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•••••• S• L••••••
Latest filing Mar 26, 2026
First filing on the tape Nov 27, 2024 · 3 filings
SEC status approved since Apr 8, 2025
RAUM
$67.0M
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$67.0M as of Mar 26, 2026
Mar 19, 2025$0 then
HNW client RAUM$0 as of Mar 26, 2026
Mar 19, 2025$0 then
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 19, 20250 then
Employees (5.A)3 as of Mar 26, 2026
Mar 19, 20253 then
Private funds: 6
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 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
- $11.2MderivedRAUM 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
- 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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $67.0M, 6 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
- 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
- Pooled investment vehicles$67.0M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $67.0M for 6 clientsreported
- Compensation
- % of AUMreported
- 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
- H•••••• C••••••• M•• · Chief Legal Officer & Chief Compliance Officercontrolsince 12/2016 · owns less than 5%
- J••••••• I••• J•• · Chief Operating Officercontrolsince 10/2016 · owns less than 5%
- M•••••• J••••• W••••••••• · Chief Investment Officercontrolsince 10/2016 · owns less than 5%
- A•••• G•••••• E•••• · Shareholdercontrolsince 08/2016 · owns 75% or more of D•••••• H••••••• I•••••••••
- G•••• B•••••••• · Shareholdercontrolsince 08/2016 · owns 25% to 50% of I•• H••••••• L•••••
- J••••••• I••• J•• · Shareholdercontrolsince 08/2016 · owns 25% to 50% of I•• H••••••• L•••••
- M•••••• J••••• W••••••••• · Shareholdercontrolsince 08/2016 · owns 25% to 50% of I•• H••••••• L•••••
Entity owners
- S••••• C•••••• G•••• L••• · Shareholderdirect · owns 75% or more
- D•••••• H••••••• I••••••••• · Shareholderindirect · owns 25% to 50% of S••••• C•••••• G•••• L•••
- I•• H••••••• L••••• · Shareholderindirect · owns 50% to 75% of S••••• C•••••• G•••• L•••
Related persons
Schedule D 7.A
- S••••• C•••••• L••••••investment advisern
- S••••• C•••••• P• L••investment advisernRAUM $236M
- S••••• C•••••• U•• L••investment advisern
- S••••• W••••• P• L••investment advisernRAUM $59.6M
Advisers that list S••••• C•••••• S• L•••••• as a related person
- 333428 n
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 Mar 26, 2026advises private funds (Item 7.B): no on the filing of 2025-03-19, yes on the filing of 2026-03-26peers: asset managers, under $100M (330)
- custody status changedChange between filings · filing Mar 26, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-19, yes on the filing of 2026-03-26peers: asset managers, under $100M (330)
What changed
consecutive filings, newest first
- Accounts · 0 to 6Mar 19, 2025 to Mar 26, 2026
- Pooled vehicle clients · 0 to 6Mar 19, 2025 to Mar 26, 2026
- Assets in custody · unset to 67000000.0Mar 19, 2025 to Mar 26, 2026
- Custody of client assets · false to trueMar 19, 2025 to Mar 26, 2026
- Private funds · unset to 6Mar 19, 2025 to Mar 26, 2026
- Discretionary RAUM · $0 to $67.0MMar 19, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $0 to $67.0MMar 19, 2025 to Mar 26, 2026
- RAUM · $0 to $67.0MMar 19, 2025 to Mar 26, 2026
- Financial planning clients · unset to Nov 27, 2024 to Mar 19, 2025
- HQ state · unset to Nov 27, 2024 to Mar 19, 2025
Signals
1 dated events
- S••••• C•••••• S• L•••••• filed its initial SEC registration (Form ADV)Nov 27, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••• C•••••• S• L•••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- (758) 731-3500reportedpublic record, Form ADV, Mar 26, 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