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 Apr 27, 2026
First filing on the tape Dec 22, 2016 · 51 filings
SEC status approved since May 12, 2017
RAUM
$5.6B
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
74%
$4.1B individuals and HNW
Advisors
18
registered through the firm on IAPD
RAUM per advisor
$313M
derived; firm RAUM over IAPD count
Employees
31
18 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
10
reported on Schedule D
History
51 filings and snapshots on the tape
RAUM$5.6B as of Apr 27, 2026
Mar 29, 2018$2.8B then
HNW client RAUM$4.1B as of Apr 27, 2026
Mar 29, 2018$2.4B then
State-registered IARs (5.B.3)18 as of Apr 27, 2026
Mar 29, 201813 then
Employees (5.A)31 as of Apr 27, 2026
Mar 29, 201816 then
Private funds10 as of Apr 27, 2026
Mar 29, 20181 then
RAUM n/a over the last fiscal year+3.7% a year over three
Practice profile
derived from the filing of Apr 27, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- ria with p•••••• funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- uhnw p•••••• wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $313MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $15.0MderivedHNW RAUM over HNW clients
- Average account
- $15.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 9.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.6derived5 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, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $1.6B, 1,483 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$4.1B74%
- Investment companies$628M11%
- Charitable organizations$542M9.6%
- Pooled investment vehicles$323M5.7%
- Individual clients
- n/areported
- HNW clients
- 276reported
- Pension plan clients
- n/areported
- Charitable clients
- 7reported
- Accounts
- 374reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.6B for 1,483 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.74 fund_share=0.17 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
18 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••• A••••• C••••• | Salt Lake City, Ut | May 15, 2017 | 46 y | 2 |
| H••••• N• R••••• | Salt Lake City, Ut | Aug 5, 2020 | 11 y | 1 |
| G•••••• B••••••• H••• | Bronx, Ny | May 30, 2021 | 11 y | 1 |
| S•••••• S••••• S••• | Salt Lake City, Ut | Jul 12, 2021 | 10 y | 0 |
| J••• H•••••• B•••••• | Salt Lake City, Ut | Jul 26, 2021 | 23 y | 1 |
| D••••• B••••••• E••••• | Alamo, Ca | Jul 27, 2021 | 26 y | 2 |
| S••••• W•••••• E•••••Chartered Financial Analyst | Salt Lake City, Ut | Jul 27, 2021 | 22 y | 2 |
| K••• C••• H••• | Salt Lake City, Ut | Jul 27, 2021 | 10 y | 1 |
| J••••• R••••• H••••• | Salt Lake City, Ut | Jul 27, 2021 | 12 y | 0 |
| J••••• R•••• C•••••Chartered Financial Analyst | Salt Lake City, Ut | Jul 29, 2021 | 23 y | 1 |
| M••••••• J••• R•••••• | Salt Lake City, Ut | Sep 21, 2021 | 11 y | 0 |
| A•••••••• R••• | Salt Lake City, Ut | Nov 14, 2022 | 14 y | 0 |
| J•••••• P•••••• C••••• | Salt Lake City, Ut | Aug 23, 2023 | 10 y | 0 |
| B••••• J••• B•••••• | Salt Lake City, Ut | Jan 1, 2025 | 29 y | 2 |
| H••• S•• K••• | Salt Lake City, Ut | Mar 17, 2025 | 12 y | 0 |
| A••• C••• | Salt Lake City, Ut | Oct 24, 2025 | 11 y | 0 |
| B•••• B••••• N••••••• | Salt Lake City, Ut | Nov 12, 2025 | 10 y | 0 |
| C••••••••• D•••• B••••• | San Ramon, Ca | Dec 16, 2025 | 29 y | 3 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount3 left over 36 months
Left, latest
- B••••••• P• S•••• to I•• C••••••• L••Nov 14, 2023 · RIA to RIA
- E•••••••• A•• M•••••• to I•• C••••••• L••Nov 14, 2023 · RIA to RIA
- A••••• K• V•••••• to I•• C••••••• L••Nov 14, 2023 · RIA to RIA
