DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

S••••• C•••••• L•

Wealth manager with institutional or fund businessSEC-registered1 private funds· San Francisco, Californiawebsite

Wealth manager with institutional or fund business, based in San Francisco, California, reporting $518M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$518M
Form ADV
Advisors
0
IAPD
Net advisor flow, 12 months
Not established
RAUM change, last fiscal year
-3.5%
Form ADV, consecutive annual filings
Private clients
22% of RAUM, $116M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 300755 · SEC 801-114818 · 20 filingsShow
CRD 300755SEC 801-114818First filing on the tape Feb 8, 2019, latest Mar 27, 2026SEC status approved since Feb 22, 2019IAPD
RAUM
$518M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
22%
$116M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$518M as of Mar 27, 2026
Apr 7, 2020$149M then
HNW client RAUM$116M as of Mar 27, 2026
Apr 7, 2020$149M then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Apr 7, 20200 then
Employees (5.A)7 as of Mar 27, 2026
Apr 7, 20201 then
Private funds1 as of Mar 27, 2026
Mar 31, 20211 then
RAUM -3.5% over the last fiscal year+9.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
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
$86.3MderivedRAUM 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
-3.5%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-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
yesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$402M78%
  • High-net-worth individuals$116M22%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.22 fund_share=0.78 institutional_share=0.0 related_bd=false related_bank=false 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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••••••••• M••••• F••• L•Hedge Fund$402M48Mar 31, 2021
      Owners and control persons
      Schedule A and B, latest filing
      • F•••• M••••••• A• · Managing Membercontrol
        since 01/2019 · owns 75% or more
      • O•••••• J••••• M•••••• · Chief Compliance Officer And Chief Operating Officercontrol
        since 01/2021 · owns less than 5%
      Related persons
      Schedule D 7.A
      • S••••• C•••••• G• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • HNW clients · 3.0 to unset
        Jan 6, 2026 to Mar 27, 2026
      • Discretionary RAUM · $536M to $518M
        Jan 6, 2026 to Mar 27, 2026
      • HNW RAUM · $123M to $116M
        Jan 6, 2026 to Mar 27, 2026
      • Pooled vehicle RAUM · $413M to $402M
        Jan 6, 2026 to Mar 27, 2026
      • RAUM · $536M to $518M
        Jan 6, 2026 to Mar 27, 2026
      • Advisory employees · 3 to 5
        Jan 23, 2025 to Mar 31, 2025
      • Employees · 4 to 7
        Jan 23, 2025 to Mar 31, 2025
      • Financial planning clients · 0 to 0
        Jan 23, 2025 to Mar 31, 2025
      • Discretionary RAUM · $412M to $536M
        Jan 23, 2025 to Mar 31, 2025
      • HNW RAUM · $125M to $123M
        Jan 23, 2025 to Mar 31, 2025
      • Pooled vehicle RAUM · $287M to $413M
        Jan 23, 2025 to Mar 31, 2025
      • RAUM · $412M to $536M
        Jan 23, 2025 to Mar 31, 2025
      • Discretionary RAUM · $451M to $412M
        Mar 28, 2024 to Apr 24, 2024
      • Pooled vehicle RAUM · $326M to $287M
        Mar 28, 2024 to Apr 24, 2024
      • RAUM · $451M to $412M
        Mar 28, 2024 to Apr 24, 2024
      • Discretionary RAUM · $400M to $451M
        Apr 24, 2023 to Mar 28, 2024
      • HNW RAUM · $116M to $125M
        Apr 24, 2023 to Mar 28, 2024
      • Pooled vehicle RAUM · $285M to $326M
        Apr 24, 2023 to Mar 28, 2024
      • RAUM · $400M to $451M
        Apr 24, 2023 to Mar 28, 2024
      • Discretionary RAUM · $359M to $400M
        Aug 23, 2022 to Mar 27, 2023
      • HNW RAUM · $170M to $116M
        Aug 23, 2022 to Mar 27, 2023
      • Pooled vehicle RAUM · $189M to $285M
        Aug 23, 2022 to Mar 27, 2023
      • RAUM · $359M to $400M
        Aug 23, 2022 to Mar 27, 2023
      • Discretionary RAUM · $379M to $359M
        Mar 29, 2022 to May 3, 2022
      • Pooled vehicle RAUM · $209M to $189M
        Mar 29, 2022 to May 3, 2022
      • RAUM · $379M to $359M
        Mar 29, 2022 to May 3, 2022
      • Accounts · 5 to 6
        Oct 18, 2021 to Mar 29, 2022
      • Pooled vehicle clients · 2 to 3
        Oct 18, 2021 to Mar 29, 2022
      • Discretionary RAUM · $205M to $379M
        Oct 18, 2021 to Mar 29, 2022
      • HNW RAUM · $205M to $170M
        Oct 18, 2021 to Mar 29, 2022
      • Pooled vehicle RAUM · $0 to $209M
        Oct 18, 2021 to Mar 29, 2022
      • RAUM · $205M to $379M
        Oct 18, 2021 to Mar 29, 2022
      • Accounts · 3 to 5
        Jan 27, 2021 to Mar 31, 2021
      • Advisory employees · 1 to 3
        Jan 27, 2021 to Mar 31, 2021
      • Advisory activities · 4 to 5
        Jan 27, 2021 to Mar 31, 2021
      • Business name · S••••• C•••••• L•• to S••••• C•••••• L•
        Jan 27, 2021 to Mar 31, 2021
      • HNW clients · unset to 3.0
        Jan 27, 2021 to Mar 31, 2021
      • Pooled vehicle clients · unset to 2.0
        Jan 27, 2021 to Mar 31, 2021
      • Assets in custody · unset to 0.0
        Jan 27, 2021 to Mar 31, 2021
      • Custody of client assets · false to true
        Jan 27, 2021 to Mar 31, 2021
      Signals
      6 dated events
      • ••• Locked
        Mar 27, 2026 · ria private fund assets change · fact
      • ••• Locked
        Mar 31, 2025 · RAUM change · derived
      • ••• Locked
        Mar 29, 2022 · RAUM change · derived
      • ••• Locked
        Jan 27, 2021 · Succession (Item 4) · fact
      • ••• Locked
        Jan 27, 2021 · Control person joined · fact
      • ••• Locked
        Feb 8, 2019 · 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
      ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 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
      Wealth manager with institutional or fund businessderiveda 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