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•••••• P•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Sep 5, 2014 · 25 filings
SEC status approved since Sep 17, 2014
RAUM
$575M
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
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
17
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$575M as of Mar 31, 2026
Mar 27, 2015$109M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 27, 20152 then
Employees (5.A)8 as of Mar 31, 2026
Mar 27, 20156 then
Private funds17 as of Mar 31, 2026
Mar 27, 20152 then
RAUM -10% over the last fiscal year+0.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $33.8MderivedRAUM 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
- -10%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $457M, 17 clientsreportedItem 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$575M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 17reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $457M for 17 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false 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
21 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••••• R••• E••••• P••••••• V• L•• | Real Estate Fund | $205M | 194 | Mar 31, 2022 |
| S••••••••• R••• E••••• P••••••• V•• L•• | Real Estate Fund | $101M | 130 | Mar 29, 2024 |
| S••••••••• R••• E••••• P••••••• I•• L•• | Real Estate Fund | $59.4M | 82 | Mar 30, 2020 |
| S••••••••• R••• E••••• P••••••• I•• L•• | Real Estate Fund | $50.7M | 68 | Mar 31, 2017 |
| S• B•••••• H•••••••• L•• | Real Estate Fund | $45.9M | 31 | Mar 30, 2020 |
| S••••••••• R••• E••••• P••••••• I••• L•• | Real Estate Fund | $38.5M | 91 | Mar 27, 2019 |
| S••• N• P•••••••• L•• | Real Estate Fund | $31.7M | 22 | Mar 31, 2022 |
| S• V• V••• • I•••••• C••••••••• L•• | Real Estate Fund | $21.3M | 60 | Mar 29, 2024 |
| S• V• M•••••• C•••••••• L•• | Real Estate Fund | $19.7M | 62 | Mar 31, 2022 |
| S••••••••• P•••••• C••••• P•••••••• L• | Private Equity Fund | $13.3M | 47 | Jul 31, 2015 |
| P•• C••••••••• L•• | Real Estate Fund | $13.0M | 6 | Mar 31, 2021 |
| S••••••••• R••• E••••• P•••••••• L•• | Real Estate Fund | $10.6M | 63 | Sep 5, 2014 |
| S• V• A•••••• P••• C••••••••• L•• | Real Estate Fund | $10.3M | 76 | Mar 31, 2023 |
| S• V•• I• C••••••••• L••no longer reported | Real Estate Fund | $9.8M | 18 | Mar 27, 2019 |
| S••• W••• L•• | Real Estate Fund | $6.7M | 20 | Mar 31, 2021 |
| S••• M••••••••• L•• | Real Estate Fund | $3.1M | 6 | Mar 31, 2021 |
| S• D••••••• C••••••••• L••no longer reported | Real Estate Fund | $626,862 | 18 | Mar 30, 2016 |
| S• R••••••••• H•••••••• L•• | Real Estate Fund | $455,859 | 34 | Mar 31, 2021 |
| S• D•••• C••••••••• L••no longer reported | Real Estate Fund | $181,929 | 22 | Mar 31, 2017 |
| S• M••••••• C••••••••• L••no longer reported | Real Estate Fund | $64,189 | 40 | Mar 30, 2020 |
| S• S•• V••••• H••••••• L•• | Real Estate Fund | $40,284 | 24 | Mar 27, 2019 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• T••••••• E••••• · Managing Director, President & Ceocontrolsince 04/2014 · owns 25% to 50%
- H••••••• D••••• W•••••• · Managing Director, Chairman & Treasurercontrolsince 04/2014 · owns less than 5%
- R•••• L••••• H•••••• · Board Membercontrolsince 10/2024 · owns less than 5%
- C•••• S•••• M••••••• · Trusteecontrolsince 07/2013 · owns F of S••• M• C••• 2••• R•••••••• T••••• U•••• 7••••••
- H••••••• D••••• W•••••• · Trusteecontrolsince 03/1991 · owns F of D•••• W• H•••••• 1••• T••••• U•••• 3••••••• A• A•••••• A•• R•••••••
- H••••••• D••••• W•••••• · Member Of Board Of M••••••Scontrolsince 06/2014 · owns F of S• M•••••• L••
- H••••••• G••••••• S••••• · Trusteecontrolsince 05/2012 · owns F of G•••••• S• H•••••• R•••••••• T••••• U•••• 5••••••• A• A••••••
- M••••• E••••• C• · Membercontrolsince 06/2014 · owns 25% to 50% of H•• C••••••• L••
- R•••• L••••• H•••••• · M••••••controlsince 10/2024 · owns F of S• M•••••• L••
- R•••• L••••• H•••••• · Trusteecontrolsince 06/2008 · owns F of R••• F••••• I••••••••• R•••••••• T••••• U•••• 6••••••
- R•••• S••••••• A••••• · Membercontrolsince 06/2014 · owns 25% to 50% of H•• C••••••• L••
- E••••••• L•••••••• G•••• · Vice President & Secretarysince 08/2023 · owns less than 5%
- G••••••••• L•••• M•••• · Chief Compliance Officersince 03/2020 · owns less than 5%
Entity owners
- H•• I••••••••• L•• · Managing Memberdirect · owns 50% to 75%
- D•••• W• H•••••• 1••• T••••• U•••• 3••••••• A• A•••••• A•• R••••••• · Memberindirect · owns 50% to 75% of S• M•••••• L••
- G•••••• S• H•••••• R•••••••• T••••• U•••• 5••••••• A• A•••••• · Memberindirect · owns 25% to 50% of H•• C••••••• L••