- L••••• J••• S•••• to S••••••• I••••• A•••••••Jun 24, 2022 · RIA to a newly registered adviser
- A••••• J•• A••••••• to J••••• P••• G•••• L••Oct 30, 2019 · RIA to RIA
- I••••• E••• A••••• to A•••• A••••••• L••Oct 30, 2019 · Other
- A••••• A•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 16, 2018 · RIA to wirehouse
Joined, latest
- C••••••••• D•••• B••••• from F••• P•••• C•••••• P••••••• L••Dec 16, 2025 · Other
- B••••• J••• B•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 1, 2025 · Wirehouse to independent RIA
- E•••••••• A•• M•••••• from W•••• F•••• A•••••••Jan 26, 2023 · Wirehouse to independent RIA
- J••••• R•••• C••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 29, 2021 · Wirehouse to independent RIA
- S••••• W•••••• E••••• from M••••• S••••••Jul 27, 2021 · Wirehouse to independent RIA
- K••• C••• H••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 27, 2021 · Wirehouse to independent RIA
- D••••• B••••••• E••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 27, 2021 · Wirehouse to independent RIA
- J••• H•••••• B•••••• from M••••••••• A•••••••••Jul 26, 2021 · RIA to RIA
- G•••••• B••••••• H••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 30, 2021 · Wirehouse to independent RIA
- H••••• N• R••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 5, 2020 · Wirehouse to independent RIA
- A••••• K• V•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 11, 2017 · Other
- B••••••• P• S•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 16, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- A••••• A•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 15, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- R•••• A••••• C••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 15, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for I•• C••••••• L••Nov 14, 2023 · Alamo, Ca
- 8 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 15, 2017 · San Francisco, Ca
Private funds
11 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••• C•••••• P•••••• G••••• F•••• L• | Private Equity Fund | $73.1M | 96 | Jan 19, 2021 |
| S•••• C•••••• I••••• F•••• L• | Private Equity Fund | $70.7M | 98 | Mar 29, 2023 |
| B•••••• C•••••• F••• L•• | Hedge Fund | $67.6M | 61 | Mar 30, 2012 |
| S•••• C•••••• P••••••• M••••• L•no longer reported | Hedge Fund | $55.1M | 2 | Aug 25, 2020 |
| S•••• N•• F•••• L• | Private Equity Fund | $37.5M | 43 | Apr 29, 2019 |
| S•••• C•••••• R••• E••••• F••• I•• L• | Real Estate Fund | $37.5M | 76 | Sep 2, 2021 |
| S•••• C•••••• R••• E••••• F••• I• L• | Real Estate Fund | $32.8M | 51 | Aug 25, 2020 |
| S• P•••••• G••••• F••• I•• L• | Private Equity Fund | $28.9M | 2 | Mar 27, 2024 |
| S• R••• A•••••• L• | $14.8M | 38 | Apr 27, 2026 | |
| S•••• C•••••• A••••••••• F•••• L• | Private Equity Fund | $3.0M | 44 | Mar 29, 2018 |
| S•••• Z•••••• S•• L•• | $1.6M | 9 | Apr 27, 2026 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• J•••• H•••••• · Limited Partner, Co-Chief Investment Officer, Managing Directorcontrolsince 01/2022 · owns 10% to 25%
- C•••••• J•••••• R•••• · Limited Partnercontrolsince 05/2017 · owns 10% to 25%
- C•••••• R••••• A••••• · Limited Partner And Managing Directorcontrolsince 05/2017 · owns 25% to 50%
- E•••••• D•••••• B••••••• · Limited Partner And Managing Directorcontrolsince 05/2017 · owns 10% to 25%
- G••••••••• S•••••• J••• · Chief Compliance Officercontrolsince 05/2023 · owns less than 5%
- R••••••• M•••••••• J••• · Limited Partner, Managing Directorcontrolsince 01/2024 · owns less than 5%
- R•••••• H•••••• N• · Limited Partner, Managing Directorcontrolsince 01/2024 · owns 10% to 25%
