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•••••• C•••••• I••••••••• L••
Latest filing Jun 29, 2023
First filing on the tape May 14, 2021 · 11 filings
RAUM
$20.5M
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
7
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$20.5M gross assets
History
11 filings and snapshots on the tape
RAUM$20.5M as of Feb 17, 2023
Mar 14, 2022$10.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 17, 2023
Mar 14, 20220 then
Employees (5.A)7 as of Feb 17, 2023
Mar 14, 20227 then
Private funds2 as of Feb 17, 2023
Mar 14, 20221 then
RAUM +105% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 29, 2023; 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
- $10.2MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +105%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 vehicles, otherreportedItem 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
- Pooled investment vehicles$20.5M100%
- 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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••• C•••••• I••••••••• S•• I• L• | Private Equity Fund | $16.2M | 13 | Dec 10, 2021 |
| S•••••• C•••••• I••••••••• S•• I•• L••• | Private Equity Fund | $10.8M | 17 | Feb 17, 2023 |
| S•••••• C•••••• I••••••••• S•• I••• L••• | Private Equity Fund | $2.0M | 19 | Jul 2, 2024 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• W•••••• W•••• · Co-Chief Investment Officercontrolsince 04/2021 · owns less than 5%
- G•••• R•••••• L•••••• · Managing Partner, Global Distributioncontrolsince 01/2021 · owns less than 5%
- K•••• V•••••• J••••• · Managing Partnercontrolsince 09/2021 · owns 10% to 25%
- M••••••• B••••• F•••••• · General Counsel And Chief Compliance Officercontrolsince 04/2021 · owns less than 5%
- M••••••• B••••• C••••••••• · Executive Advisercontrolsince 07/2021 · owns 25% to 50%
- M•••••• R••••••• K••• · Chief Financial Officercontrolsince 08/2021 · owns less than 5%
- M•••••• R••••• W•••••• · Chairman And Partnercontrolsince 03/2020 · owns 25% to 50%
- V••••••••• C••••• K••••• · Co-Chief Investment Officercontrolsince 04/2021 · owns less than 5%
- B••••••• W•••••• W•••• · Membercontrolsince 01/2021 · owns 25% to 50% of S•••••• C•••••• H•••••••• L••
- V••••••••• C••••• K••••• · Membercontrolsince 01/2021 · owns 25% to 50% of S•••••• C•••••• H•••••••• L••
Entity owners
- S•••••• C•••••• H•••••••• L•• · Majority Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- S•••••• C•••••• I••••••••• ••• L••••••investment advisern
- S•••••• E••••••••• I••••••••• L••investment advisern
- S•••••• F••• A•• N•••••••• I••••••••• L••investment advisernRAUM $613M
- S•••••• H••••••••• F••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Wayne, PA5 employees
What changed
consecutive filings, newest first
- Private funds · 1 to 2Aug 10, 2022 to Feb 17, 2023
- Accounts · 1 to 2Mar 22, 2022 to Aug 10, 2022
- Pooled vehicle clients · 1 to 2Mar 22, 2022 to Aug 10, 2022
- Discretionary RAUM · $10.0M to $20.5MMar 22, 2022 to Aug 10, 2022
- Pooled vehicle RAUM · $10.0M to $20.5MMar 22, 2022 to Aug 10, 2022
- RAUM · $10.0M to $20.5MMar 22, 2022 to Aug 10, 2022
- Advisory employees · 5 to 7Dec 10, 2021 to Mar 14, 2022
- Discretionary RAUM · $8.0M to $10.0MDec 10, 2021 to Mar 14, 2022
- Pooled vehicle RAUM · $8.0M to $10.0MDec 10, 2021 to Mar 14, 2022
- RAUM · $8.0M to $10.0MDec 10, 2021 to Mar 14, 2022
- Accounts · unset to 1.0May 14, 2021 to Dec 10, 2021
- Pooled vehicle clients · unset to 1.0May 14, 2021 to Dec 10, 2021
- Private funds · unset to 1May 14, 2021 to Dec 10, 2021
- Discretionary RAUM · unset to 7995000.0May 14, 2021 to Dec 10, 2021
- Non-discretionary RAUM · unset to 0.0May 14, 2021 to Dec 10, 2021
- Pooled vehicle RAUM · unset to 7995000.0May 14, 2021 to Dec 10, 2021
- RAUM · unset to 7995000.0May 14, 2021 to Dec 10, 2021
Signals
6 dated events
- Lochead Robert Gray (Managing Partner, Global Distribution) appeared on Schedule A of S•••••• C•••••• I••••••••• L••Feb 17, 2023 · Control person joined · fact
- K••• R•••••• M••••• (Chief Financial Officer) appeared on Schedule A of S•••••• C•••••• I••••••••• L••Feb 17, 2023 · Control person joined · fact
- R•••• M••••• (Chairman And Partner) appeared on Schedule A of S•••••• C•••••• I••••••••• L••Mar 16, 2022 · Control person joined · fact
- B•••• M•••••• (Managing Partner) appeared on Schedule A of S•••••• C•••••• I••••••••• L••Mar 14, 2022 · Control person joined · fact
- Joseph Victor Kats (Managing Partner) appeared on Schedule A of S•••••• C•••••• I••••••••• L••Mar 14, 2022 · Control person joined · fact
- S•••••• C•••••• I••••••••• L•• filed its initial SEC registration (Form ADV)May 14, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••••• C•••••• I••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- S•••••• C•••••• I••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- semcap.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