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 Jul 27, 2026
First filing on the tape Jul 14, 2022 · 23 filings
SEC status approved since Aug 12, 2022
RAUM
$4.4B
reported, Item 5.F
Discretionary
53%
of RAUM
Private clients
98%
$4.3B individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$365M
derived; firm RAUM over IAPD count
Employees
17
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$4.4B as of Jul 27, 2026
Mar 31, 2023$1.4B then
HNW client RAUM$4.3B as of Jul 27, 2026
Mar 31, 2023$1.4B then
State-registered IARs (5.B.3)9 as of Jul 27, 2026
Mar 31, 20235 then
Employees (5.A)17 as of Jul 27, 2026
Mar 31, 20239 then
Private funds8 as of Jul 27, 2026
Mar 31, 20231 then
RAUM +49% over the last fiscal year+46% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Jul 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Multi-family-office-like · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, average HNW client assets at least $25M, fewer than 200 HNW clients, and business name contains 'family office' or private funds are reported
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- ria with p•••••• funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- uhnw p•••••• wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $365MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $67.0MderivedHNW RAUM over HNW clients
- Average account
- $4.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 53%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 12.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +49%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $622M, 71 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$4.3B98%
- Pooled investment vehicles$51.6M1.2%
- Charitable organizations$43.0M1.0%
- Individual clients
- n/areported
- HNW clients
- 64reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 1,089reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $622M for 71 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.98 fund_share=0.01 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••• C••• | Seoul | Sep 16, 2022 | 17 y | 1 |
| A••• C••••• | San Francisco, Ca | Sep 16, 2022 | 22 y | 1 |
| M••••••• B•••••• | San Francisco, Ca | Oct 6, 2022 | 12 y | 2 |
| B••••••••• O•••• | San Francisco, Ca | Oct 6, 2022 | 10 y | 1 |
| E••• Y• F••• | San Francisco, Ca | Oct 24, 2023 | 13 y | 0 |
| P•••• W••• L•••••Chartered Financial Analyst | San Francisco, Ca | Apr 18, 2024 | 32 y | 8 |
| A••••• J••••••• S••• | San Francisco, Ca | Apr 22, 2024 | 18 y | 4 |
| S•••••••• P••••••• | Monroe, Nj | Jun 28, 2024 | 25 y | 0 |
| M•••• S• M•••••Certified Financial Planner | San Francisco, Ca | Jan 9, 2025 | 17 y | 3 |
| C•••••••• J••• H••Chartered Financial Analyst | San Francisco, Ca | Aug 18, 2025 | 11 y | 2 |
| A••••• R•••••• R••••••• | San Francisco, Ca | Jun 10, 2026 | 11 y | 2 |
| F••••••• C••• | San Francisco, Ca | Jul 20, 2026 | 10 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- A••••• R•••••• R••••••• from F••••• I•••••••••Jun 10, 2026 · RIA to RIA
- C•••••••• J••• H•• from A••••••••• L•••Aug 18, 2025 · Other
- M•••• S• M••••• from J••• M••••• P•••••• W••••• A••••••• L••Jan 9, 2025 · Affiliated broker-dealer or bank to independent RIA
- A••••• J••••••• S••• from E•••• A•••••••Apr 22, 2024 · RIA to RIA
- P•••• W••• L••••• from C••••••••• W•••••• L••Apr 18, 2024 · RIA to RIA
- B••••••••• O•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 6, 2022 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M••••••• B•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 6, 2022 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- A••• C••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 16, 2022 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- S••• C••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 16, 2022 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 20, 2022 · San Francisco, Ca
