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•••••• M••••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Apr 9, 2021 · 11 filings
SEC status approved since May 11, 2021
RAUM
$120M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$120M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$120M as of Mar 23, 2026
Mar 25, 2022$200M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 23, 2026
Mar 25, 20221 then
Employees (5.A)1 as of Mar 23, 2026
Mar 25, 20221 then
Private funds1 as of Mar 23, 2026
Mar 25, 20223 then
RAUM +9.7% over the last fiscal year+6.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 23, 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
- $120MderivedRAUM 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
- $60.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.7%derivedbetween 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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $120M, 2 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$120M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $120M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••• A••••• J•••• T•••• | Denver, Co | Jun 2, 2017 | 14 y | 0 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••• C•••••• I••••• R••• E••••• F••• I•• L• | Real Estate Fund | $96.3M | 96 | Apr 9, 2021 |
| S••••• C•••••• I••••• R••• E••••• F••• I••• L•no longer reported | Real Estate Fund | $81.7M | 312 | Mar 25, 2022 |
| S••••• C•••••• I••••• R••• E••••• F••• I• L• | Real Estate Fund | $619,896 | 82 | Apr 9, 2021 |
Owners and control persons
Schedule A and B, latest filing
- T••••• R••••• A••••• J•••• · Founder And Chief Compliance Officercontrolsince 03/2017 · owns less than 5%
- T••••• R••••• A••••• J•••• · Sole Member And Managercontrolsince 03/2017 · owns 75% or more of S••••• C•••••• P•••••••• L••
Entity owners
- S••••• C•••••• P•••••••• L•• · Sole Member And Managerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Advisers that list S••••• C•••••• M••••••••• L•• as a related person
- 323864 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $109M to $120MMay 5, 2025 to Mar 23, 2026
- Discretionary RAUM · $109M to $120MMay 5, 2025 to Mar 23, 2026
- Pooled vehicle RAUM · $109M to $120MMay 5, 2025 to Mar 23, 2026
- RAUM · $109M to $120MMay 5, 2025 to Mar 23, 2026
- Financial planning clients · unset to Apr 1, 2025 to May 5, 2025
- Accounts · 3 to 2May 31, 2024 to Apr 1, 2025
- Pooled vehicle clients · 3 to 2May 31, 2024 to Apr 1, 2025
- Assets in custody · $96.9M to $109MMay 31, 2024 to Apr 1, 2025
- Private funds · 2 to 1May 31, 2024 to Apr 1, 2025
- Discretionary RAUM · $96.9M to $109MMay 31, 2024 to Apr 1, 2025
- Pooled vehicle RAUM · $96.9M to $109MMay 31, 2024 to Apr 1, 2025
- RAUM · $96.9M to $109MMay 31, 2024 to Apr 1, 2025
- Assets in custody · $94.9M to $96.9MMar 29, 2024 to May 31, 2024
- Discretionary RAUM · $94.9M to $96.9MMar 29, 2024 to May 31, 2024
- Pooled vehicle RAUM · $94.9M to $96.9MMar 29, 2024 to May 31, 2024
- RAUM · $94.9M to $96.9MMar 29, 2024 to May 31, 2024
- Accounts · 2 to 3Mar 18, 2024 to Mar 29, 2024
- Pooled vehicle clients · 2 to 3Mar 18, 2024 to Mar 29, 2024
- Assets in custody · $98.2M to $94.9MMar 18, 2024 to Mar 29, 2024
- Discretionary RAUM · $98.2M to $94.9MMar 18, 2024 to Mar 29, 2024
- Pooled vehicle RAUM · $98.2M to $94.9MMar 18, 2024 to Mar 29, 2024
- RAUM · $98.2M to $94.9MMar 18, 2024 to Mar 29, 2024
- Assets in custody · $128M to $98.2MOct 13, 2022 to Mar 24, 2023
- Discretionary RAUM · $128M to $98.2MOct 13, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · $128M to $98.2MOct 13, 2022 to Mar 24, 2023
- RAUM · $128M to $98.2MOct 13, 2022 to Mar 24, 2023
- Related adviser · false to trueOct 13, 2022 to Mar 24, 2023
- Accounts · 3 to 2Mar 25, 2022 to Oct 13, 2022
- Pooled vehicle clients · 3 to 2Mar 25, 2022 to Oct 13, 2022
- Assets in custody · $200M to $128MMar 25, 2022 to Oct 13, 2022
- Private funds · 3 to 2Mar 25, 2022 to Oct 13, 2022
- Discretionary RAUM · $200M to $128MMar 25, 2022 to Oct 13, 2022
- Pooled vehicle RAUM · $200M to $128MMar 25, 2022 to Oct 13, 2022
- RAUM · $200M to $128MMar 25, 2022 to Oct 13, 2022
- Assets in custody · $50.8M to $200MApr 9, 2021 to Mar 25, 2022
- Private funds · 2 to 3Apr 9, 2021 to Mar 25, 2022
- Discretionary RAUM · $116M to $200MApr 9, 2021 to Mar 25, 2022
- Pooled vehicle RAUM · $116M to $200MApr 9, 2021 to Mar 25, 2022
- RAUM · $116M to $200MApr 9, 2021 to Mar 25, 2022
Signals
1 dated events
- S••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 9, 2021 · 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
- Website
- S•••••CP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 303-888-2826reportedpublic record, Form ADV, Mar 23, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $120Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
S••••• C•••••• M••••••••• 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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