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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Former SEC-registered adviser

S••••• V••• C•••••• A•••••••

Former SEC-registered adviserCRD 306552SEC 801-123266IAPD
Legal name S••••• V••• C•••••• A•••••••• L••
Latest filing Apr 1, 2024
First filing on the tape Jan 19, 2022 · 8 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$106M as of Mar 28, 2023
Jan 19, 2022$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Apr 1, 2024
Jan 19, 20221 then
Employees (5.A)2 as of Apr 1, 2024
Jan 19, 20222 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 1, 2024; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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 assets, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R•••• C•••• B•••••Highlands Ranch, CoFeb 24, 202235 y3
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B•••••• R••••• C•••• · Managing Partner / Chief Compliance Officercontrol
      since 01/2020 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 1.0 to unset
      Mar 28, 2023 to Feb 14, 2024
    • Financial planning clients · 0 to unset
      Mar 28, 2023 to Feb 14, 2024
    • Discretionary RAUM · 0.0 to unset
      Mar 28, 2023 to Feb 14, 2024
    • Non-discretionary RAUM · 106000000.0 to unset
      Mar 28, 2023 to Feb 14, 2024
    • RAUM · 106000000.0 to unset
      Mar 28, 2023 to Feb 14, 2024
    • Business name · S••••• V••• A•••• M••••••••• L•• to S••••• V••• C•••••• A•••••••
      Oct 31, 2022 to Mar 28, 2023
    • Non-discretionary RAUM · $110M to $106M
      Oct 31, 2022 to Mar 28, 2023
    • RAUM · $110M to $106M
      Oct 31, 2022 to Mar 28, 2023
    • Legal name · S••••• V••• A•••• M••••••••• L•• to S••••• V••• C•••••• A•••••••• L••
      Oct 28, 2022 to Oct 31, 2022
    • Organization form · Limited Liability Partnership to Limited Liability Company
      Jun 2, 2022 to Jun 27, 2022
    • Accounts · 0 to 1
      Jan 19, 2022 to Jun 2, 2022
    • Non-discretionary RAUM · $0 to $110M
      Jan 19, 2022 to Jun 2, 2022
    • RAUM · $0 to $110M
      Jan 19, 2022 to Jun 2, 2022
    Signals
    1 dated events
    • S••••• V••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Jan 19, 2022 · 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
    SUMSTRAT.COMreportedpublic record, Form ADV, Sep 18, 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
    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