Private funds
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••• C•••••• D•• L• | $30.5M | 11 | Jul 27, 2026 | |
| S••• P••• A• L• | $22.7M | 14 | Jul 27, 2026 | |
| S••• C•••••• P••••••• I• L• | $16.4M | 21 | Jul 27, 2026 | |
| N••• • S••••• D•••• L• | $10.0M | 24 | Jul 27, 2026 | |
| S••• C•••••• A••• L• | $6.8M | 23 | Jul 27, 2026 | |
| S••• N•• A••••• I• L•• | Other Private Fund | $5.7M | 24 | Mar 31, 2023 |
| S••• C•••••• P• 1•• L• | $5.7M | 12 | Jul 27, 2026 | |
| P••• C••••••• L• | $5.5M | 2 | Jul 27, 2026 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• A••• · Managing Membercontrolsince 09/2022 · owns less than 5%
- M•••••• M••••• S• · Vice President Of Operationscontrolsince 07/2024 · owns less than 5%
- C•••••• A••• · Trusteecontrolsince 06/2008 · owns F of C••••• L••••• T••••
- C•••••• S••••• · Trusteecontrolsince 06/2008 · owns F of C••••• L••••• T••••
- D••••• J•••• K•••• · Chief Compliance Officer Officersince 04/2025 · owns less than 5%
- H••••••• R•••••• · Chief Compliance Officersince 11/2023 · owns less than 5%
Entity owners
- S••• L•• · Ownerdirect · owns 75% or more
- C••• L•• · Ownerindirect · owns F of S••• L••
- C••••• D•••••• T•••• · Ownerindirect · owns 25% to 50% of C••• L••
- C••••• L••••• T•••• · Ownerindirect · owns 50% to 75% of C••• L••
- P••• T•••• C•••••• · Trusteeindirect · owns F of C••••• D•••••• T••••
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Francisco, Ca · principal | 11 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Jul 27, 2026HNW RAUM per HNW client of $66,954,202 against a peer median of $3,646,459 (1309 comparable advisers, 100.0th percentile, 31.4 robust deviations)peers: independent wealth managers, $1B to $5B (1,309) · 100% percentile
- control person changedChange between filings · filing Jul 27, 2026C•••••• S••••• (TRUSTEE) left Schedule A between the filings of 2024-08-12 and 2026-07-27peers: independent wealth managers, $1B to $5B (1,362)
- wealth RIA p•••••• fund surgeCombination · filing Mar 27, 2026peers: independent wealth managers, $1B to $5B (1,362)
- RAUM up 25 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $2,933,416,209 to $4,379,631,229 (+49.0%) between the annual amendments of 2025-04-29 and 2026-03-27; the peer median change was +17.0% (1298 comparable advisers, 93.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,298) · 93% percentile
- p•••••• fund count surgeChange between filings · filing Mar 27, 2026private funds (Schedule D 7.B.1) moved from 2.0 to 7.0 (+250.0%) between the annual amendments of 2025-04-29 and 2026-03-27; the peer median change was 0.0% (126 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $1B to $5B (126) · 100% percentile
What changed
consecutive filings, newest first
- Private funds · 7 to 8Mar 27, 2026 to Jul 27, 2026
- Accounts · 869 to 1,089Oct 24, 2025 to Mar 27, 2026
- Advisory employees · 2 to 5Oct 24, 2025 to Mar 27, 2026
- Charity clients · 1 to 2Oct 24, 2025 to Mar 27, 2026
- HNW clients · 52 to 64Oct 24, 2025 to Mar 27, 2026
- Pooled vehicle clients · 1 to 6Oct 24, 2025 to Mar 27, 2026
- Assets in custody · $421M to $622MOct 24, 2025 to Mar 27, 2026
- Employees · 13 to 17Oct 24, 2025 to Mar 27, 2026
- Financial planning clients · 0 to 1-10Oct 24, 2025 to Mar 27, 2026
- Private funds · 2 to 7Oct 24, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.8B to $2.3BOct 24, 2025 to Mar 27, 2026
- HNW RAUM · $2.9B to $4.3BOct 24, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $1.1B to $2.1BOct 24, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $3.9M to $51.6MOct 24, 2025 to Mar 27, 2026
- RAUM · $2.9B to $4.4BOct 24, 2025 to Mar 27, 2026
- Financial planning clients · 0 to 0Apr 29, 2025 to Oct 24, 2025
- Accounts · 736 to 869Feb 4, 2025 to Apr 29, 2025
- Advisory employees · 5 to 2Feb 4, 2025 to Apr 29, 2025
