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••••••••• R•••• C•••••• L•
Latest filing Mar 25, 2026
First filing on the tape Jun 26, 2018 · 13 filings
SEC status approved since Jul 26, 2018
RAUM
$758M
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
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$758M as of Mar 25, 2026
Mar 29, 2019$364M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 29, 20190 then
Employees (5.A)7 as of Mar 25, 2026
Mar 29, 20197 then
Private funds3 as of Mar 25, 2026
Mar 29, 20193 then
RAUM -22% over the last fiscal year-12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2026; 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
- $189MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -22%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
- 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
- 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)
- 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$758M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••••• R•••• C•••••• C••• E••••••••• M••••• F••• L• | Hedge Fund | $887M | 51 | Aug 15, 2017 |
| S••••••••• R•••• C•••••• C••• E••••••••• F••• L••• | Hedge Fund | $702M | 33 | Jun 26, 2018 |
| S••••••••• R•••• C•••••• C••• E••••••••• F••• L• | Hedge Fund | $185M | 18 | Jun 26, 2018 |
Owners and control persons
Schedule A and B, latest filing
- D•••••• B••••• R••••• · Chief Financial Officercontrolsince 02/2020 · owns less than 5%
- K•••••• J••••• S•••• · Chief Investment Officercontrolsince 06/2017 · owns 75% or more
- N•••• R•••••• A•••••• · General Counsel And Chief Compliance Officercontrolsince 02/2020 · owns less than 5%
- K•••••• J••••• S•••• · Managing Membercontrolsince 02/2017 · owns 75% or more of S••••••••• R•••• C•••••• G• L••
- H•••• A••• · Analystsince 06/2017 · owns 5% to 10%
Entity owners
- S••••••••• R•••• C•••••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- S••••••••• R•••• C•••••• F••• G• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Mar 24, 2025 to Mar 25, 2026
- Employees · 6 to 7Mar 24, 2025 to Mar 25, 2026
- Discretionary RAUM · $972M to $758MMar 24, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $972M to $758MMar 24, 2025 to Mar 25, 2026
- RAUM · $972M to $758MMar 24, 2025 to Mar 25, 2026
- Financial planning clients · unset to Mar 4, 2025 to Mar 24, 2025
- Employees · 7 to 6May 9, 2024 to Mar 4, 2025
- Discretionary RAUM · $958M to $972MMay 9, 2024 to Mar 4, 2025
- Pooled vehicle RAUM · $958M to $972MMay 9, 2024 to Mar 4, 2025
- RAUM · $958M to $972MMay 9, 2024 to Mar 4, 2025
- Discretionary RAUM · $1.1B to $958MMar 23, 2023 to Mar 14, 2024
- Pooled vehicle RAUM · $1.1B to $958MMar 23, 2023 to Mar 14, 2024
- RAUM · $1.1B to $958MMar 23, 2023 to Mar 14, 2024
- Assets in custody · 963602857.0 to unsetOct 26, 2022 to Mar 23, 2023
- Custody of client assets · true to falseOct 26, 2022 to Mar 23, 2023
- Discretionary RAUM · $964M to $1.1BOct 26, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $964M to $1.1BOct 26, 2022 to Mar 23, 2023
- RAUM · $964M to $1.1BOct 26, 2022 to Mar 23, 2023
- Assets in custody · $690M to $964MMar 24, 2021 to Mar 2, 2022
- Employees · 8 to 7Mar 24, 2021 to Mar 2, 2022
- Discretionary RAUM · $690M to $964MMar 24, 2021 to Mar 2, 2022
- Pooled vehicle RAUM · $690M to $964MMar 24, 2021 to Mar 2, 2022
- RAUM · $690M to $964MMar 24, 2021 to Mar 2, 2022
- Accounts · 3 to 4Mar 31, 2020 to Mar 24, 2021
- Pooled vehicle clients · 3 to 4Mar 31, 2020 to Mar 24, 2021
- Assets in custody · $465M to $690MMar 31, 2020 to Mar 24, 2021
- Financial planning clients · 0 to unsetMar 31, 2020 to Mar 24, 2021
- Discretionary RAUM · $465M to $690MMar 31, 2020 to Mar 24, 2021
- Pooled vehicle RAUM · $465M to $690MMar 31, 2020 to Mar 24, 2021
- RAUM · $465M to $690MMar 31, 2020 to Mar 24, 2021
- Assets in custody · $364M to $465MMar 29, 2019 to Mar 31, 2020
- Employees · 7 to 8Mar 29, 2019 to Mar 31, 2020
- Discretionary RAUM · $364M to $465MMar 29, 2019 to Mar 31, 2020
- Pooled vehicle RAUM · $364M to $465MMar 29, 2019 to Mar 31, 2020
- RAUM · $364M to $465MMar 29, 2019 to Mar 31, 2020
- Advisory employees · 2 to 3Jun 26, 2018 to Mar 29, 2019
- Assets in custody · $284M to $364MJun 26, 2018 to Mar 29, 2019
- Employees · 5 to 7Jun 26, 2018 to Mar 29, 2019
- Financial planning clients · unset to 0Jun 26, 2018 to Mar 29, 2019
- Private funds · 6 to 3Jun 26, 2018 to Mar 29, 2019
Signals
7 dated events
- S••••••••• R•••• C•••••• L• reported RAUM $963.6M, up 40% from $690.3M (2021-03-24 to 2022-03-02)Mar 2, 2022 · RAUM change · derived
- S••••••••• R•••• C•••••• L• reported RAUM $690.3M, up 49% from $464.7M (2020-03-31 to 2021-03-24)Mar 24, 2021 · RAUM change · derived
- S••••••••• R•••• C•••••• L• reported RAUM $464.7M, up 28% from $364.3M (2019-03-29 to 2020-03-31)Mar 31, 2020 · RAUM change · derived
- Thomas John Ferguson (Chief Compliance Officer, Chief Operating Officer) no longer on Schedule A of S••••••••• R•••• C•••••• L• (listed 2019-03-29, absent 2020-03-31)Mar 31, 2020 · Control person left · inference
- Anthony Robert Nisi (General Counsel And Chief Compliance Officer) appeared on Schedule A of S••••••••• R•••• C•••••• L•Mar 31, 2020 · Control person joined · fact
- Robert Brian Dallas (Chief Financial Officer) appeared on Schedule A of S••••••••• R•••• C•••••• L•Mar 31, 2020 · Control person joined · fact
- S••••••••• R•••• C•••••• L• filed its initial SEC registration (Form ADV)Jun 26, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••••••• R•••• C•••••• L• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- S•••••••••R••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 732-945-4321reportedpublic record, Form ADV, Mar 25, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026