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••••••
Legal name S•••••••• C•••••• I• L••
Latest filing Jun 24, 2026
First filing on the tape Sep 9, 2014 · 19 filings
SEC status approved since Sep 23, 2014
RAUM
$2.6B
reported, Item 5.F
Discretionary
8.4%
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
12
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$2.6B as of Jun 24, 2026
Mar 31, 2015$62.7M then
HNW client RAUM$0 as of Feb 21, 2019
Jan 22, 2018$43.5M then
State-registered IARs (5.B.3)0 as of Jun 24, 2026
Mar 31, 20150 then
Employees (5.A)12 as of Jun 24, 2026
Mar 31, 20154 then
Private funds: no history
RAUM +24% over the last fiscal year+43% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $239MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 8.4%derivedof RAUM
- Institutional
- 81%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%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 pooled vehicles, otherreportedItem 5.G
- Custody
- $2.3B, 8 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$2.1B91%
- Pooled investment vehicles$220M9.3%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 11reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.3B for 8 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.08 institutional_share=0.81 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• J•••• T••••• · Co-Managing Membercontrolsince 08/2014 · owns 25% to 50%
- M•••••••• M••••••• A••• · Co-Managing Member & Chief Compliance Officercontrolsince 08/2014 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Rochester, NY1 employees
What changed
consecutive filings, newest first
- Accounts · 9 to 11Mar 26, 2025 to Mar 19, 2026
- Advisory employees · 9 to 8Mar 26, 2025 to Mar 19, 2026
- Assets in custody · $1.8B to $2.3BMar 26, 2025 to Mar 19, 2026
- Employees · 11 to 12Mar 26, 2025 to Mar 19, 2026
- Discretionary RAUM · $188M to $220MMar 26, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $1.9B to $2.4BMar 26, 2025 to Mar 19, 2026
- Pooled vehicle RAUM · $188M to $220MMar 26, 2025 to Mar 19, 2026
- RAUM · $2.1B to $2.6BMar 26, 2025 to Mar 19, 2026
- Advisory employees · 7 to 9Mar 27, 2024 to Mar 26, 2025
- Assets in custody · $1.1B to $1.8BMar 27, 2024 to Mar 26, 2025
- Employees · 9 to 11Mar 27, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 26, 2025
- Discretionary RAUM · $147M to $188MMar 27, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $1.3B to $1.9BMar 27, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $147M to $188MMar 27, 2024 to Mar 26, 2025
- RAUM · $1.5B to $2.1BMar 27, 2024 to Mar 26, 2025
- Accounts · 8 to 9Oct 16, 2023 to Mar 27, 2024
- Advisory employees · 6 to 7Oct 16, 2023 to Mar 27, 2024
- Assets in custody · $800M to $1.1BOct 16, 2023 to Mar 27, 2024
- Employees · 7 to 9Oct 16, 2023 to Mar 27, 2024
- Discretionary RAUM · $120M to $147MOct 16, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $774M to $1.3BOct 16, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $120M to $147MOct 16, 2023 to Mar 27, 2024
- RAUM · $894M to $1.5BOct 16, 2023 to Mar 27, 2024
- Assets in custody · $597M to $800MMar 29, 2023 to Oct 16, 2023
- Accounts · 7 to 8Mar 8, 2022 to Mar 29, 2023
- Advisory employees · 5 to 6Mar 8, 2022 to Mar 29, 2023
- Employees · 6 to 7Mar 8, 2022 to Mar 29, 2023
- Discretionary RAUM · $109M to $120MMar 8, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $582M to $774MMar 8, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $72.2M to $120MMar 8, 2022 to Mar 29, 2023
- RAUM · $691M to $894MMar 8, 2022 to Mar 29, 2023
- Accounts · 6 to 7Mar 29, 2021 to Mar 8, 2022
- Assets in custody · $396M to $597MMar 29, 2021 to Mar 8, 2022
- Discretionary RAUM · $52.4M to $109MMar 29, 2021 to Mar 8, 2022
- Non-discretionary RAUM · $371M to $582MMar 29, 2021 to Mar 8, 2022
- Pooled vehicle RAUM · $52.4M to $72.2MMar 29, 2021 to Mar 8, 2022
- RAUM · $424M to $691MMar 29, 2021 to Mar 8, 2022
- Accounts · 4 to 6Jun 2, 2020 to Mar 29, 2021
- Assets in custody · $371M to $396MJun 2, 2020 to Mar 29, 2021
Signals
7 dated events
- S•••••••• C•••••• reported RAUM $2.1B, up 46% from $1.5B (2024-03-27 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- S•••••••• C•••••• reported RAUM $1.5B, up 63% from $893.9M (2023-10-16 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- S•••••••• C•••••• reported RAUM $893.9M, up 29% from $691.2M (2022-03-08 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- S•••••••• C•••••• reported RAUM $691.2M, up 63% from $423.8M (2021-03-29 to 2022-03-08)Mar 8, 2022 · RAUM change · derived
- S•••••••• C•••••• reported RAUM $375.2M, up 69% from $221.7M (2018-01-22 to 2019-02-21)Feb 21, 2019 · RAUM change · derived
- S•••••••• C•••••• reported RAUM $221.7M, up 139% from $92.9M (2017-03-29 to 2018-01-22)Jan 22, 2018 · RAUM change · derived
- S•••••••• C•••••• filed its initial SEC registration (Form ADV)Sep 9, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/steeprockcapitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- S••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-218-5055reportedpublic record, Form ADV, Jun 24, 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
- Institutional managerderiveda 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