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 28, 2026
First filing on the tape Dec 23, 2021 · 11 filings
SEC status approved since Apr 12, 2022
RAUM
$2.9B
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
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$2.9B as of Mar 28, 2026
Mar 30, 2023$8.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2026
Mar 30, 20230 then
Employees (5.A)8 as of Mar 28, 2026
Mar 30, 20236 then
Private funds3 as of Mar 28, 2026
Mar 30, 20234 then
RAUM -38% over the last fiscal year-31% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 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
- $483MderivedRAUM 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
- -38%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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.9B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- 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=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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••• C•••••• P••••••• M••••• F•••• L••• | Hedge Fund | $3.8B | 48 | Mar 28, 2012 |
| S•••••• C•••••• P••• M••••• F••• | Hedge Fund | $1.6B | 45 | Jan 21, 2020 |
| P•••••• F••• A• ••••••• C••••• | Hedge Fund | $562M | 4 | Mar 18, 2013 |
| S•••••• C•••••• M•••• M••••• F••• | Hedge Fund | $63.6M | 3 | Dec 23, 2021 |
Owners and control persons
Schedule A and B, latest filing
- G•••••• D•••••• P•••••• · Owner, Member And Manager Of The LLCcontrolsince 08/2021 · owns 75% or more
- W••••••••• M••••••• C•••••• · Manager Of The LLC, Chief Compliance Officercontrolsince 08/2021 · owns less than 5%
- C••••••••• J•••••• L••••• · Authorised Signatorysince 08/2021 · owns less than 5%
Related persons
Schedule D 7.A
- S•••••• C•••••• L••••••investment adviserbanknRAUM $7.3B
- S•••••• C•••••• M•••••••••investment adviserbanky
Advisers that list S•••••• C•••••• L•• as a related person
- 160597 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 28, 2026RAUM (Item 5.F) moved from $4,675,286,000 to $2,900,778,000 (-38.0%) between the annual amendments of 2025-03-31 and 2026-03-28; the peer median change was +11.0% (1368 comparable advisers, 2.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 1.9% percentile
What changed
consecutive filings, newest first
- Accounts · 9 to 6Sep 10, 2025 to Mar 28, 2026
- Advisory employees · 5 to 4Sep 10, 2025 to Mar 28, 2026
- Pooled vehicle clients · 9 to 6Sep 10, 2025 to Mar 28, 2026
- Employees · 10 to 8Sep 10, 2025 to Mar 28, 2026
- Private funds · 4 to 3Sep 10, 2025 to Mar 28, 2026
- Discretionary RAUM · $4.7B to $2.9BSep 10, 2025 to Mar 28, 2026
- Pooled vehicle RAUM · $4.7B to $2.9BSep 10, 2025 to Mar 28, 2026
- RAUM · $4.7B to $2.9BSep 10, 2025 to Mar 28, 2026
- Accounts · 10 to 9Mar 26, 2024 to Mar 31, 2025
- Pooled vehicle clients · 10 to 9Mar 26, 2024 to Mar 31, 2025
- Employees · 8 to 10Mar 26, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 31, 2025
- Discretionary RAUM · $6.4B to $4.7BMar 26, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $6.4B to $4.7BMar 26, 2024 to Mar 31, 2025
- RAUM · $6.4B to $4.7BMar 26, 2024 to Mar 31, 2025
- Employees · 6 to 8May 23, 2023 to Mar 26, 2024
- Discretionary RAUM · $8.9B to $6.4BMay 23, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $8.9B to $6.4BMay 23, 2023 to Mar 26, 2024
- RAUM · $8.9B to $6.4BMay 23, 2023 to Mar 26, 2024
- Advisory employees · 3 to 5May 11, 2022 to Mar 30, 2023
- Employees · 4 to 6May 11, 2022 to Mar 30, 2023
- HQ city · WAN CHAI to PALO ALTOMay 11, 2022 to Mar 30, 2023
- HQ state · unset to CAMay 11, 2022 to Mar 30, 2023
- Discretionary RAUM · $8.5B to $8.9BMay 11, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $8.5B to $8.9BMay 11, 2022 to Mar 30, 2023
- RAUM · $8.5B to $8.9BMay 11, 2022 to Mar 30, 2023
- HQ city · TEWKSBURY to WAN CHAIDec 23, 2021 to Mar 30, 2022
- HQ state · MA to unsetDec 23, 2021 to Mar 30, 2022
Signals
4 dated events
- S•••••• C•••••• L•• reported RAUM $2.9B, down 38% from $4.7B (2025-09-10 to 2026-03-28)Mar 28, 2026 · RAUM change · derived
- S•••••• C•••••• L•• reported RAUM $4.7B, down 27% from $6.4B (2024-03-26 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- S•••••• C•••••• L•• reported RAUM $6.4B, down 28% from $8.9B (2023-05-23 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- S•••••• C•••••• L•• filed its initial SEC registration (Form ADV)Dec 23, 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
- s••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (332) 242 8518reportedpublic record, Form ADV, Mar 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
- 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