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••••••

Former SEC-registered adviserPalo Alto, CaliforniaCRD 283280SEC 801-107471IAPD
Legal name S••••• C•••••• P•• M••••••••• L••
Latest filing Mar 29, 2018
First filing on the tape Mar 15, 2016 · 6 filings
RAUM
$1.9B
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
63
23 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
9
$1.9B gross assets
History
6 filings and snapshots on the tape
RAUM$1.9B as of Mar 29, 2018
Mar 30, 2017$1.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 30, 20170 then
Employees (5.A)63 as of Mar 29, 2018
Mar 30, 201740 then
Private funds9 as of Mar 29, 2018
Mar 30, 20179 then
RAUM +1.2% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2018; 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
$174MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+1.2%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 vehiclesreportedItem 5.G
Custody
$1.9B, 11 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)
  • 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
  • Pooled investment vehicles$1.9B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
11reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.9B for 11 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••• C•••••• P••••• E••••• P••••••• • A• L•Hedge Fund$94.2M3Jul 8, 2016
      S••••• C•••••• P••••• E••••• P••••••• M••••• F••• L•••Hedge Fund$65.6M15Jul 8, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• A••••••• J••• · Ceo, Growth Equitycontrol
        since 08/2017 · owns less than 5%
      • D•••••• P•••••• J••••• · Partner; Presidentcontrol
        since 01/2016 · owns less than 5%
      • P••••••••• C••••••• •••• · Chief Executive Officercontrol
        since 01/2016 · owns less than 5%
      • S•••• S•••••• •••• · Chief Compliance Officercontrol
        since 11/2016 · owns less than 5%
      • L••• B•••••••• •••• · Trusteecontrol
        since 02/2009 · owns F of H•••• W•••••• F••••• T••••
      • P••••••••• C••••••• •••• · Trusteecontrol
        since 02/2009 · owns F of H•••• W•••••• F••••• T••••
      • M••••••••• M•••• M•••••••• · Vice Chairman
        since 03/2017 · owns less than 5%
      Entity owners
      • S••••• C•••••• M• H••••••• L•• · Managing Member
        direct · owns 75% or more
      • H•••• W•••••• F••••• T•••• · Managing Member
        indirect · owns 75% or more of H•••• W•••••• M••••• H••••••• L••
      • H•••• W•••••• H••••••• C••• · Member
        indirect · owns F of H•••• W•••••• M••••• H••••••• L••
      • H•••• W•••••• H••••••• C••• · Member
        indirect · owns F of S••••• C•••••• M• H••••••• L••
      • H•••• W•••••• M••••• H••••••• L•• · Managing Member
        indirect · owns 75% or more of S••••• C•••••• M• H••••••• L••
      Related persons
      Schedule D 7.A
      • C•••••• P•••••••••
        investment advisery
      • S••••• C•••••• P•• G• L••
        pooled vehicle sponsorn
      • S••••••••• P••••••••• G•• L•••
        pooled vehicle sponsorn
      • T•• S••••••••• P••••••••• G• I•• L•••
        pooled vehicle sponsorn
      • T•• S••••••••• P••••••••• G• I••• L•
        pooled vehicle sponsorn
      • T•• S••••••••• P••••••••• O••••••••• F••• G•• L•••
        pooled vehicle sponsorn
      • T•• S••••••••• P••••••••• L•••••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY1 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 25 to 23
        Mar 30, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 11.0
        Mar 30, 2017 to Mar 29, 2018
      • Assets in custody · $0 to $1.9B
        Mar 30, 2017 to Mar 29, 2018
      • Employees · 40 to 63
        Mar 30, 2017 to Mar 29, 2018
      • Legal name · S••••• C•••••• PEP MANAGEMENT LLC to S••••• C•••••• PEP MANAGEMENT, LLC
        Mar 30, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Mar 30, 2017 to Mar 29, 2018
      • Discretionary RAUM · $1.9B to $1.9B
        Mar 30, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 1908609470.0
        Mar 30, 2017 to Mar 29, 2018
      • RAUM · $1.9B to $1.9B
        Mar 30, 2017 to Mar 29, 2018
      • Discretionary RAUM · $1.7B to $1.9B
        Dec 6, 2016 to Mar 30, 2017
      • RAUM · $1.7B to $1.9B
        Dec 6, 2016 to Mar 30, 2017
      • Related bank · true to false
        Dec 6, 2016 to Mar 30, 2017
      • Accounts · 0 to 11
        Mar 23, 2016 to Jul 8, 2016
      • Assets in custody · unset to 0.0
        Mar 23, 2016 to Jul 8, 2016
      • Custody of client assets · false to true
        Mar 23, 2016 to Jul 8, 2016
      • Private funds · unset to 9
        Mar 23, 2016 to Jul 8, 2016
      • Discretionary RAUM · $0 to $1.7B
        Mar 23, 2016 to Jul 8, 2016
      • RAUM · $0 to $1.7B
        Mar 23, 2016 to Jul 8, 2016
      Signals
      1 dated events
      • S••••• C•••••• filed its initial SEC registration (Form ADV)
        Mar 15, 2016 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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