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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S•••••••• C••••••• L•
Latest filing Mar 30, 2026
First filing on the tape Oct 5, 2016 · 33 filings
SEC status approved since Oct 28, 2016
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$0 as of Mar 30, 2026
Mar 29, 2017$2.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 29, 20171 then
Employees (5.A)4 as of Mar 30, 2026
Mar 29, 20173 then
Private funds1 as of Mar 25, 2022
Mar 29, 20171 then
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $0derivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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 individuals, otherreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
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
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• L••••• F••••• | San Antonio, Tx | Mar 25, 2022 | 26 y | 1 |
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 headcount1 left over 36 months
Left, latest
- A••••• M•••• G•••• to T••••••• A•••• M••••••••• L••Jan 2, 2025 · Other
- A••••• M•••• G•••• to T••••••• C••••••• L••Dec 31, 2021 · Other
Joined, latest
- A••••• M•••• G•••• from T••••••• C••••••• L••Mar 25, 2022 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••••• I••• F•••• L•no longer reported | Hedge Fund | $4.3M | 30 | Oct 5, 2016 |
| S•••••••• A••••• F•••• L•no longer reported | Hedge Fund | $3.4M | 20 | Feb 9, 2018 |
Owners and control persons
Schedule A and B, latest filing
- F•••••• B••••• L••••• · Co-Ceocontrolsince 07/2016 · owns less than 5%
- O•••••••• J•••••• · Co-Ceocontrolsince 04/2023 · owns less than 5%
- F•••••• B••••• L••••• · Membercontrolsince 10/2016 · owns 50% to 75% of T••••••• A•••• M••••••••• L••
- O•••••••• J•••••• · Membercontrolsince 04/2023 · owns 25% to 50% of T••••••• A•••• M••••••••• L••
- S••••••••• G•••• J••••• · Chief Compliance Officersince 03/2023 · owns less than 5%
Entity owners
- S•••••••• C•••••• G•• L•• · The General Partnerdirect · owns less than 5%
- T••••••• A•••• M••••••••• L•• · Limited Partnerdirect · owns 75% or more
- T••••••• A•••• M••••••••• L•• · Ownerindirect · owns 75% or more of S•••••••• C•••••• G•• L••
Related persons
Schedule D 7.A
- T••••••• A•••• M••••••••• L••investment advisernRAUM $2.7B
- T••••••• C••••••• L••broker-dealerinvestment advisern
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 |
|---|---|---|---|---|---|
| San Antonio, Tx · principal | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- A•••••, TX2 employees
What changed
consecutive filings, newest first
- Accounts · unset to 0.0Dec 11, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Dec 11, 2024 to Mar 27, 2025
- Discretionary RAUM · unset to 0.0Dec 11, 2024 to Mar 27, 2025
- Non-discretionary RAUM · unset to 0.0Dec 11, 2024 to Mar 27, 2025
- RAUM · unset to 0.0Dec 11, 2024 to Mar 27, 2025
- Accounts · 20.0 to unsetMar 9, 2023 to Mar 29, 2023
- Advisory activities · 1 to 2Mar 9, 2023 to Mar 29, 2023
- Pooled vehicle clients · 1.0 to unsetMar 9, 2023 to Mar 29, 2023
- Commission compensation · true to falseMar 9, 2023 to Mar 29, 2023
- Assets in custody · 3407615.0 to unsetMar 9, 2023 to Mar 29, 2023
- Custody of client assets · true to falseMar 9, 2023 to Mar 29, 2023
