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••••• I• L•
Latest filing Mar 27, 2026
First filing on the tape Jun 29, 2022 · 6 filings
SEC status approved since Jul 29, 2022
RAUM
$449M
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$449M as of Mar 27, 2026
Mar 30, 2023$220M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 30, 20230 then
Employees (5.A)3 as of Mar 27, 2026
Mar 30, 20233 then
Private funds2 as of Mar 27, 2026
Mar 30, 20231 then
RAUM -12% over the last fiscal year+27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $224MderivedRAUM 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
- -12%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $449M, 2 clientsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$449M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $449M for 2 clientsreported
- Compensation
- performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••••••• L• | Hedge Fund | $320M | 1 | Mar 16, 2021 |
| O•••••••• L• | Hedge Fund | $68.4M | 3 | Mar 28, 2024 |
| S••••• C••••• O••••••••• L•no longer reported | Hedge Fund | $14.7M | 2 | Mar 31, 2022 |
Owners and control persons
Schedule A and B, latest filing
- H•••••••• A•••• A• · Chief Compliance Officer; Chief Financial Officer; Chief Operating Officercontrolsince 03/2022 · owns less than 5%
- H••• D•••• N•• · Trusteecontrolsince 08/2023 · owns 75% or more of R•••••••• T•••• O• D••• H•• U•••• A••••• 1•• 2•••
Entity owners
- R•••••••• T•••• O• D••• H•• U•••• A••••• 1•• 2••• · Limited Partnerdirect · owns less than 5%
- S••••• C••••• I• G• L•• · General Partnerdirect · owns 75% or more
- R•••••••• T•••• O• D••• H•• U•••• A••••• 1•• 2••• · Managing Memberindirect · owns 75% or more of S••••• C••••• I• G• L••
Related persons
Schedule D 7.A
- S••••• C••••• G• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 2Mar 28, 2025 to Mar 27, 2026
- Assets in custody · $511M to $449MMar 28, 2025 to Mar 27, 2026
- Employees · 4 to 3Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $511M to $449MMar 28, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $511M to $449MMar 28, 2025 to Mar 27, 2026
- RAUM · $511M to $449MMar 28, 2025 to Mar 27, 2026
- Assets in custody · $388M to $511MAug 30, 2024 to Mar 28, 2025
- Financial planning clients · unset to Aug 30, 2024 to Mar 28, 2025
- Discretionary RAUM · $388M to $511MAug 30, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $388M to $511MAug 30, 2024 to Mar 28, 2025
- RAUM · $388M to $511MAug 30, 2024 to Mar 28, 2025
- Accounts · 1 to 2Mar 30, 2023 to Mar 28, 2024
- Advisory employees · 2 to 3Mar 30, 2023 to Mar 28, 2024
- Pooled vehicle clients · 1 to 2Mar 30, 2023 to Mar 28, 2024
- Assets in custody · $220M to $388MMar 30, 2023 to Mar 28, 2024
- Employees · 3 to 4Mar 30, 2023 to Mar 28, 2024
- Private funds · 1 to 2Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $220M to $388MMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $220M to $388MMar 30, 2023 to Mar 28, 2024
- RAUM · $220M to $388MMar 30, 2023 to Mar 28, 2024
- Assets in custody · $235M to $220MJun 29, 2022 to Mar 30, 2023
- Private funds · 2 to 1Jun 29, 2022 to Mar 30, 2023
- Discretionary RAUM · $235M to $220MJun 29, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $235M to $220MJun 29, 2022 to Mar 30, 2023
- RAUM · $235M to $220MJun 29, 2022 to Mar 30, 2023
Signals
3 dated events
- S••••• C••••• I• L• reported RAUM $511.3M, up 32% from $388.5M (2024-08-30 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- S••••• C••••• I• L• reported RAUM $388.5M, up 76% from $220.5M (2023-03-30 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- S••••• C••••• I• L• filed its initial SEC registration (Form ADV)Jun 29, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••• C••••• I• L• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 617-918-7057reportedpublic 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
- 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