DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S••••• C•••••• L•
Latest filing Apr 17, 2026
First filing on the tape Dec 17, 2025 · 3 filings
SEC status approved since Dec 18, 2025
RAUM
$622M
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
8
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$622M as of Apr 17, 2026
Dec 17, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 17, 2026
Dec 17, 20250 then
Employees (5.A)8 as of Apr 17, 2026
Dec 17, 20257 then
Private funds: 1
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 17, 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
- $156MderivedRAUM 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
- unknownderived2 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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $497M, 3 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)
- 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$497M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $497M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.8 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••••••••• J••••• R•••••• · Chief Compliance Officer, Chief Operating Officercontrolsince 05/2025 · owns 5% to 10%
- L•••••• S••••• C••••• · Co-Founder, Partnercontrolsince 05/2025 · owns 25% to 50%
- R•••••• M•••• D••••• · Chief Investment Officer, Foundercontrolsince 05/2025 · owns 50% to 75%
Entity owners
- S••••• M•••• G• L•• · General Partnerdirect · 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.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Apr 17, 2026advises private funds (Item 7.B): no on the filing of 2026-03-27, yes on the filing of 2026-04-17peers: asset managers, $500M to $1B (784)
- custody status changedChange between filings · filing Apr 17, 2026custody of client assets (Item 9.A): no on the filing of 2026-03-27, yes on the filing of 2026-04-17peers: asset managers, $500M to $1B (784)
What changed
consecutive filings, newest first
- Accounts · 0 to 4Mar 27, 2026 to Apr 17, 2026
- Advisory employees · 4 to 5Mar 27, 2026 to Apr 17, 2026
- Pooled vehicle clients · 0 to 3Mar 27, 2026 to Apr 17, 2026
- Assets in custody · unset to 497440516.0Mar 27, 2026 to Apr 17, 2026
- Custody of client assets · false to trueMar 27, 2026 to Apr 17, 2026
- Employees · 7 to 8Mar 27, 2026 to Apr 17, 2026
- Private funds · unset to 1Mar 27, 2026 to Apr 17, 2026
- Discretionary RAUM · $0 to $622MMar 27, 2026 to Apr 17, 2026
- Pooled vehicle RAUM · unset to 497440516.0Mar 27, 2026 to Apr 17, 2026
- RAUM · $0 to $622MMar 27, 2026 to Apr 17, 2026
Signals
No event on the tape.
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/shotencapitalreportedpublic record, Form ADV, Sep 21, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 512-265-3800reportedpublic record, Form ADV, Apr 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
- 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