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•••••• P•••••••• L••
Latest filing Sep 4, 2026
First filing on the tape Jun 21, 2021 · 12 filings
SEC status approved since Jul 20, 2021
RAUM
$987M
reported, Item 5.F
Discretionary
94%
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
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$987M as of Apr 10, 2026
Mar 29, 2022$616M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 10, 2026
Mar 29, 20220 then
Employees (5.A)8 as of Apr 10, 2026
Mar 29, 20226 then
Private funds12 as of Apr 10, 2026
Mar 29, 20229 then
RAUM +8.5% over the last fiscal year-0.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 4, 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
- $61.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%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
- +8.5%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $925M, 12 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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
- Pooled investment vehicles$987M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 16reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $925M for 12 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=5.0derived
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
13 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••• C••••••• O••••••••• F••• I• L••• | Private Equity Fund | $272M | 54 | Dec 8, 2020 |
| S••••• R••••••• L• | Other Private Fund | $145M | 1 | Dec 8, 2020 |
| S••••• H•• L• | Other Private Fund | $115M | 1 | Mar 29, 2022 |
| S••••• C••••••• O••••••••• F••• I••• L••• | Private Equity Fund | $80.8M | 5 | Dec 8, 2020 |
| S••••• R•••••• I••• L• | Other Private Fund | $29.8M | 1 | Mar 31, 2023 |
| S••••• C•• L• | Other Private Fund | $28.5M | 1 | Mar 29, 2022 |
| S••••• R••••• L• | Other Private Fund | $19.3M | 3 | Jun 21, 2021 |
| S••••• F•••• L••• | Other Private Fund | $17.3M | 8 | Dec 8, 2020 |
| S••••• R•••••• I•• L• | Other Private Fund | $15.5M | 1 | Mar 31, 2023 |
| S••••• C••••••• O••••••••• F••• I•• L••• | Private Equity Fund | $11.0M | 36 | Mar 31, 2023 |
| S••••• C••••••• O••••••••• F••• I•••• L••• | Private Equity Fund | $4.6M | 5 | Mar 31, 2023 |
| M•••• B•••••• L•• | Other Private Fund | $2.5M | 27 | Dec 8, 2020 |
| S• L•••• E••• L•• | Other Private Fund | $1.1M | 10 | Dec 8, 2020 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• P••••• H••••• · Chief Executive Officer/ Chief Compliance Officercontrolsince 11/2018 · owns less than 5%
- C••••••• P••••• H••••• · Membercontrolsince 04/2017 · owns 75% or more of R••••• S••• C••••••• L••
Entity owners
- R••••• S••• C••••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- S••••• A••••••• L••broker-dealern
- S••••• C••••••• O••••••••• F••• I• G•• L•••pooled vehicle sponsorn
- S••••• C••••••• O••••••••• F••• I• G•••• L•••pooled vehicle sponsorn
- S••••• C• G•• L•pooled vehicle sponsorn
- S••••• H• G•• L•pooled vehicle sponsorn
- S••••• R•••••• G•• L•pooled vehicle sponsorn
- S••••• R•••• G•• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · to unsetApr 10, 2026 to Sep 4, 2026
- HQ city · to unsetApr 10, 2026 to Sep 4, 2026
- HQ state · to unsetApr 10, 2026 to Sep 4, 2026
- Private funds · 12 to unsetApr 10, 2026 to Sep 4, 2026
- Succession · false to unsetApr 10, 2026 to Sep 4, 2026
- Assets in custody · $844M to $925MApr 10, 2025 to Mar 25, 2026
- Discretionary RAUM · $840M to $925MApr 10, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $69.7M to $62.2MApr 10, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $910M to $987MApr 10, 2025 to Mar 25, 2026
- RAUM · $910M to $987MApr 10, 2025 to Mar 25, 2026
- Advisory employees · 4 to 5Apr 19, 2024 to Apr 10, 2025
- BD registered reps · 4 to 5Apr 19, 2024 to Apr 10, 2025
- Assets in custody · $884M to $844MApr 19, 2024 to Apr 10, 2025
- Employees · 6 to 8Apr 19, 2024 to Apr 10, 2025
- Financial planning clients · unset to Apr 19, 2024 to Apr 10, 2025
- HQ city · unset to Apr 19, 2024 to Apr 10, 2025
- HQ state · unset to Apr 19, 2024 to Apr 10, 2025
- Discretionary RAUM · $884M to $840MApr 19, 2024 to Apr 10, 2025
- Non-discretionary RAUM · $108M to $69.7MApr 19, 2024 to Apr 10, 2025
- Pooled vehicle RAUM · $992M to $910MApr 19, 2024 to Apr 10, 2025
- RAUM · $992M to $910MApr 19, 2024 to Apr 10, 2025
- Accounts · 17 to 16Jun 5, 2023 to Mar 26, 2024
- Pooled vehicle clients · 13 to 12Jun 5, 2023 to Mar 26, 2024
- Assets in custody · $891M to $884MJun 5, 2023 to Mar 26, 2024
- Private funds · 13 to 12Jun 5, 2023 to Mar 26, 2024
- Discretionary RAUM · $891M to $884MJun 5, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $110M to $108MJun 5, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $1.0B to $992MJun 5, 2023 to Mar 26, 2024
- RAUM · $1.0B to $992MJun 5, 2023 to Mar 26, 2024
- Accounts · 11 to 17Jul 14, 2022 to Mar 31, 2023
- Pooled vehicle clients · 9 to 13Jul 14, 2022 to Mar 31, 2023
- Assets in custody · $597M to $891MJul 14, 2022 to Mar 31, 2023
- Private funds · 9 to 13Jul 14, 2022 to Mar 31, 2023
- Discretionary RAUM · $597M to $891MJul 14, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $18.6M to $110MJul 14, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $616M to $1.0BJul 14, 2022 to Mar 31, 2023
- RAUM · $616M to $1.0BJul 14, 2022 to Mar 31, 2023
- Accounts · 9 to 11Jun 21, 2021 to Mar 29, 2022
- Pooled vehicle clients · 7 to 9Jun 21, 2021 to Mar 29, 2022
- Assets in custody · $194M to $597MJun 21, 2021 to Mar 29, 2022
Signals
3 dated events
- S••••• C•••••• P•••••••• L•• reported RAUM $1.0B, up 62% from $616.1M (2022-07-14 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- S••••• C•••••• P•••••••• L•• reported RAUM $616.1M, up 168% from $229.9M (2021-06-21 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- S••••• C•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Jun 21, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••• C•••••• P•••••••• L•• · Private Equityshared crd · organization
- S••••• C•••••• P•••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/story3/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- story3capital.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-425-3000reportedpublic record, Form ADV, Sep 4, 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