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

S••••••••• C•••••• M••••••••• L•

Former SEC-registered adviserScottsdale, ArizonaCRD 174398SEC 801-80819IAPD
Latest filing Apr 11, 2016
First filing on the tape Dec 24, 2014 · 6 filings
RAUM
$105M
reported, Item 5.F
Discretionary
84%
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$49.4M gross assets
History
6 filings and snapshots on the tape
RAUM$105M as of Apr 11, 2016
Dec 24, 2014$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 11, 2016
Dec 24, 20140 then
Employees (5.A)3 as of Apr 11, 2016
Dec 24, 20143 then
Private funds1 as of Apr 11, 2016
May 22, 20151 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 11, 2016; 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
$26.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
84%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 pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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)
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
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
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••• A••••• O••••••••• M••••• F••• L•Hedge Fund$49.4M8Mar 31, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • W•••••• R••••••• L•• · President/Chief Executive Officer/Chief Investment Officer/Limited Partner, S••••••••• Capital Group LPcontrol
        since 06/2013 · owns 75% or more
      • W•••••• R••••••• L•• · Managing Membercontrol
        since 03/2013 · owns 75% or more of S••••••••• C•••••• G• L••
      • B••••••••• A••••• · Cfo & Cco
        since 02/2016 · owns less than 5%
      Entity owners
      • S••••••••• C•••••• G• L•• · General Partner, S••••••••• Capital Group LP
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • I• G•••• L••
        broker-dealern
      • S••••••••• C•••••• P••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 4
        Sep 15, 2015 to Mar 25, 2016
      • Discretionary RAUM · $104M to $88.2M
        Sep 15, 2015 to Mar 25, 2016
      • Non-discretionary RAUM · $0 to $17.1M
        Sep 15, 2015 to Mar 25, 2016
      • RAUM · $104M to $105M
        Sep 15, 2015 to Mar 25, 2016
      • Accounts · 0 to 5
        Dec 24, 2014 to May 22, 2015
      • Assets in custody · unset to 0.0
        Dec 24, 2014 to May 22, 2015
      • Custody of client assets · false to true
        Dec 24, 2014 to May 22, 2015
      • Private funds · unset to 1
        Dec 24, 2014 to May 22, 2015
      • Discretionary RAUM · $0 to $104M
        Dec 24, 2014 to May 22, 2015
      • RAUM · $0 to $104M
        Dec 24, 2014 to May 22, 2015
      • Related adviser · true to false
        Dec 24, 2014 to May 22, 2015
      • Related broker-dealer · false to true
        Dec 24, 2014 to May 22, 2015
      Signals
      1 dated events
      • S••••••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)
        Dec 24, 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