DFX Intelligence

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Former SEC-registered adviser

S••••••• C••• L••

Former SEC-registered adviserBend, OregonCRD 323391SEC 801-126756website IAPD

Latest filing Jan 23, 2024

First filing on the tape Sep 19, 2022 · 5 filings

RAUM

$48.1M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$48.1M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$24.1M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

5 filings and snapshots on the tape

RAUM$48.1M as of Jan 23, 2024

Sep 19, 2022$0 then

HNW client RAUM$42.1M as of Jan 23, 2024

Jan 25, 2023$42.1M then

State-registered IARs (5.B.3)2 as of Jan 23, 2024

Sep 19, 20220 then

Employees (5.A)2 as of Jan 23, 2024

Sep 19, 20222 then

Private funds: no history

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Jan 23, 2024; every figure names its basis

RAUM per advisor: $24.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 24derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.8MderivedHNW RAUM over HNW clients
Average account: $422,094derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 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 assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Custody: $23.2M, 41 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
has custody of client cash or bank accounts (9.A.1.a)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$42.1M88%
Individuals$6.0M12%

Individual clients: 23reported
HNW clients: 24reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 114reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: $23.2M for 41 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: absent from the latest SEC rosterderived

Advisors registered through the firm

2 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
D••••• J••••• E••••	Bend, Or	Oct 19, 2022	21 y	4
J•••• A••••• P••••••	Bend, Or	Oct 31, 2022	24 y	4

Advisor movement

0 left, 0 joined in 12 months

net 0 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

J•••• A••••• P•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••
Oct 31, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
D••••• J••••• E•••• from C•••••••• I••••••••• R••••••• A•••••••• I•••
Oct 19, 2022 · Affiliated broker-dealer or bank to a newly registered adviser

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 joined from C•••••••• I••••••••• R••••••• A•••••••• I•••
Dec 31, 2022 · Bend, Or

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

E••••• D•••••• J••••• · Chief Compliance Officercontrol
since 10/2022 · owns less than 5%
E••••• D•••••• J••••• · Managing Partnercontrol
since 01/2006 · owns 75% or more of D•• F•••••••• I•••
P••••••• J••••• A••••• · Managing Partnercontrol
since 05/2005 · owns 75% or more of J• F•••••••• I•••

Entity owners

D•• F•••••••• I••• · Owner
direct · owns 50% to 75%
J• F•••••••• I••• · Owner
direct · owns 50% to 75%

Related persons

Schedule D 7.A

D•••• J••••• E••••
real estatey
J•••• A••••• P••••••
real estatey

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Bend, Or · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 0 to 114
Oct 19, 2022 to Jan 25, 2023
BD registered reps · 2 to 0
Oct 19, 2022 to Jan 25, 2023
HNW clients · unset to 24.0
Oct 19, 2022 to Jan 25, 2023
Individual clients · unset to 23.0
Oct 19, 2022 to Jan 25, 2023
Assets in custody · unset to 23192035.0
Oct 19, 2022 to Jan 25, 2023
Custody of client assets · false to true
Oct 19, 2022 to Jan 25, 2023
Insurance-licensed employees · 2 to 0
Oct 19, 2022 to Jan 25, 2023
Financial planning clients · 0 to 1-10
Oct 19, 2022 to Jan 25, 2023
State-registered IARs · 0 to 2
Oct 19, 2022 to Jan 25, 2023
Discretionary RAUM · $0 to $48.1M
Oct 19, 2022 to Jan 25, 2023
HNW RAUM · unset to 42117733.0
Oct 19, 2022 to Jan 25, 2023
Individual RAUM · unset to 6000986.0
Oct 19, 2022 to Jan 25, 2023
Non-discretionary RAUM · $0 to $67,766
Oct 19, 2022 to Jan 25, 2023
RAUM · $0 to $48.1M
Oct 19, 2022 to Jan 25, 2023
Related adviser · true to false
Oct 19, 2022 to Jan 25, 2023
Related broker-dealer · true to false
Oct 19, 2022 to Jan 25, 2023
Financial planning clients · unset to 0
Sep 19, 2022 to Oct 19, 2022

Signals

2 dated events

••• Locked
Dec 31, 2022 · Team lift-out · derived
••• Locked
Sep 19, 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.

How to reach

public business contact points only, each with its source

Website: S•••••••CAPLLC.COMreportedpublic record, Form ADV, Mar 30, 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: $24.1Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026