- Charity clients · 0 to 1Feb 4, 2025 to Apr 29, 2025
- HNW clients · 56 to 52Feb 4, 2025 to Apr 29, 2025
- Individual clients · 0.0 to unsetFeb 4, 2025 to Apr 29, 2025
- Assets in custody · $264M to $421MFeb 4, 2025 to Apr 29, 2025
- Employees · 10 to 13Feb 4, 2025 to Apr 29, 2025
- Financial planning clients · unset to 0Feb 4, 2025 to Apr 29, 2025
- State-registered IARs · 5 to 9Feb 4, 2025 to Apr 29, 2025
- Private funds · 1 to 2Feb 4, 2025 to Apr 29, 2025
- Discretionary RAUM · $1.3B to $1.8BFeb 4, 2025 to Apr 29, 2025
- HNW RAUM · $2.5B to $2.9BFeb 4, 2025 to Apr 29, 2025
- Individual RAUM · 0.0 to unsetFeb 4, 2025 to Apr 29, 2025
- Non-discretionary RAUM · $1.3B to $1.1BFeb 4, 2025 to Apr 29, 2025
- Pooled vehicle RAUM · $3.7M to $3.9MFeb 4, 2025 to Apr 29, 2025
- RAUM · $2.5B to $2.9BFeb 4, 2025 to Apr 29, 2025
- Accounts · 440 to 736Feb 21, 2024 to Mar 14, 2024
- HNW clients · 49 to 56Feb 21, 2024 to Mar 14, 2024
- Assets in custody · $257M to $264MFeb 21, 2024 to Mar 14, 2024
- Employees · 9 to 10Feb 21, 2024 to Mar 14, 2024
- Discretionary RAUM · $954M to $1.3BFeb 21, 2024 to Mar 14, 2024
- HNW RAUM · $1.4B to $2.5BFeb 21, 2024 to Mar 14, 2024
- Non-discretionary RAUM · $467M to $1.3BFeb 21, 2024 to Mar 14, 2024
- Pooled vehicle RAUM · $4.7M to $3.7MFeb 21, 2024 to Mar 14, 2024
Signals
13 dated events
- S••• C•••••• L•• reported RAUM $4.4B, up 49% from $2.9B (2025-10-24 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- S••• C••• (Chief Operating Officer And Head Of Investment Management) no longer on Schedule A of S••• C•••••• L•• (listed 2024-08-12, absent 2024-10-04)Oct 4, 2024 · Control person left · inference
- S M•••• M••••• (Vice President Of Operations) appeared on Schedule A of S••• C•••••• L••Aug 12, 2024 · Control person joined · fact
- S••• C•••••• L•• reported RAUM $2.5B, up 78% from $1.4B (2024-02-21 to 2024-03-14)Mar 14, 2024 · RAUM change · derived
- Edward Ryan Murray (Chief Relationship Officer) no longer on Schedule A of S••• C•••••• L•• (listed 2024-02-21, absent 2024-03-14)Mar 14, 2024 · Control person left · inference
- S••• C•••••• L•• reported RAUM $1.4B, up 94% from $730.1M (2022-11-17 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- 3 advisors left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (San Francisco, CA) for S••• C•••••• L•• a day apartSep 20, 2022 · Team lift-out · derived
- A••• C••••• (Managing Member) appeared on Schedule A of S••• C•••••• L••Sep 16, 2022 · Control person joined · fact
- S••• C••• (Chief Operating Officer And Head Of Investment Management) appeared on Schedule A of S••• C•••••• L••Sep 16, 2022 · Control person joined · fact
- Edward Ryan Murray (Chief Relationship Officer) appeared on Schedule A of S••• C•••••• L••Sep 16, 2022 · Control person joined · fact
- S••••• C••••• (Trustee) appeared on Schedule A of S••• C•••••• L••Sep 16, 2022 · Control person joined · fact
- Sean Kevin Woodard (Member, Manager And Chief Compliance Officer) no longer on Schedule A of S••• C•••••• L•• (listed 2022-07-14, absent 2022-09-16)Sep 16, 2022 · Control person left · inference
- S••• filed its initial SEC registration (Form ADV)Jul 14, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••• C•••••• L•• · Independent Sponsorsshared crd · capital_provider
- S••• C•••••• L•• · Private Equityshared crd · organization
- S••• C•••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- info@syoncap.comreportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/88641357reportedpublic record, Form ADV, Sep 18, 2026
- Website
- syoncap.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-520-7966reportedpublic record, Form ADV, Jul 27, 2026
- Contact form
- syoncap.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- syoncap.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $365Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026