- H•• C••••••• L•• · Non-Managing Memberindirect · owns 75% or more of H•• I••••••••• L••
- R••• F••••• I••••••••• R•••••••• T••••• U•••• 6•••••• · Memberindirect · owns 50% to 75% of S• M•••••• L••
- S••• M• C••• 2••• R•••••••• T••••• U•••• 7•••••• · Memberindirect · owns 25% to 50% of H•• C••••••• L••
- S• M•••••• L•• · Managing Memberindirect · owns F of H•• I••••••••• L••
Related persons
Schedule D 7.A
- S••• N• M••••••• L••pooled vehicle sponsory
- S••••••••• I••••••••• P••••••• G•• L••pooled vehicle sponsory
- S••••••••• L•• M••••••• L••pooled vehicle sponsory
- S••••••••• R••• E••••• M•••••• I• L••pooled vehicle sponsory
- S••••••••• R••• E••••• M•••••• I••• L••pooled vehicle sponsory
- S••••••••• R••• E••••• M•••••• I•• L••pooled vehicle sponsory
- S••••••••• R••• E••••• M•••••• V• L••pooled vehicle sponsory
- S••••••••• R••• E••••• M•••••• V•• L••pooled vehicle sponsory
- S••••••••• R••• E••••• M••••••• L••pooled vehicle sponsory
Advisers that list S••••••••• C•••••• P•••••••• L•• as a related person
- 286095 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 15 to 17Mar 28, 2025 to Mar 31, 2026
- Pooled vehicle clients · 15 to 17Mar 28, 2025 to Mar 31, 2026
- Assets in custody · $499M to $457MMar 28, 2025 to Mar 31, 2026
- Private funds · 15 to 17Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $642M to $575MMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $642M to $575MMar 28, 2025 to Mar 31, 2026
- RAUM · $642M to $575MMar 28, 2025 to Mar 31, 2026
- Assets in custody · $424M to $499MOct 30, 2024 to Mar 28, 2025
- Financial planning clients · unset to Oct 30, 2024 to Mar 28, 2025
- Discretionary RAUM · $631M to $642MOct 30, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $631M to $642MOct 30, 2024 to Mar 28, 2025
- RAUM · $631M to $642MOct 30, 2024 to Mar 28, 2025
- Advisory employees · 2 to 4Oct 27, 2023 to Mar 29, 2024
- State-registered IARs · 2 to 0Oct 27, 2023 to Mar 29, 2024
- Discretionary RAUM · $568M to $631MOct 27, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $568M to $631MOct 27, 2023 to Mar 29, 2024
- RAUM · $568M to $631MOct 27, 2023 to Mar 29, 2024
- Assets in custody · $386M to $424MAug 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $552M to $568MAug 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $552M to $568MAug 31, 2022 to Mar 31, 2023
- RAUM · $552M to $568MAug 31, 2022 to Mar 31, 2023
- Accounts · 12 to 15May 20, 2021 to Mar 31, 2022
- Pooled vehicle clients · 12 to 15May 20, 2021 to Mar 31, 2022
- Assets in custody · $398M to $386MMay 20, 2021 to Mar 31, 2022
- Employees · 7 to 8May 20, 2021 to Mar 31, 2022
- Private funds · 12 to 15May 20, 2021 to Mar 31, 2022
- Discretionary RAUM · $465M to $552MMay 20, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $465M to $552MMay 20, 2021 to Mar 31, 2022
- RAUM · $465M to $552MMay 20, 2021 to Mar 31, 2022
- Accounts · 9 to 12Mar 30, 2020 to Mar 31, 2021
- Pooled vehicle clients · 9 to 12Mar 30, 2020 to Mar 31, 2021
- Assets in custody · $318M to $398MMar 30, 2020 to Mar 31, 2021
- Private funds · 9 to 12Mar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $437M to $465MMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $437M to $465MMar 30, 2020 to Mar 31, 2021
- RAUM · $437M to $465MMar 30, 2020 to Mar 31, 2021
- Accounts · 7 to 9Mar 27, 2019 to Mar 30, 2020
- Pooled vehicle clients · 7 to 9Mar 27, 2019 to Mar 30, 2020
- Assets in custody · $227M to $318MMar 27, 2019 to Mar 30, 2020
- Employees · 6 to 7Mar 27, 2019 to Mar 30, 2020
Signals
4 dated events
- Mark David Roth (Managing Director & Secretary) no longer on Schedule A of S••••••••• C•••••• P•••••••• L•• (listed 2024-03-29, absent 2024-10-30)Oct 30, 2024 · Control person left · inference
- S••••••••• C•••••• P•••••••• L•• reported RAUM $437.3M, up 38% from $317.9M (2019-03-27 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- S••••••••• C•••••• P•••••••• L•• reported RAUM $317.9M, up 89% from $168.5M (2019-01-25 to 2019-03-27)Mar 27, 2019 · RAUM change · derived
- S••••••••• C•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Sep 5, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••••••• C•••••• P•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- S••••••••• C•••••• P•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- S•••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 954-331-0109reportedpublic record, Form ADV, Mar 31, 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
Across the graphs
S••••••••• C•••••• P•••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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