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••••••• L••
Latest filing Mar 11, 2026
First filing on the tape Mar 17, 2020 · 15 filings
SEC status approved since Apr 23, 2020
RAUM
$198M
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
11
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$198M as of Mar 11, 2026
Mar 29, 2021$306M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 11, 2026
Mar 29, 20210 then
Employees (5.A)11 as of Mar 11, 2026
Mar 29, 202113 then
Private funds5 as of Mar 11, 2026
Mar 29, 20216 then
RAUM -27% over the last fiscal year+6.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 11, 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
- $39.7MderivedRAUM 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
- -27%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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$198M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- 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=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
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••••• F••• I•• L• | Private Equity Fund | $44.9M | 69 | Mar 17, 2020 |
| E•• F••• 2• L• | Private Equity Fund | $30.8M | 45 | Mar 29, 2021 |
| S••••••••• F••• I• L• | Private Equity Fund | $21.5M | 42 | Mar 17, 2020 |
| S•••••••• N•••••• C•••••• L• | Private Equity Fund | $13.0M | 66 | Mar 29, 2021 |
| S••••••••• F••• I••• L• | Private Equity Fund | $6.5M | 104 | Mar 27, 2024 |
| S••••••••• V•••••• F•••••• F••• I• L• | Private Equity Fund | $207,999 | 13 | Mar 17, 2020 |
| E•• O••••••••• F••• 1• L• | Private Equity Fund | $15,677 | 19 | Mar 29, 2021 |
Owners and control persons
Schedule A and B, latest filing
- B••••• E•••••• P••••• · Partnercontrolsince 12/2019 · owns 50% to 75%
- M•••••• •••• L••••• J•••••••• · Partnercontrolsince 12/2019 · owns 50% to 75%
- A••••••• J••••• M•••• · Cfo, Ccosince 07/2023 · owns less than 5%
Related persons
Schedule D 7.A
- E•• M••••••••• 1• L••pooled vehicle sponsorn
- E•• M••••••••• 2• L••pooled vehicle sponsorn
- S••••••••• A••••••••• I• L••pooled vehicle sponsorn
- S••••••••• A••••••••• I•• L••pooled vehicle sponsorn
- S••••••••• A••••••••• I••• L••pooled vehicle sponsorn
- S•••••••• N•••••• C••••••• L••pooled vehicle sponsorn
- S••• A••••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 13 to 11Mar 25, 2025 to Mar 11, 2026
- Discretionary RAUM · $271M to $198MMar 25, 2025 to Mar 11, 2026
- Pooled vehicle RAUM · $271M to $198MMar 25, 2025 to Mar 11, 2026
- RAUM · $271M to $198MMar 25, 2025 to Mar 11, 2026
- Accounts · 7 to 5Mar 27, 2024 to Mar 25, 2025
- Advisory employees · 6 to 7Mar 27, 2024 to Mar 25, 2025
- Pooled vehicle clients · 7 to 5Mar 27, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 25, 2025
- Private funds · 7 to 5Mar 27, 2024 to Mar 25, 2025
- Discretionary RAUM · $263M to $271MMar 27, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $263M to $271MMar 27, 2024 to Mar 25, 2025
- RAUM · $263M to $271MMar 27, 2024 to Mar 25, 2025
- Accounts · 6 to 7Oct 16, 2023 to Mar 27, 2024
- Advisory employees · 8 to 6Oct 16, 2023 to Mar 27, 2024
- Pooled vehicle clients · 6 to 7Oct 16, 2023 to Mar 27, 2024
- Assets in custody · 0.0 to unsetOct 16, 2023 to Mar 27, 2024
- Employees · 18 to 13Oct 16, 2023 to Mar 27, 2024
- Private funds · 6 to 7Oct 16, 2023 to Mar 27, 2024
- Discretionary RAUM · $163M to $263MOct 16, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $163M to $263MOct 16, 2023 to Mar 27, 2024
- RAUM · $163M to $263MOct 16, 2023 to Mar 27, 2024
- Advisory employees · 6 to 8Jul 15, 2022 to Mar 30, 2023
- Assets in custody · $306M to $0Jul 15, 2022 to Mar 30, 2023
- Custody of client assets · true to falseJul 15, 2022 to Mar 30, 2023
- Employees · 17 to 18Jul 15, 2022 to Mar 30, 2023
- Discretionary RAUM · $257M to $163MJul 15, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $257M to $163MJul 15, 2022 to Mar 30, 2023
- RAUM · $257M to $163MJul 15, 2022 to Mar 30, 2023
- Related adviser · false to trueMar 28, 2022 to Jul 15, 2022
- Employees · 13 to 17Mar 29, 2021 to Mar 28, 2022
- Discretionary RAUM · $306M to $257MMar 29, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $306M to $257MMar 29, 2021 to Mar 28, 2022
- RAUM · $306M to $257MMar 29, 2021 to Mar 28, 2022
- Accounts · 3 to 6Mar 17, 2020 to Mar 29, 2021
- Pooled vehicle clients · 3 to 6Mar 17, 2020 to Mar 29, 2021
- Assets in custody · $214M to $306MMar 17, 2020 to Mar 29, 2021
- Employees · 11 to 13Mar 17, 2020 to Mar 29, 2021
- Private funds · 3 to 6Mar 17, 2020 to Mar 29, 2021
- Discretionary RAUM · $214M to $306MMar 17, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $214M to $306MMar 17, 2020 to Mar 29, 2021
Signals
6 dated events
- S••••••••• C••••••• L•• reported RAUM $263.5M, up 62% from $162.9M (2023-10-16 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- M•••• E••• C••• (Vp, Legal And Cco) no longer on Schedule A of S••••••••• C••••••• L•• (listed 2023-09-14, absent 2023-10-16)Oct 16, 2023 · Control person left · inference
- M•••• E••• C••• (Vp, Legal And Cco) appeared on Schedule A of S••••••••• C••••••• L••Apr 28, 2023 · Control person joined · fact
- M••• C••••••••• W•••••• (Vice President Of Operations And Cco) no longer on Schedule A of S••••••••• C••••••• L•• (listed 2023-03-30, absent 2023-04-28)Apr 28, 2023 · Control person left · inference
- E•••••••• S•••• C••••• (Chief Financial Officer) no longer on Schedule A of S••••••••• C••••••• L•• (listed 2022-07-15, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- S••••••••• C••••••• L•• filed its initial SEC registration (Form ADV)Mar 17, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••••••• C••••••• L•• · Independent Sponsorsshared crd · capital_provider
- S••••••••• C••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/scaleworks-increportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/elementsaasfinancereportedpublic record, Form ADV, Sep 18, 2026
- Website
- scaleworks.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 210-544-5409reportedpublic record, Form ADV, Mar 11, 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