- Financial planning clients · 26-50 to 0Mar 9, 2023 to Mar 29, 2023
- Private funds · 1 to unsetMar 9, 2023 to Mar 29, 2023
- Discretionary RAUM · 3407615.0 to unsetMar 9, 2023 to Mar 29, 2023
- Non-discretionary RAUM · 0.0 to unsetMar 9, 2023 to Mar 29, 2023
- Pooled vehicle RAUM · 3407615.0 to unsetMar 9, 2023 to Mar 29, 2023
- RAUM · 3407615.0 to unsetMar 9, 2023 to Mar 29, 2023
- Accounts · 2 to 20Mar 30, 2021 to Mar 25, 2022
- BD registered reps · 2 to 1Mar 30, 2021 to Mar 25, 2022
- Pooled vehicle clients · 2 to 1Mar 30, 2021 to Mar 25, 2022
- Assets in custody · $9.2M to $3.4MMar 30, 2021 to Mar 25, 2022
- Employees · 2 to 4Mar 30, 2021 to Mar 25, 2022
- Insurance-licensed employees · 2 to 0Mar 30, 2021 to Mar 25, 2022
- Financial planning clients · 0 to 26-50Mar 30, 2021 to Mar 25, 2022
- State-registered IARs · 2 to 1Mar 30, 2021 to Mar 25, 2022
- Private funds · 2 to 1Mar 30, 2021 to Mar 25, 2022
- Discretionary RAUM · $9.2M to $3.4MMar 30, 2021 to Mar 25, 2022
- Pooled vehicle RAUM · $9.2M to $3.4MMar 30, 2021 to Mar 25, 2022
- RAUM · $9.2M to $3.4MMar 30, 2021 to Mar 25, 2022
- Other offices · 2 to 1Mar 25, 2022 to Mar 25, 2022
- Assets in custody · $11.0M to $9.2MMar 31, 2020 to Mar 30, 2021
- Discretionary RAUM · $11.0M to $9.2MMar 31, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $11.0M to $9.2MMar 31, 2020 to Mar 30, 2021
- RAUM · $11.0M to $9.2MMar 31, 2020 to Mar 30, 2021
- Assets in custody · $14.9M to $11.0MSep 23, 2019 to Mar 31, 2020
- Employees · 6 to 2Sep 23, 2019 to Mar 31, 2020
- Discretionary RAUM · $14.9M to $11.0MSep 23, 2019 to Mar 31, 2020
- Pooled vehicle RAUM · $14.9M to $11.0MSep 23, 2019 to Mar 31, 2020
- RAUM · $14.9M to $11.0MSep 23, 2019 to Mar 31, 2020
- Commission compensation · false to trueJan 18, 2019 to Mar 31, 2019
Signals
8 dated events
- A••••• M•••• G•••• left S•••••••• C••••••• L• for T••••••• A•••• M••••••••• L•• (registered 2023-10-10)Jan 2, 2025 · Advisor changed firm · fact
- Joe-Ben O'Banion (Co-Ceo) appeared on Schedule A of S•••••••• C••••••• L•May 8, 2024 · Control person joined · fact
- Henry George Kronenberg (Limited Partner) no longer on Schedule A of S•••••••• C••••••• L• (listed 2024-03-19, absent 2024-05-08)May 8, 2024 · Control person left · inference
- Austin Graff (Member) no longer on Schedule A of S•••••••• C••••••• L• (listed 2024-03-19, absent 2024-05-08)May 8, 2024 · Control person left · inference
- E•••••• A••••• (Cco) no longer on Schedule A of S•••••••• C••••••• L• (listed 2023-03-09, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- E•••••• A••••• (Cco) appeared on Schedule A of S•••••••• C••••••• L•Mar 31, 2020 · Control person joined · fact
- Anthony Leon Mimari (Cco) no longer on Schedule A of S•••••••• C••••••• L• (listed 2019-04-09, absent 2019-09-19)Sep 19, 2019 · Control person left · inference
- S•••••••• C••••••• L• filed its initial SEC registration (Form ADV)Oct 5, 2016 · 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
- Business phone
- 210-826-2424reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- S••••••••CAP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 210-826-2424reportedpublic record, Form ADV, Mar 30, 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
- No RAUM reportedderiveda 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