets · true to false
        Apr 4, 2019 to Apr 26, 2019
      • Accounts · 57 to 45
        Mar 31, 2018 to Apr 1, 2019
      • Advisory employees · 4 to 5
        Mar 31, 2018 to Apr 1, 2019
      • Charity clients · 29 to 21
        Mar 31, 2018 to Apr 1, 2019
      • HNW clients · 11 to 6
        Mar 31, 2018 to Apr 1, 2019
      • Individual clients · unset to 0.0
        Mar 31, 2018 to Apr 1, 2019
      • Pension plan clients · 9.0 to unset
        Mar 31, 2018 to Apr 1, 2019
      Signals
      5 dated events
      • S••••••••• C•••••• P••••••• L•• reported RAUM $487.7M, down 29% from $690.8M (2020-03-13 to 2020-05-29)
        May 29, 2020 · RAUM change · derived
      • Knobloch Kathlyne Kiaie (Chief Compliance Officer & Member Of Management Committee) no longer on Schedule A of S••••••••• C•••••• P••••••• L•• (listed 2020-03-13, absent 2020-05-29)
        May 29, 2020 · Control person left · inference
      • S••••••••• C•••••• P••••••• L•• reported RAUM $690.8M, down 70% from $2.3B (2019-04-26 to 2020-03-13)
        Mar 13, 2020 · RAUM change · derived
      • S••••••••• C•••••• P••••••• L•• reported RAUM $2.3B, down 51% from $4.7B (2018-03-31 to 2019-04-01)
        Apr 1, 2019 · RAUM change · derived
      • S••••••••• C•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
        Nov 19, 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