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••••• A••••••• I• L••
Latest filing Aug 28, 2026
First filing on the tape Oct 31, 2022 · 9 filings
SEC status approved since Nov 30, 2022
RAUM
$50.2M
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
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$50.2M as of Aug 28, 2026
Mar 23, 2023$44.9M then
HNW client RAUM$0 as of Aug 28, 2026
Mar 26, 2025$0 then
State-registered IARs (5.B.3)0 as of Aug 28, 2026
Mar 23, 20230 then
Employees (5.A)7 as of Aug 28, 2026
Mar 23, 20237 then
Private funds2 as of Aug 28, 2026
Mar 23, 20232 then
RAUM -13% over the last fiscal year+3.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 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
- $25.1MderivedRAUM 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
- -13%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $50.2M, 2 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$50.2M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $50.2M for 2 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=6.0derived
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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•• C••••• F••• I• Q• L• | Other Private Fund | $53.6M | 63 | Oct 25, 2022 |
| S•• C••••• F••• I• L• | Other Private Fund | $19.0M | 40 | Oct 25, 2022 |
Owners and control persons
Schedule A and B, latest filing
- B••••• R••••• E•••• · Manager Representativecontrolsince 08/2022 · owns 10% to 25%
- K•••••• C••••••• T••• · Treasurercontrolsince 08/2022 · owns 10% to 25%
- L••••••• A••• S•• · Chief Compliance Officercontrolsince 08/2022 · owns less than 5%
- Z••• E•••••• J•• · Manager Representativecontrolsince 08/2022 · owns 10% to 25%
- B••••• R••••• E•••• · Member, S•• P•••••••• I•••••••• I•• L••controlsince 08/2022 · owns 25% to 50% of S•• P•••••••• I•••••••• I•• L••
- K•••• K••••••• N•• · Member, A•••••••• Capital Holdings LLCcontrolsince 08/2022 · owns 75% or more of A•••••••• C•••••• H•••••••• L••
- K•••••• C••••••• T••• · Member, S•• P•••••••• I•••••••• I•• L••controlsince 08/2022 · owns 25% to 50% of S•• P•••••••• I•••••••• I•• L••
- S••••••• S•••••• L• · Member, S•• P•••••••• I•••••••• I•• L••since 08/2022 · owns 25% to 50% of S•• P•••••••• I•••••••• I•• L••
Entity owners
- P••••••• I• L•• · Member, S•• C••••• F••• I• G• L••direct · owns 50% to 75%
- S•• C••••• F••• I• G• L•• · Managerdirect · owns less than 5%
- S•• J• H••••• I• L•• · Member, Spp Credit Advisors II, LLCdirect · owns 75% or more
- S•• P•••••••• I•••••••• I•• L•• · Member, S•• C••••• F••• I• G• L••direct · owns 25% to 50%
- A•••••••• C•••••• H•••••••• L•• · Member, Paca Spp II LLCindirect · owns 75% or more of P••••••• I• L••
- P••••••• I• L•• · Member, S•• C••••• F••• I• G• L••indirect · owns 50% to 75% of S•• C••••• F••• I• G• L••
- P••••••• L•• · Member, S•• J• H••••• I• L••indirect · owns 25% to 50% of S•• J• H••••• I• L••
- S•• P•••••••• I•••••••• I•• L•• · Member, S•• C••••• F••• I• G• L••indirect · owns 25% to 50% of S•• C••••• F••• I• G• L••
- S•• P•••••••• I•••••••• I•• L•• · Member, S•• J• H••••• I• L••indirect · owns 25% to 50% of S•• J• H••••• I• L••
- C••••••••• L•• · Member, S•• C••••• F••• I• G• L••direct · owns 10% to 25%
- S•• H•••••••• L•• · Member, S•• C••••• F••• I• G• L••direct · owns 10% to 25%
Related persons
Schedule D 7.A
- A•••••••• C•••••• M•••••••••investment adviseryRAUM $8.3B
- A••••••• C•••• L••• I•••••••• C••••••real estaten
- H•••••••• I•••••••• C••••••real estaten
- S••••••• S••••••• L••• I•••••••• C••••••real estaten
- S•• C•••••• P•••••••• L••broker-dealern
- S•• C••••• A••••••• L••investment advisernRAUM $15.4M
Advisers that list S•• C••••• A••••••• I• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ city · NEW YORK to Mar 27, 2026 to Aug 28, 2026
- HQ state · NY to Mar 27, 2026 to Aug 28, 2026
- Assets in custody · $57.8M to $50.2MJul 31, 2025 to Mar 27, 2026
- Discretionary RAUM · $57.8M to $50.2MJul 31, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $57.8M to $50.2MJul 31, 2025 to Mar 27, 2026
- RAUM · $57.8M to $50.2MJul 31, 2025 to Mar 27, 2026
- Financial planning clients · 0 to 0Mar 26, 2025 to Jul 31, 2025
- Pension RAUM · unset to 0.0Mar 26, 2024 to Mar 26, 2025
- Charity clients · unset to 0.0Mar 26, 2024 to Mar 26, 2025
- Corporate clients · unset to 0.0Mar 26, 2024 to Mar 26, 2025
- HNW clients · unset to 0.0Mar 26, 2024 to Mar 26, 2025
- Individual clients · unset to 0.0Mar 26, 2024 to Mar 26, 2025
- Pension plan clients · unset to 0.0Mar 26, 2024 to Mar 26, 2025
- Assets in custody · $76.2M to $57.8MMar 26, 2024 to Mar 26, 2025
- Discretionary RAUM · $76.2M to $57.8MMar 26, 2024 to Mar 26, 2025
- HNW RAUM · unset to 0.0Mar 26, 2024 to Mar 26, 2025
- Individual RAUM · unset to 0.0Mar 26, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $76.2M to $57.8MMar 26, 2024 to Mar 26, 2025
- RAUM · $76.2M to $57.8MMar 26, 2024 to Mar 26, 2025
- Assets in custody · $66.4M to $76.2MAug 25, 2023 to Mar 26, 2024
- Discretionary RAUM · $66.4M to $76.2MAug 25, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $66.4M to $76.2MAug 25, 2023 to Mar 26, 2024
- RAUM · $66.4M to $76.2MAug 25, 2023 to Mar 26, 2024
- Assets in custody · $59.5M to $66.4MMar 23, 2023 to Aug 25, 2023
- Discretionary RAUM · $44.9M to $66.4MMar 23, 2023 to Aug 25, 2023
- Pooled vehicle RAUM · $44.9M to $66.4MMar 23, 2023 to Aug 25, 2023
- RAUM · $44.9M to $66.4MMar 23, 2023 to Aug 25, 2023
- Private funds · 4 to 2Oct 31, 2022 to Mar 23, 2023
- Discretionary RAUM · $59.5M to $44.9MOct 31, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $59.5M to $44.9MOct 31, 2022 to Mar 23, 2023
- RAUM · $59.5M to $44.9MOct 31, 2022 to Mar 23, 2023
Signals
1 dated events
- S•• C••••• A••••••• I• L•• filed its initial SEC registration (Form ADV)Oct 31, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•• C••••• A••••••• I• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- w••.s•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-455-4500reportedpublic record, Form ADV, Aug 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