- C•••••• J•••••• R•••• · Managing Membercontrolsince 05/2017 · owns 25% to 50% of S•••• C•••••• H•••••••• L••
- C•••••• R••••• A••••• · Managing Membercontrolsince 05/2017 · owns 50% to 75% of S•••• C•••••• H•••••••• L••
- E•••••• D•••••• B••••••• · Managing Membercontrolsince 05/2017 · owns F of S•••• C•••••• H•••••••• L••
- K•••••• J•••••• K•••• · Chief Compliance Officersince 04/2026 · owns less than 5%
Entity owners
- S•••• C•••••• H•••••••• L•• · General Partner (Holding Company)direct · owns less than 5%
Related persons
Schedule D 7.A
- S•••• C•••••• M••••••••• G•• L••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Salt Lake City, Ut · principal | 18 | 3 | 0 | ||
| Alamo, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Alamo, CA2 employees
- , 1 employees
- Jackson, WY
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Apr 27, 2026G••••••••• S•••••• J••• (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-05-08 and 2026-04-27peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 345 to 374Sep 22, 2025 to Mar 31, 2026
- Advisory employees · 17 to 18Sep 22, 2025 to Mar 31, 2026
- HNW clients · 248 to 276Sep 22, 2025 to Mar 31, 2026
- Assets in custody · $1.4B to $1.6BSep 22, 2025 to Mar 31, 2026
- Employees · 27 to 31Sep 22, 2025 to Mar 31, 2026
- Financial planning clients · 1-10 to 0Sep 22, 2025 to Mar 31, 2026
- State-registered IARs · 15 to 18Sep 22, 2025 to Mar 31, 2026
- Discretionary RAUM · $3.8B to $5.0BSep 22, 2025 to Mar 31, 2026
- HNW RAUM · $3.2B to $4.1BSep 22, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $637M to $603MSep 22, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $305M to $323MSep 22, 2025 to Mar 31, 2026
- RAUM · $4.5B to $5.6BSep 22, 2025 to Mar 31, 2026
- Wrap assets (manager) · 0.0 to unsetSep 22, 2025 to Mar 31, 2026
- Wrap assets (sponsor) · 0.0 to unsetSep 22, 2025 to Mar 31, 2026
- Financial planning clients · 1-10 to 1-10May 1, 2025 to Jul 28, 2025
- Accounts · 1,963 to 345Nov 8, 2024 to May 1, 2025
- Advisory employees · 15 to 17Nov 8, 2024 to May 1, 2025
- Charity clients · 11 to 7Nov 8, 2024 to May 1, 2025
- HNW clients · 220 to 248Nov 8, 2024 to May 1, 2025
- Assets in custody · $258M to $1.4BNov 8, 2024 to May 1, 2025
- Employees · 24 to 27Nov 8, 2024 to May 1, 2025
- Financial planning clients · 11-25 to 1-10Nov 8, 2024 to May 1, 2025
- Other offices · 3 to 4Nov 8, 2024 to May 1, 2025
- Private funds · 9 to 10Nov 8, 2024 to May 1, 2025
- Discretionary RAUM · $3.2B to $3.8BNov 8, 2024 to May 1, 2025
- HNW RAUM · $5.2B to $3.2BNov 8, 2024 to May 1, 2025
- Non-discretionary RAUM · $3.5B to $637MNov 8, 2024 to May 1, 2025
- Pooled vehicle RAUM · $711M to $305MNov 8, 2024 to May 1, 2025
- RAUM · $6.7B to $4.5BNov 8, 2024 to May 1, 2025
- Accounts · 2,315 to 1,963Jan 16, 2024 to Mar 27, 2024
- Advisory employees · 19 to 15Jan 16, 2024 to Mar 27, 2024
- HNW clients · 266 to 220Jan 16, 2024 to Mar 27, 2024
- Pooled vehicle clients · 8 to 10Jan 16, 2024 to Mar 27, 2024
- Assets in custody · $287M to $258MJan 16, 2024 to Mar 27, 2024
- Employees · 29 to 24Jan 16, 2024 to Mar 27, 2024
- State-registered IARs · 19 to 15Jan 16, 2024 to Mar 27, 2024
- Private funds · 8 to 9Jan 16, 2024 to Mar 27, 2024
- Discretionary RAUM · $2.7B to $3.2BJan 16, 2024 to Mar 27, 2024
- HNW RAUM · $4.0B to $5.2BJan 16, 2024 to Mar 27, 2024
- Non-discretionary RAUM · $2.3B to $3.5BJan 16, 2024 to Mar 27, 2024
Signals
21 dated events
- S•••• C••••••• L• reported RAUM $5.6B, up 26% from $4.5B (2025-09-22 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- S•••• C••••••• L• reported RAUM $4.5B, down 33% from $6.7B (2024-11-08 to 2025-05-01)May 1, 2025 · RAUM change · derived
