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•••••• M•••••••••
Legal name S•••••• C•••••• M••••••••• L•
Latest filing Mar 28, 2026
First filing on the tape May 10, 2024 · 7 filings
SEC status approved since Jun 7, 2024
RAUM
$527M
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
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$527M as of Mar 28, 2026
Mar 21, 2025$478M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2026
Mar 21, 20250 then
Employees (5.A)2 as of Mar 28, 2026
Mar 21, 20253 then
Private funds: no history
RAUM +10% over the last fiscal yearIARs 0 to 0offices 3 to 2
Practice profile
derived from the filing of Mar 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
- $527MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$527M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
- K••••• M••••••• P••••• · Outsourced Chief Compliance Officer, Chief Finacial Officercontrolsince 06/2024 · owns less than 5%
- M••••••••• G•••••• M•••••• · Chief Executive Officer, Chief Investment Officer, Limited Partnercontrolsince 04/2024 · owns 50% to 75%
- Y•••• A••••• · Chief Operations Officer, Limited Partnercontrolsince 04/2024 · owns 25% to 50%
- M••••••••• G•••••• M•••••• · Membercontrolsince 04/2024 · owns F of S•••••• C•••••• M••••••••• G• L••
- Y•••• A••••• · Membercontrolsince 04/2024 · owns F of S•••••• C•••••• M••••••••• G• L••
Entity owners
- S•••••• C•••••• M••••••••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- S•••••• C•••••• M••••••••• G• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Employees · 3 to 2May 30, 2025 to Mar 28, 2026
- Other offices · 3 to 2May 30, 2025 to Mar 28, 2026
- Discretionary RAUM · $478M to $527MMay 30, 2025 to Mar 28, 2026
- Pooled vehicle RAUM · $478M to $527MMay 30, 2025 to Mar 28, 2026
- RAUM · $478M to $527MMay 30, 2025 to Mar 28, 2026
- Financial planning clients · unset to Mar 21, 2025 to May 30, 2025
- Discretionary RAUM · $252M to $478MAug 10, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · $252M to $478MAug 10, 2024 to Mar 21, 2025
- RAUM · $252M to $478MAug 10, 2024 to Mar 21, 2025
- Accounts · 0 to 1May 10, 2024 to Aug 9, 2024
- Pooled vehicle clients · unset to 1.0May 10, 2024 to Aug 9, 2024
- Employees · 2 to 3May 10, 2024 to Aug 9, 2024
- Financial planning clients · 0 to unsetMay 10, 2024 to Aug 9, 2024
- Other offices · 2 to 3May 10, 2024 to Aug 9, 2024
- Discretionary RAUM · $0 to $252MMay 10, 2024 to Aug 9, 2024
- Pooled vehicle RAUM · unset to 251668000.0May 10, 2024 to Aug 9, 2024
- RAUM · $0 to $252MMay 10, 2024 to Aug 9, 2024
Signals
3 dated events
- S•••••• C•••••• M••••••••• reported RAUM $477.6M, up 90% from $251.7M (2024-08-10 to 2025-03-21)Mar 21, 2025 · RAUM change · derived
- Patric Micheal Klein (Outsourced Chief Compliance Officer, Chief Finacial Officer) appeared on Schedule A of S•••••• C•••••• M•••••••••Aug 9, 2024 · Control person joined · fact
- S•••••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)May 10, 2024 · 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
- Principal office phone
- 212-970-9451reportedpublic record, Form ADV, Mar 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