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•••••• S•••••••••

Former SEC-registered adviserScottsdale, ArizonaCRD 318236SEC 801-123280websiteIAPD
Legal name S••• K• W••••• L••
Latest filing Mar 22, 2024
First filing on the tape Jan 21, 2022 · 8 filings
SEC status approved since Oct 7, 2022
RAUM
$20,000
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$20,000 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 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$20,000 as of Mar 22, 2024
Mar 2, 2023$0 then
HNW client RAUM$20,000 as of Mar 22, 2024
Mar 2, 2023$0 then
State-registered IARs (5.B.3)0 as of Mar 22, 2024
Mar 2, 20230 then
Employees (5.A)1 as of Mar 22, 2024
Mar 2, 20231 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 22, 2024; 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
$20,000derivedHNW RAUM over HNW clients
Average account
$20,000derivedRAUM 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$20,000100%
Individual clients
0reported
HNW clients
1reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • N•••••• J•••••• · Chief Compliance Officercontrol
        since 07/2023 · owns less than 5%
      • N•••••• J•••••• · Ceocontrol
        since 03/2021 · owns 50% to 75% of S••• K• I•••
      Entity owners
      • S••• K• I••• · Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Advisers that list S••• C•••••• S••••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 0 to 1
        Dec 18, 2023 to Mar 22, 2024
      • HNW clients · 0 to 1
        Dec 18, 2023 to Mar 22, 2024
      • Discretionary RAUM · $0 to $20,000
        Dec 18, 2023 to Mar 22, 2024
      • HNW RAUM · $0 to $20,000
        Dec 18, 2023 to Mar 22, 2024
      • RAUM · $0 to $20,000
        Dec 18, 2023 to Mar 22, 2024
      • Charity clients · unset to 0.0
        Dec 12, 2022 to Mar 2, 2023
      • Corporate clients · unset to 0.0
        Dec 12, 2022 to Mar 2, 2023
      • HNW clients · unset to 0.0
        Dec 12, 2022 to Mar 2, 2023
      • Individual clients · unset to 0.0
        Dec 12, 2022 to Mar 2, 2023
      • Pension plan clients · unset to 0.0
        Dec 12, 2022 to Mar 2, 2023
      • Pooled vehicle clients · unset to 0.0
        Dec 12, 2022 to Mar 2, 2023
      • HNW RAUM · unset to 0.0
        Dec 12, 2022 to Mar 2, 2023
      • Individual RAUM · unset to 0.0
        Dec 12, 2022 to Mar 2, 2023
      • Pension RAUM · unset to 0.0
        Dec 12, 2022 to Mar 2, 2023
      • Pooled vehicle RAUM · unset to 0.0
        Dec 12, 2022 to Mar 2, 2023
      • Business name · N••••• I••••••••• to S••• C•••••• S•••••••••
        Dec 9, 2022 to Dec 12, 2022
      • Business name · S••• K• W••••• L•• to N••••• I•••••••••
        Jan 21, 2022 to Oct 6, 2022
      Signals
      4 dated events
      • S••• C•••••• S••••••••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $20,000)
        May 2, 2025 · Left the SEC roster · derived
      • K•••• L••• (Cco) no longer on Schedule A of S••• C•••••• S••••••••• (listed 2023-04-04, absent 2023-12-18)
        Dec 18, 2023 · Control person left · inference
      • K•••• L••• (Cco) appeared on Schedule A of S••• C•••••• S•••••••••
        Dec 9, 2022 · Control person joined · fact
      • S••• K• W••••• L•• filed its initial SEC registration (Form ADV)
        Jan 21, 2022 · 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