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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Former SEC-registered adviser

S•••••• • C• I••

Former SEC-registered adviserNew York, New YorkCRD 3524SEC 801-4175IAPD
Legal name S•••••• • C••••••• I•••••••••
Latest filing Jun 22, 2020
First filing on the tape Jan 18, 2012 · 19 filings
RAUM
$253M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
48%
$122M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$253M as of Jan 22, 2020
Jan 18, 2012$3.7B then
HNW client RAUM$122M as of Jan 22, 2020
Jan 22, 2018$149M then
State-registered IARs (5.B.3)0 as of Jan 22, 2020
Jan 22, 20130 then
Employees (5.A)8 as of Jan 22, 2020
Jan 22, 201317 then
Private funds: no history
RAUM -13% over the last fiscal year-36% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 22, 2020; 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
$2.3MderivedHNW RAUM over HNW clients
Average account
$3.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.9%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
-13%derivedbetween 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 individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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)
  • 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$122M48%
  • Investment companies$80.6M32%
  • Pooled investment vehicles$23.9M9.4%
  • Corporations and businesses$18.8M7.4%
  • Charitable organizations$7.3M2.9%
Individual clients
n/areported
HNW clients
54reported
Pension plan clients
n/areported
Charitable clients
4reported
Accounts
65reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • A••••••• A•••• S••••• · Chief Investment Officercontrol
    since 11/1999 · owns 10% to 25%
  • A••••••• H•••••••• B• · Chairmancontrol
    since 11/1966 · owns 25% to 50%
  • L•••••• A•••••• B•••••• · Presidentcontrol
    since 02/2003 · owns 10% to 25%
  • P•••••••• J•••• · Chief Compliance Officercontrol
    since 09/2004 · 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
  • Accounts · 136 to 65
    Nov 11, 2019 to Jan 22, 2020
  • Advisory employees · 5 to 4
    Nov 11, 2019 to Jan 22, 2020
  • Charity clients · 5 to 4
    Nov 11, 2019 to Jan 22, 2020
  • Corporate clients · 6 to 4
    Nov 11, 2019 to Jan 22, 2020
  • HNW clients · 50 to 54
    Nov 11, 2019 to Jan 22, 2020
  • Pooled vehicle clients · 4 to 2
    Nov 11, 2019 to Jan 22, 2020
  • Employees · 10 to 8
    Nov 11, 2019 to Jan 22, 2020
  • Discretionary RAUM · $266M to $253M
    Nov 11, 2019 to Jan 22, 2020
  • HNW RAUM · $112M to $122M
    Nov 11, 2019 to Jan 22, 2020
  • Non-discretionary RAUM · $25.7M to $0
    Nov 11, 2019 to Jan 22, 2020
  • Pooled vehicle RAUM · $28.1M to $23.9M
    Nov 11, 2019 to Jan 22, 2020
  • RAUM · $292M to $253M
    Nov 11, 2019 to Jan 22, 2020
  • Accounts · 138 to 136
    Nov 12, 2018 to Jan 25, 2019
  • Advisory employees · 6 to 5
    Nov 12, 2018 to Jan 25, 2019
  • Charity clients · 7 to 5
    Nov 12, 2018 to Jan 25, 2019
  • HNW clients · 48 to 50
    Nov 12, 2018 to Jan 25, 2019
  • Pension plan clients · 3.0 to unset
    Nov 12, 2018 to Jan 25, 2019
  • Pooled vehicle clients · 5 to 4
    Nov 12, 2018 to Jan 25, 2019
  • Employees · 14 to 10
    Nov 12, 2018 to Jan 25, 2019
  • Discretionary RAUM · $659M to $266M
    Nov 12, 2018 to Jan 25, 2019
  • HNW RAUM · $149M to $112M
    Nov 12, 2018 to Jan 25, 2019
  • Non-discretionary RAUM · $26.2M to $25.7M
    Nov 12, 2018 to Jan 25, 2019
  • Pension RAUM · 38087553.0 to unset
    Nov 12, 2018 to Jan 25, 2019
  • Pooled vehicle RAUM · $77.7M to $28.1M
    Nov 12, 2018 to Jan 25, 2019
  • RAUM · $685M to $292M
    Nov 12, 2018 to Jan 25, 2019
  • Accounts · 170 to 138
    Feb 28, 2017 to Jan 22, 2018
  • Charity clients · unset to 7.0
    Feb 28, 2017 to Jan 22, 2018
  • Corporate clients · unset to 6.0
    Feb 28, 2017 to Jan 22, 2018
  • HNW clients · unset to 48.0
    Feb 28, 2017 to Jan 22, 2018
  • Pension plan clients · unset to 3.0
    Feb 28, 2017 to Jan 22, 2018
  • Pooled vehicle clients · unset to 5.0
    Feb 28, 2017 to Jan 22, 2018
  • Other offices · unset to 0.0
    Feb 28, 2017 to Jan 22, 2018
  • Discretionary RAUM · $928M to $659M
    Feb 28, 2017 to Jan 22, 2018
  • HNW RAUM · unset to 148696468.0
    Feb 28, 2017 to Jan 22, 2018
  • Non-discretionary RAUM · $30.4M to $26.2M
    Feb 28, 2017 to Jan 22, 2018
  • Pension RAUM · unset to 38087553.0
    Feb 28, 2017 to Jan 22, 2018
  • Pooled vehicle RAUM · unset to 77664681.0
    Feb 28, 2017 to Jan 22, 2018
  • RAUM · $958M to $685M
    Feb 28, 2017 to Jan 22, 2018
  • Accounts · 193 to 170
    Oct 19, 2016 to Jan 19, 2017
  • Advisory employees · 7 to 6
    Oct 19, 2016 to Jan 19, 2017
Signals
3 dated events
  • S•••••• • C• I•• reported RAUM $291.8M, down 57% from $685.3M (2018-11-12 to 2019-01-25)
    Jan 25, 2019 · RAUM change · derived
  • Thierry Philippe Labaune (Executive V.P.) no longer on Schedule A of S•••••• • C• I•• (listed 2018-11-12, absent 2019-01-25)
    Jan 25, 2019 · Control person left · inference
  • S•••••• • C• I•• reported RAUM $685.3M, down 28% from $958.3M (2017-02-28 to 2018-01-22)
    Jan 22, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
Former SEC-registered adviserderiveda 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