DFX Intelligence

RIA Intelligence

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SEC-registered adviser

S•• C••••• A••••••• L••

Institutional managerCRD 314442SEC 801-121459website IAPD

Latest filing Aug 28, 2026

First filing on the tape May 11, 2021 · 12 filings

SEC status approved since Jun 14, 2021

RAUM

$15.4M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

6 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

12 filings and snapshots on the tape

RAUM$15.4M as of Aug 28, 2026

Mar 25, 2022$90.9M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Aug 28, 2026

Mar 25, 20220 then

Employees (5.A)7 as of Aug 28, 2026

Mar 25, 20226 then

Private funds: no history

RAUM -55% over the last fiscal year-49% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Aug 28, 2026; every figure names its basis

Archetypes, each a printed rule

Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent

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: $3.8MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year: -55%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, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities: portfolio management for businesses and institutions, 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

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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Insurance companies$15.4M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 4reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, performancereported
Class basis: private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=true related_bank=false bd_reps=6.0derived

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

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B••••• R••••• E•••• · Manager Representativecontrol
since 03/2021 · owns less than 5%
L••••••• A••• S•• · Chief Compliance Officercontrol
since 03/2021 · owns less than 5%
Z••• E•••••• J•• · Managercontrol
since 03/2021 · owns less than 5%
K•••• K••••••• N•• · Membercontrol
since 03/2021 · owns 75% or more of A•••••••• C•••••• H•••••••• L••

Entity owners

S•• J• H•••••• L•• · Member
direct · owns 75% or more
A•••••••• C•••••• H•••••••• L•• · Member
indirect · owns 75% or more of P••••••• L••
P••••••• L•• · Member
indirect · owns 25% to 50% of S•• J• H•••••• L••

Related persons

Schedule D 7.A

A•••••••• C•••••• M•••••••••
investment advisernRAUM $8.3B
A••••••• C•••• L••• I•••••••• C••••••
real estaten
H•••••••• I•••••••• C••••••
real estaten
J••• R••••••••• C••••••
real estaten
S••••••• S••••••• L••• I•••••••• C••••••
real estaten
S••••••• A••••••• R• I•••
real estaten
S•• C•••••• P•••••••• L••
broker-dealern
S•• C••••• A••••••• I• L••
investment advisernRAUM $50.2M
S•• P•••••••• I•••••••• I•• L••
investment adviserpooled vehicle sponsorn

Advisers that list S•• C••••• A••••••• L•• as a related person

171128 n
323725 n

Offices

Schedule D 1.F, the 25 largest

New York, NY20 employees

What changed

consecutive filings, newest first

HQ city · NEW YORK to
Mar 26, 2026 to Aug 28, 2026
HQ state · NY to
Mar 26, 2026 to Aug 28, 2026
Accounts · 5 to 4
Mar 26, 2025 to Mar 26, 2026
Pooled vehicle clients · 1.0 to unset
Mar 26, 2025 to Mar 26, 2026
Discretionary RAUM · $34.5M to $15.4M
Mar 26, 2025 to Mar 26, 2026
Pooled vehicle RAUM · 19799404.0 to unset
Mar 26, 2025 to Mar 26, 2026
RAUM · $34.5M to $15.4M
Mar 26, 2025 to Mar 26, 2026
Accounts · 6 to 5
Mar 29, 2024 to Mar 26, 2025
Assets in custody · 34251773.0 to unset
Mar 29, 2024 to Mar 26, 2025
Custody of client assets · true to false
Mar 29, 2024 to Mar 26, 2025
Financial planning clients · 0 to 0
Mar 29, 2024 to Mar 26, 2025
Discretionary RAUM · $101M to $34.5M
Mar 29, 2024 to Mar 26, 2025
Pooled vehicle RAUM · $34.3M to $19.8M
Mar 29, 2024 to Mar 26, 2025
RAUM · $101M to $34.5M
Mar 29, 2024 to Mar 26, 2025
Assets in custody · $32.2M to $34.3M
Aug 25, 2023 to Mar 29, 2024
Other offices · 2 to 1
Aug 25, 2023 to Mar 29, 2024
Discretionary RAUM · $109M to $101M
Aug 25, 2023 to Mar 29, 2024
Pooled vehicle RAUM · $23.7M to $34.3M
Aug 25, 2023 to Mar 29, 2024
RAUM · $109M to $101M
Aug 25, 2023 to Mar 29, 2024
Accounts · 7 to 6
Jun 12, 2023 to Aug 25, 2023
Discretionary RAUM · $117M to $109M
Jun 12, 2023 to Aug 25, 2023
Pooled vehicle RAUM · $20.2M to $23.7M
Jun 12, 2023 to Aug 25, 2023
RAUM · $117M to $109M
Jun 12, 2023 to Aug 25, 2023
Accounts · 5 to 7
Mar 25, 2022 to Mar 28, 2023
Advisory employees · 5 to 6
Mar 25, 2022 to Mar 28, 2023
BD registered reps · 5 to 6
Mar 25, 2022 to Mar 28, 2023
Charity clients · 0.0 to unset
Mar 25, 2022 to Mar 28, 2023
Corporate clients · 0.0 to unset
Mar 25, 2022 to Mar 28, 2023
HNW clients · 0.0 to unset
Mar 25, 2022 to Mar 28, 2023
Individual clients · 0.0 to unset
Mar 25, 2022 to Mar 28, 2023
Pension plan clients · 0.0 to unset
Mar 25, 2022 to Mar 28, 2023
Pooled vehicle clients · 0 to 1
Mar 25, 2022 to Mar 28, 2023
Assets in custody · $30.6M to $32.2M
Mar 25, 2022 to Mar 28, 2023
Employees · 6 to 7
Mar 25, 2022 to Mar 28, 2023
Discretionary RAUM · $90.9M to $117M
Mar 25, 2022 to Mar 28, 2023
Pooled vehicle RAUM · unset to 20248581.0
Mar 25, 2022 to Mar 28, 2023
RAUM · $90.9M to $117M
Mar 25, 2022 to Mar 28, 2023
Accounts · 7 to 5
Jan 20, 2022 to Mar 25, 2022
Assets in custody · $30.3M to $30.6M
Jan 20, 2022 to Mar 25, 2022
Financial planning clients · unset to 0
Jan 20, 2022 to Mar 25, 2022

Signals

1 dated events

S•• J• O••• I• L•• filed its initial SEC registration (Form ADV)
May 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.

How to reach

public business contact points only, each with its source

Website: w••.s•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 212-455-4500reportedpublic record, Form ADV, Aug 28, 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: Institutional managerderiveda 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