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Former SEC-registered adviser

S•••• C•••••• I••••••••• I•••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 301572SEC 801-117970IAPD
Latest filing Aug 11, 2021
First filing on the tape May 17, 2019 · 5 filings
RAUM
$157M
reported, Item 5.F
Discretionary
0.0%
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
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$157M as of Aug 11, 2021
May 17, 2019$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 11, 2021
May 17, 20190 then
Employees (5.A)3 as of Aug 11, 2021
May 17, 20193 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 11, 2021; 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
$78.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
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 assetsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$157M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••• M••••••••• •••• · Directorcontrol
        since 12/2018 · owns less than 5%
      • M••••••••• H••••••• •••• · Directorcontrol
        since 12/2018 · owns less than 5%
      • M•••••••• S••••• •••• · President, Ceo, Cfo, Coo, Cco, Directorcontrol
        since 12/2018 · owns less than 5%
      • A••• S••••• · Common Shareholdercontrol
        since 06/1989 · owns 25% to 50% of S•••• G•••• C••• L•••
      Entity owners
      • S•••• G•••• C••• L••• · Common Shareholder
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Non-discretionary RAUM · $152M to $157M
        Mar 20, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $152M to $157M
        Mar 20, 2020 to Mar 31, 2021
      • RAUM · $152M to $157M
        Mar 20, 2020 to Mar 31, 2021
      • Accounts · 0 to 2
        Dec 18, 2019 to Mar 20, 2020
      • Pooled vehicle clients · unset to 2.0
        Dec 18, 2019 to Mar 20, 2020
      • Non-discretionary RAUM · $0 to $152M
        Dec 18, 2019 to Mar 20, 2020
      • Pooled vehicle RAUM · unset to 152458000.0
        Dec 18, 2019 to Mar 20, 2020
      • RAUM · $0 to $152M
        Dec 18, 2019 to Mar 20, 2020
      Signals
      1 dated events
      • S•••• C•••••• I••••••••• I••• filed its initial SEC registration (Form ADV)
        May 17, 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.
      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
      Former SEC-registered adviserderiveda 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