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Former SEC-registered adviser

S••••••• R••••• C•••••• •••• L••

Former SEC-registered adviserNew York, New YorkCRD 311358SEC 801-120299IAPD
Latest filing Mar 27, 2025
First filing on the tape Jan 11, 2021 · 8 filings
SEC status approved since Feb 11, 2021
RAUM
$1.7B
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
14
10 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$1.7B as of Mar 27, 2025
Mar 31, 2022$530M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2025
Mar 31, 20220 then
Employees (5.A)14 as of Mar 27, 2025
Mar 31, 20228 then
Private funds: no history
RAUM +67% over the last fiscal year+47% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2025; 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
$838MderivedRAUM 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
+67%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
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.7B100%
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 AUM, performancereported
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
      • K••••••• R••••• · Chief Executive Officercontrol
        since 09/2020 · owns less than 5%
      • N••••• A•••• N••••••• · Chief Compliance Officercontrol
        since 09/2023 · owns less than 5%
      • K••••••• M•••• · Ceo, Cio And Executive Directorcontrol
        since 09/2018 · owns 50% to 75% of S••••••• R••••• C•••••• P••• L•••
      Entity owners
      • S••••••• R••••• C•••••• P••• L••• · 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
      • Advisory employees · 11 to 10
        Mar 28, 2024 to Mar 27, 2025
      • Employees · 15 to 14
        Mar 28, 2024 to Mar 27, 2025
      • Discretionary RAUM · $1.0B to $1.7B
        Mar 28, 2024 to Mar 27, 2025
      • Pooled vehicle RAUM · $1.0B to $1.7B
        Mar 28, 2024 to Mar 27, 2025
      • RAUM · $1.0B to $1.7B
        Mar 28, 2024 to Mar 27, 2025
      • Advisory employees · 8 to 11
        Sep 28, 2023 to Mar 28, 2024
      • Employees · 11 to 15
        Sep 28, 2023 to Mar 28, 2024
      • Discretionary RAUM · $977M to $1.0B
        Sep 28, 2023 to Mar 28, 2024
      • Pooled vehicle RAUM · $977M to $1.0B
        Sep 28, 2023 to Mar 28, 2024
      • RAUM · $977M to $1.0B
        Sep 28, 2023 to Mar 28, 2024
      • Advisory employees · 9 to 8
        Mar 31, 2023 to Sep 28, 2023
      • Employees · 12 to 11
        Mar 31, 2023 to Sep 28, 2023
      • Discretionary RAUM · $817M to $977M
        Mar 31, 2023 to Sep 28, 2023
      • Pooled vehicle RAUM · $817M to $977M
        Mar 31, 2023 to Sep 28, 2023
      • RAUM · $817M to $977M
        Mar 31, 2023 to Sep 28, 2023
      • Advisory employees · 5 to 9
        Oct 31, 2022 to Mar 31, 2023
      • Employees · 8 to 12
        Oct 31, 2022 to Mar 31, 2023
      • Discretionary RAUM · $709M to $817M
        Oct 31, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $709M to $817M
        Oct 31, 2022 to Mar 31, 2023
      • RAUM · $709M to $817M
        Oct 31, 2022 to Mar 31, 2023
      • Accounts · 1 to 2
        Mar 31, 2022 to Oct 31, 2022
      • Pooled vehicle clients · 1 to 2
        Mar 31, 2022 to Oct 31, 2022
      • Discretionary RAUM · $530M to $709M
        Mar 31, 2022 to Oct 31, 2022
      • Pooled vehicle RAUM · $530M to $709M
        Mar 31, 2022 to Oct 31, 2022
      • RAUM · $530M to $709M
        Mar 31, 2022 to Oct 31, 2022
      • Advisory employees · 7 to 5
        Apr 23, 2021 to Mar 31, 2022
      • Employees · 9 to 8
        Apr 23, 2021 to Mar 31, 2022
      • Discretionary RAUM · $532M to $530M
        Apr 23, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $532M to $530M
        Apr 23, 2021 to Mar 31, 2022
      • RAUM · $532M to $530M
        Apr 23, 2021 to Mar 31, 2022
      • Advisory employees · 3 to 7
        Jan 11, 2021 to Apr 23, 2021
      • Employees · 3 to 9
        Jan 11, 2021 to Apr 23, 2021
      • Discretionary RAUM · $508M to $532M
        Jan 11, 2021 to Apr 23, 2021
      • Pooled vehicle RAUM · $508M to $532M
        Jan 11, 2021 to Apr 23, 2021
      • RAUM · $508M to $532M
        Jan 11, 2021 to Apr 23, 2021
      Signals
      6 dated events
      • S••••••• R••••• C•••••• •••• L•• no longer on the SEC adviser roster (last listed 2025-05-02, RAUM $1.7B)
        Jun 2, 2025 · Left the SEC roster · derived
      • S••••••• R••••• C•••••• •••• L•• reported RAUM $1.7B, up 67% from $1.0B (2024-03-28 to 2025-03-27)
        Mar 27, 2025 · RAUM change · derived
      • Narendra Amol Nabar (Chief Compliance Officer) appeared on Schedule A of S••••••• R••••• C•••••• •••• L••
        Sep 28, 2023 · Control person joined · fact
      • S••••••• R••••• C•••••• •••• L•• reported RAUM $709.1M, up 34% from $529.5M (2022-03-31 to 2022-10-31)
        Oct 31, 2022 · RAUM change · derived
      • D••••• S•••••• Lin (Chief Legal Officer And Chief Compliance Officer) no longer on Schedule A of S••••••• R••••• C•••••• •••• L•• (listed 2021-01-11, absent 2021-04-23)
        Apr 23, 2021 · Control person left · inference
      • S••••••• R••••• C•••••• •••• L•• filed its initial SEC registration (Form ADV)
        Jan 11, 2021 · 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