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•••••• I••••••••• L••
Latest filing Sep 9, 2016
First filing on the tape Apr 16, 2015 · 7 filings
RAUM
$18.2M
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
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
8
$18.2M gross assets
History
7 filings and snapshots on the tape
RAUM$18.2M as of Sep 9, 2016
Apr 16, 2015$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Sep 9, 2016
Apr 16, 20152 then
Employees (5.A)2 as of Sep 9, 2016
Apr 16, 20153 then
Private funds8 as of Sep 9, 2016
Jun 24, 20152 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 9, 2016; every figure names its basis
- RAUM per advisor
- $18.2MderivedRAUM 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
- $2.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 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
- $18.2M, 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)
- 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
- 8reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $18.2M for 8 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
Private funds
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•••• C•••••• F•••• L• • S••••• 1• | Private Equity Fund | $8.7M | 1 | Jun 24, 2015 |
| S•••• O••••••••• F•••• L• • S••••• 1• | Private Equity Fund | $2.7M | 1 | Jun 24, 2015 |
| T•••• C•••••• F•••• L• • S••••• 5• | Private Equity Fund | $2.1M | 1 | Sep 9, 2016 |
| T•••• C•••••• F•••• L• • S••••• 3• | Private Equity Fund | $1.9M | 1 | Mar 30, 2016 |
| T•••• C•••••• F•••• L• • S••••• 6• | Private Equity Fund | $1.0M | 1 | Sep 9, 2016 |
| S•••• O••••••••• F•••• L• • S••••• 3• | Private Equity Fund | $825,675 | 1 | Mar 30, 2016 |
| T•••• C•••••• F•••• L• • S••••• 4• | Private Equity Fund | $630,000 | 1 | Mar 30, 2016 |
| S•••• O••••••••• F•••• L• • S••••• 2• | Private Equity Fund | $325,000 | 1 | Sep 9, 2016 |
Owners and control persons
Schedule A and B, latest filing
- M••••••• B•••••••• F•••••••• · Managing Membercontrolsince 03/2015 · owns 75% or more
- M•••••••• J••••• T•••••• · Ccocontrolsince 03/2015 · owns less than 5%
Related persons
Schedule D 7.A
- G••••••• P•••• C••••••• L••investment advisernRAUM $316M
- G••••••• P•••• F••••• L••investment advisernRAUM $3.3M
- P••• C•••••• M••••••••• L••investment adviserpooled vehicle sponsorn
- S• F• S••••• S••••••••• I•••broker-dealern
- S•• F•••••••• S••••• I••••••••• G••••investment advisernRAUM $302M
- S••••• A•••••••• L••investment advisernRAUM $2.4B
- S•••• C•••••• P•••••••• L••investment advisernRAUM $1.2B
Advisers that list S•••• C•••••• I••••••••• L•• as a related person
- 160553 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 5 to 8Mar 30, 2016 to Sep 9, 2016
- Private funds · 5 to 8Mar 30, 2016 to Sep 9, 2016
- Discretionary RAUM · $14.8M to $18.2MMar 30, 2016 to Sep 9, 2016
- RAUM · $14.8M to $18.2MMar 30, 2016 to Sep 9, 2016
- Assets in custody · $14.8M to $18.2MSep 9, 2016 to Sep 9, 2016
- Accounts · 2 to 5Feb 12, 2016 to Mar 30, 2016
- BD registered reps · 3 to 2Feb 12, 2016 to Mar 30, 2016
- Assets in custody · $11.4M to $14.8MFeb 12, 2016 to Mar 30, 2016
- Employees · 3 to 2Feb 12, 2016 to Mar 30, 2016
- Insurance-licensed employees · 2 to 1Feb 12, 2016 to Mar 30, 2016
- State-registered IARs · 2 to 1Feb 12, 2016 to Mar 30, 2016
- Private funds · 2 to 5Feb 12, 2016 to Mar 30, 2016
- Discretionary RAUM · $11.4M to $14.8MFeb 12, 2016 to Mar 30, 2016
- RAUM · $11.4M to $14.8MFeb 12, 2016 to Mar 30, 2016
- Accounts · 0 to 2Apr 16, 2015 to Jun 24, 2015
- Assets in custody · $0 to $11.4MApr 16, 2015 to Jun 24, 2015
- Private funds · unset to 2Apr 16, 2015 to Jun 24, 2015
- Discretionary RAUM · $0 to $11.4MApr 16, 2015 to Jun 24, 2015
- RAUM · $0 to $11.4MApr 16, 2015 to Jun 24, 2015
Signals
1 dated events
- S•••• C•••••• I••••••••• L•• filed its initial SEC registration (Form ADV)Apr 16, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••• C•••••• I••••••••• L•• · Private Equityshared crd · organization
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