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••••••• L••
Latest filing May 13, 2026
First filing on the tape Nov 12, 2014 · 45 filings
SEC status approved since Nov 25, 2014
RAUM
$1.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$510M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$1.0B as of May 13, 2026
Mar 30, 2015$0 then
HNW client RAUM$75.0M as of Mar 30, 2020
Mar 28, 2018$9.1M then
State-registered IARs (5.B.3)1 as of May 13, 2026
Mar 30, 20151 then
Employees (5.A)5 as of May 13, 2026
Mar 30, 20152 then
Private funds: no history
RAUM +28% over the last fiscal year+25% a year over threeIARs 1 to 1
Practice profile
derived from the filing of May 13, 2026; every figure names its basis
- RAUM per advisor
- $510MderivedRAUM 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
- $3.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$857M84%
- Investment companies$164M16%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 330reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• A•••• H••••• | Dallas, Tx | Jan 11, 2022 | 16 y | 1 |
| D••••••• M••••••••• | Dallas, Tx | Oct 24, 2025 | 19 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- C••• M•••••• C•••••• to U••••• C•••••• F•••••••• A•••••••Dec 31, 2023 · Other
- M•••••• A•••••• M••••••• to A•••••• F•••••••• L•Dec 31, 2023 · Other
Joined, latest
- C••• M•••••• C•••••• from A•••••• F•••••••• L•Aug 31, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• M••••••• R••••• · Chief Compliance Officercontrolsince 09/2022 · owns less than 5%
- C••••••• C•••• M•••••• · Managing Membercontrolsince 04/2015 · owns 10% to 25%
- H•••••• R•••••• A•••• · Managing Membercontrolsince 09/2014 · owns 10% to 25%
- M•••••••• M••••••• A•••••• · Managing Membercontrolsince 06/2015 · owns 10% to 25%
- B••• J••• E• · Ownercontrolsince 12/2016 · owns 75% or more of J• B•• B•••
- D••••••• P•••••• · Trusteesince 06/2018 · owns F of B•••••••• T••••
Entity owners
- J• B•• L•• · Managing Memberdirect · owns 10% to 25%
- J• B•• B••• · Ownerindirect · owns 75% or more of J• B•• L••
- B•••••••• T•••• · Ownerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- A•••••• F•••••••• L•investment advisernRAUM $4.0B
- A•••••• I•••••••• S•••••••• L•real estaten
- S•• B•investment adviserpooled vehicle sponsorn
- S•• U•• L••investment adviserpooled vehicle sponsorn
Advisers that list S••••••••• C••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 300 to 330Mar 25, 2026 to May 13, 2026
- Advisory employees · 5 to 4Mar 25, 2026 to May 13, 2026
- Employees · 6 to 5Mar 25, 2026 to May 13, 2026
- HQ city · ROWAYTON to DALLASMar 25, 2026 to May 13, 2026
- HQ state · CT to TXMar 25, 2026 to May 13, 2026
- Other offices · 1 to 2Mar 25, 2026 to May 13, 2026
- Discretionary RAUM · $958M to $1.0BMar 25, 2026 to May 13, 2026
- RAUM · $958M to $1.0BMar 25, 2026 to May 13, 2026
- Succession · false to trueMar 25, 2026 to May 13, 2026
- Advisory employees · 4 to 5May 5, 2025 to Mar 25, 2026
- Employees · 5 to 6May 5, 2025 to Mar 25, 2026
- Other offices · 2 to 1May 5, 2025 to Mar 25, 2026
- Discretionary RAUM · $795M to $958MMay 5, 2025 to Mar 25, 2026
- RAUM · $795M to $958MMay 5, 2025 to Mar 25, 2026
- Employees · 4 to 5Mar 20, 2025 to May 5, 2025
- Financial planning clients · unset to Mar 20, 2025 to May 5, 2025
- Accounts · 285 to 300Mar 26, 2024 to Mar 20, 2025
- Advisory employees · 2 to 4Mar 26, 2024 to Mar 20, 2025
- Discretionary RAUM · $638M to $795MMar 26, 2024 to Mar 20, 2025
- RAUM · $638M to $795MMar 26, 2024 to Mar 20, 2025
- Accounts · 274 to 285Jun 9, 2023 to Mar 26, 2024
- Discretionary RAUM · $517M to $638MJun 9, 2023 to Mar 26, 2024
- RAUM · $517M to $638MJun 9, 2023 to Mar 26, 2024
- Succession · true to falseJun 9, 2023 to Mar 26, 2024
- Succession · false to trueApr 3, 2023 to Jun 9, 2023
- Accounts · 239 to 274Sep 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $554M to $517MSep 30, 2022 to Mar 31, 2023
- RAUM · $554M to $517MSep 30, 2022 to Mar 31, 2023
- HQ city · NEW YORK to ROWAYTONMar 31, 2022 to Sep 30, 2022
- HQ state · NY to CTMar 31, 2022 to Sep 30, 2022
- Accounts · 217 to 239Feb 4, 2022 to Mar 31, 2022
- Discretionary RAUM · $413M to $554MFeb 4, 2022 to Mar 31, 2022
- RAUM · $413M to $554MFeb 4, 2022 to Mar 31, 2022
- Other offices · 0 to 2Apr 15, 2021 to Jun 25, 2021
- Accounts · 182 to 217Mar 30, 2021 to Apr 15, 2021
- Discretionary RAUM · $336M to $413MMar 30, 2021 to Apr 15, 2021
- RAUM · $336M to $413MMar 30, 2021 to Apr 15, 2021
- Accounts · 56 to 182Feb 1, 2021 to Mar 30, 2021
- Advisory activities · 3 to 2Feb 1, 2021 to Mar 30, 2021
- Discretionary RAUM · $173M to $336MFeb 1, 2021 to Mar 30, 2021
Signals
8 dated events
- S••••••••• C••••••• L•• reported succeeding to the business of S••••••••• C••••••• L•• (Form ADV Item 4)May 13, 2026 · Succession (Item 4) · fact
- M•••••• A•••••• M••••••• left S••••••••• C••••••• L•• for A•••••• F•••••••• L• (registered 2022-05-26)Dec 31, 2023 · Advisor changed firm · fact
- C••• M•••••• C•••••• left S••••••••• C••••••• L•• for U••••• C•••••• F•••••••• A••••••• (registered 2025-11-26)Dec 31, 2023 · Advisor changed firm · fact
- S••••••••• C••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jun 9, 2023 · Succession (Item 4) · fact
- R••••• M•••••• B•••• (Chief Compliance Officer) appeared on Schedule A of S••••••••• C••••••• L••Apr 3, 2023 · Control person joined · fact
- S••••••••• C••••••• L•• reported RAUM $554.4M, up 34% from $413.2M (2022-02-04 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- S••••••••• C••••••• L•• reported RAUM $336.1M, up 94% from $173.5M (2021-02-01 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- S•••• W•••• C••••••• L•• filed its initial SEC registration (Form ADV)Nov 12, 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
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 646-442-9655reportedpublic record, Form ADV, May 13, 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
- $510Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026