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

C••••••••• W•••• C•••••• L••

Former SEC-registered adviserLondon, CRD 171264SEC 801-79698IAPD
Latest filing Jun 28, 2018
First filing on the tape Apr 28, 2014 · 8 filings
RAUM
$18.3M
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
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$18.3M as of Jun 28, 2018
Jun 26, 2015$52.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 28, 2018
Jun 26, 20150 then
Employees (5.A)4 as of Jun 28, 2018
Jun 26, 20155 then
Private funds: 1
RAUM n/a over the last fiscal year-30% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 28, 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
$18.3MderivedRAUM 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
unknownderivedbetween 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 pooled vehiclesreportedItem 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
  • 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)
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
1reported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•••••• B••••• C••••••••• M••••• F••• L••••••no longer reportedOther Private Fund$31.5M10Apr 28, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • J••••••• M•••••• S•••••• · Partnercontrol
        since 12/2016 · owns 5% to 10%
      • S••••••• L••• · Chief Investment Officer/Partnercontrol
        since 05/2013 · owns 75% or more
      • B•••••• D••••• R••••• · Partner
        since 02/2017 · owns 10% to 25%
      • F••••• I••• · Cco/Coo
        since 02/2018 · owns 5% to 10%
      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 · unset to 1.0
        Apr 5, 2018 to Jun 28, 2018
      • Advisory employees · 4 to 3
        Apr 5, 2018 to Jun 28, 2018
      • Discretionary RAUM · unset to 18323680.0
        Apr 5, 2018 to Jun 28, 2018
      • Non-discretionary RAUM · unset to 0.0
        Apr 5, 2018 to Jun 28, 2018
      • RAUM · unset to 18323680.0
        Apr 5, 2018 to Jun 28, 2018
      • Other offices · unset to 0.0
        Jun 15, 2017 to Apr 5, 2018
      • Advisory employees · 2 to 4
        Jul 12, 2016 to Jun 15, 2017
      • Business name · S•••••• B••••• C•••••• L•• to C••••••••• W•••• C•••••• L••
        Jul 12, 2016 to Jun 15, 2017
      • Employees · 2 to 4
        Jul 12, 2016 to Jun 15, 2017
      • Legal name · S•••••• B••••• C•••••• L•• to C••••••••• W•••• C•••••• L••
        Jul 12, 2016 to Jun 15, 2017
      • Accounts · 2.0 to unset
        Mar 3, 2016 to Jul 12, 2016
      • Advisory employees · 3 to 2
        Mar 3, 2016 to Jul 12, 2016
      • Employees · 5 to 2
        Mar 3, 2016 to Jul 12, 2016
      • Private funds · 1 to unset
        Mar 3, 2016 to Jul 12, 2016
      • Discretionary RAUM · 52500000.0 to unset
        Mar 3, 2016 to Jul 12, 2016
      • Non-discretionary RAUM · 0.0 to unset
        Mar 3, 2016 to Jul 12, 2016
      • RAUM · 52500000.0 to unset
        Mar 3, 2016 to Jul 12, 2016
      • Advisory employees · 4 to 3
        May 27, 2014 to Jun 26, 2015
      • Advisory activities · 1 to 2
        May 27, 2014 to Jun 26, 2015
      • Employees · 6 to 5
        May 27, 2014 to Jun 26, 2015
      • Discretionary RAUM · $29.0M to $52.5M
        May 27, 2014 to Jun 26, 2015
      • RAUM · $29.0M to $52.5M
        May 27, 2014 to Jun 26, 2015
      Signals
      1 dated events
      • S•••••• B••••• C•••••• L•• filed its initial SEC registration (Form ADV)
        Apr 28, 2014 · 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