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••••••
Legal name S•• H••••••• L••
Latest filing Apr 29, 2026
First filing on the tape Oct 12, 2023 · 5 filings
SEC status approved since Nov 13, 2023
RAUM
$230M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$230M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$57.6M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$230M as of Apr 29, 2026
Mar 11, 2024$105M then
HNW client RAUM$195M as of Apr 29, 2026
Mar 11, 2024$68.4M then
State-registered IARs (5.B.3)4 as of Apr 29, 2026
Mar 11, 20243 then
Employees (5.A)4 as of Apr 29, 2026
Mar 11, 20243 then
Private funds: 1
RAUM +12% over the last fiscal yearIARs 3 to 4
Practice profile
derived from the filing of Apr 29, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $57.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $553,580derivedRAUM 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
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +36%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$195M85%
- Individuals$35.4M15%
- Individual clients
- 164reported
- HNW clients
- 65reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 416reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Z•••••• S••••• B•••• | Scottsdale, Az | Nov 16, 2023 | 20 y | 6 |
| J••••• C•••• H••••• | Scottsdale, Az | Dec 6, 2023 | 11 y | 2 |
| M••••• J••• P••••••• | Scottsdale, Az | Dec 6, 2023 | 12 y | 1 |
| N••••• R••••• C•••• | Scottsdale, Az | May 28, 2025 | 10 y | 0 |
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••••• C•••• H••••• from F••••••••• I••••••••• A••••••• L••Dec 6, 2023 · RIA to a newly registered adviser
- M••••• J••• P••••••• from F••••••••• I••••••••• A••••••• L••Dec 6, 2023 · RIA to a newly registered adviser
- Z•••••• S••••• B•••• from F••••••••• I••••••••• A••••••• L••Nov 16, 2023 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from F••••••••• I••••••••• A••••••• L••Mar 1, 2024 · Phoenix, Az
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• Z••••••• S••••• · Presidentcontrolsince 10/2023 · owns less than 5%
- P•••••••• M•••••• J••• · Chief Compliance Officercontrolsince 09/2023 · owns less than 5%
- B••••• M•••••• M•••• · Management Trusteecontrolsince 12/2019 · owns F of S•• T•••• D•••• D••••••• 2•• 2•••
- B••••• Z••••••• S••••• · Managercontrolsince 12/2019 · owns 75% or more of S•• C•••••• L••
- B••••• Z••••••• S••••• · Management Trusteecontrolsince 12/2019 · owns F of S•• T•••• D•••• D••••••• 2•• 2•••
- S•••••• V•••••• P•••••• · Independent Trusteecontrolsince 12/2019 · owns F of S•• T•••• D•••• D••••••• 2•• 2•••
Entity owners
- S•• C•••••• L•• · Member/Managerdirect · owns 75% or more
- S•• T•••• D•••• D••••••• 2•• 2••• · Memberindirect · owns 75% or more of S•• C•••••• L••
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 |
|---|---|---|---|---|---|
| Scottsdale, Az · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Apr 29, 2026advises private funds (Item 7.B): no on the filing of 2026-03-30, yes on the filing of 2026-04-29peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Apr 29, 2026HNW share of RAUM moved from 15.0% to 85.0% between the annual amendments of 2025-03-17 and 2026-04-29peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Private funds · unset to 1Mar 30, 2026 to Apr 29, 2026
- Accounts · 376 to 416Mar 17, 2025 to Mar 30, 2026
- HNW clients · 122 to 65Mar 17, 2025 to Mar 30, 2026
- Individual clients · 46 to 164Mar 17, 2025 to Mar 30, 2026
- State-registered IARs · 3 to 4Mar 17, 2025 to Mar 30, 2026
- Discretionary RAUM · $206M to $230MMar 17, 2025 to Mar 30, 2026
- HNW RAUM · $31.3M to $195MMar 17, 2025 to Mar 30, 2026
- Individual RAUM · $175M to $35.4MMar 17, 2025 to Mar 30, 2026
- RAUM · $206M to $230MMar 17, 2025 to Mar 30, 2026
- Accounts · 188 to 376Mar 11, 2024 to Mar 17, 2025
- Advisory employees · 3 to 4Mar 11, 2024 to Mar 17, 2025
- HNW clients · 24 to 122Mar 11, 2024 to Mar 17, 2025
- Individual clients · 87 to 46Mar 11, 2024 to Mar 17, 2025
- Employees · 3 to 4Mar 11, 2024 to Mar 17, 2025
- Financial planning clients · unset to Mar 11, 2024 to Mar 17, 2025
- Discretionary RAUM · $105M to $206MMar 11, 2024 to Mar 17, 2025
- HNW RAUM · $68.4M to $31.3MMar 11, 2024 to Mar 17, 2025
- Individual RAUM · $36.9M to $175MMar 11, 2024 to Mar 17, 2025
- RAUM · $105M to $206MMar 11, 2024 to Mar 17, 2025
- Accounts · 0 to 188Oct 12, 2023 to Mar 11, 2024
- HNW clients · 0 to 24Oct 12, 2023 to Mar 11, 2024
- Individual clients · 0 to 87Oct 12, 2023 to Mar 11, 2024
- Discretionary RAUM · $0 to $105MOct 12, 2023 to Mar 11, 2024
- HNW RAUM · $0 to $68.4MOct 12, 2023 to Mar 11, 2024
- Individual RAUM · $0 to $36.9MOct 12, 2023 to Mar 11, 2024
- RAUM · $0 to $105MOct 12, 2023 to Mar 11, 2024
Signals
3 dated events
- S• C•••••• reported RAUM $206.3M, up 96% from $105.3M (2024-03-11 to 2025-03-17)Mar 17, 2025 · RAUM change · derived
- 3 advisors left F••••••••• I••••••••• A••••••• L•• (Phoenix, AZ) for S• C•••••• on the same dayMar 1, 2024 · Team lift-out · derived
- S• C•••••• filed its initial SEC registration (Form ADV)Oct 12, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S• C•••••• · Independent Sponsorsshared crd · capital_provider
- S• C•••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- info@slcapitalwealth.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 480-359-7092reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/s-l-capital-wealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- slcapitalwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 480-359-7092reportedpublic record, Form ADV, Apr 29, 2026
- Contact form
- slcapitalwealth.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $57.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026