- R•••••• B•••• W•••• (Chief Financial Officer) no longer on Schedule A of S•••• C••••••• L• (listed 2024-05-22, absent 2024-11-08)Nov 8, 2024 · Control person left · inference
- Jean Stacey Gillespie (Chief Compliance Officer) appeared on Schedule A of S•••• C••••••• L•May 8, 2024 · Control person joined · fact
- N Hansen Ringer (Limited Partner, Managing Director) appeared on Schedule A of S•••• C••••••• L•Mar 27, 2024 · Control person joined · fact
- J••• M••••••• R•••••• (Limited Partner, Managing Director) appeared on Schedule A of S•••• C••••••• L•Mar 27, 2024 · Control person joined · fact
- S•••• C••••••• L• reported RAUM $6.7B, up 32% from $5.1B (2024-01-16 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- Herbert J••• Beatson (Limited Partner, Co-Chief Investment Officer, Managing Director) appeared on Schedule A of S•••• C••••••• L•Mar 27, 2024 · Control person joined · fact
- 2 advisors left S•••• C••••••• L• (Alamo, CA) for I•• C••••••• L•• on the same dayNov 14, 2023 · Team lift-out · derived
- B••••••• P• S•••• left S•••• C••••••• L• for I•• C••••••• L•• (registered 2023-11-28)Nov 14, 2023 · Advisor changed firm · fact
- A••••• K• V•••••• left S•••• C••••••• L• for I•• C••••••• L•• (registered 2023-11-14)Nov 14, 2023 · Advisor changed firm · fact
- E•••••••• A•• M•••••• left S•••• C••••••• L• for I•• C••••••• L•• (registered 2023-11-16)Nov 14, 2023 · Advisor changed firm · fact
- L••••• J••• S•••• left S•••• C••••••• L• for S••••••• I••••• A••••••• (registered 2023-01-19)Jun 24, 2022 · Advisor changed firm · fact
- S•••• C••••••• L• reported RAUM $6.2B, up 41% from $4.4B (2021-11-30 to 2022-03-18)Mar 18, 2022 · RAUM change · derived
- R•••••• B•••• W•••• (Chief Compliance Officer) appeared on Schedule A of S•••• C••••••• L•Nov 30, 2021 · Control person joined · fact
- Yulia Perruzzi (Managing Director, Chief Compliance Officer, And Chief Financial Officer) no longer on Schedule A of S•••• C••••••• L• (listed 2021-09-07, absent 2021-11-01)Nov 1, 2021 · Control person left · inference
- S•••• C••••••• L• reported RAUM $4.4B, up 25% from $3.5B (2021-01-29 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- S•••• C••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)May 26, 2020 · Succession (Item 4) · fact
- Yulia Perruzzi (Managing Director, Chief Compliance Officer, And Chief Financial Officer) appeared on Schedule A of S•••• C••••••• L•Apr 14, 2020 · Control person joined · fact
- S•••• C••••••• L• reported RAUM $3.5B, up 25% from $2.8B (2019-11-10 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- C••• L•• filed its initial SEC registration (Form ADV)Dec 22, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••• C••••••• L• · Independent Sponsorsshared crd · capital_provider
- S•••• C••••••• L•• · Private Equityshared crd · organization
- S•••• C••••••• L• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- i•••@s•••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- k•••••••••@s•••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 414-424-4452reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 415-424-4452reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 415-915-5883reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/S••••CAP-reportedpublic record, Form ADV, Sep 18, 2026
- Website
- S••••CAP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (415) 915-3708reportedpublic record, Form ADV, Apr 27, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $313Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
S•••• C••••••• L• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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