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•••••• L••
Latest filing Sep 10, 2026
First filing on the tape Jan 26, 2026 · 2 filings
SEC status approved since Feb 25, 2026
RAUM
$220M
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
42
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$220M as of Sep 10, 2026
Jan 26, 2026$220M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 10, 2026
Jan 26, 20260 then
Employees (5.A)42 as of Sep 10, 2026
Jan 26, 202642 then
Private funds: 42
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 10, 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
- $4.5MderivedRAUM 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
- fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $220M, 49 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$220M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 49reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $220M for 49 clientsreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd= related_bank= 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
- G•••••• J••• · Managing Directorcontrolsince 12/2025 · owns less than 5%
- M•••••••• D•••• · Cco And Directorcontrolsince 12/2025 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · to unsetJan 26, 2026 to Sep 10, 2026
- Private funds · 42 to unsetJan 26, 2026 to Sep 10, 2026
- Related adviser · false to unsetJan 26, 2026 to Sep 10, 2026
- Related bank · false to unsetJan 26, 2026 to Sep 10, 2026
- Related broker-dealer · false to unsetJan 26, 2026 to Sep 10, 2026
- Related insurance company · false to unsetJan 26, 2026 to Sep 10, 2026
- Succession · false to unsetJan 26, 2026 to Sep 10, 2026
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- S••••• C•••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 947-208-1900reportedpublic record, Form ADV, Sep 10, 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