DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S•••• F••• I•• G•• L••
Latest filing Mar 23, 2026
First filing on the tape Oct 13, 2022 · 9 filings
SEC status approved since Nov 23, 2022
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 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
9 filings and snapshots on the tape
RAUM$0 as of Mar 23, 2026
Apr 1, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 23, 2026
Mar 24, 20230 then
Employees (5.A)1 as of Mar 23, 2026
Mar 24, 20231 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $0derivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $120M, 1 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $120M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T••••• R••••• A••••• J•••• · Chief Compliance Officercontrolsince 03/2017 · owns less than 5%
- T••••• R••••• A••••• J•••• · Sole Member - Managercontrolsince 03/2017 · owns 75% or more of S••••• C•••••• P•••••••• L••
Entity owners
- S••••• C•••••• P•••••••• L•• · Sole Member - Managerdirect · owns 75% or more
Related persons
Schedule D 7.A
- S••••• C•••••• M••••••••• L••investment adviseryRAUM $120M
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $109M to $120MMay 5, 2025 to Mar 23, 2026
- Financial planning clients · unset to Apr 1, 2025 to May 5, 2025
- Accounts · unset to 0.0May 31, 2024 to Apr 1, 2025
- Assets in custody · $99.8M to $109MMay 31, 2024 to Apr 1, 2025
- Discretionary RAUM · unset to 0.0May 31, 2024 to Apr 1, 2025
- Non-discretionary RAUM · unset to 0.0May 31, 2024 to Apr 1, 2025
- RAUM · unset to 0.0May 31, 2024 to Apr 1, 2025
- Assets in custody · $96.9M to $99.8MMar 29, 2024 to May 31, 2024
- Assets in custody · $108M to $96.9MJun 20, 2023 to Mar 29, 2024
- State-registered IARs · 0 to 1Jun 20, 2023 to Mar 29, 2024
- Assets in custody · $100M to $108MOct 18, 2022 to Mar 24, 2023
- Business name · S••••• C•••••• P•••••••• L•• to S•••• F••• I•• G•• L••Oct 13, 2022 to Oct 18, 2022
- Legal name · S••••• C•••••• M••••••••• L•• to S•••• F••• I•• G•• L••Oct 13, 2022 to Oct 18, 2022
Signals
1 dated events
- S••••• C•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Oct 13, 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
- Firm profile
- linkedin.com/company/senecacapitalpartnersreportedpublic record, Form ADV, Sep 21, 2026
- Website
- S•••••CP.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (303)888-2826reportedpublic record, Form ADV, Mar 23, 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
- No RAUM reportedderiveda 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