DFX Intelligence

S•••••• W••••• M•••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

S•••••• W••••• M•••••••••

S•••••• W••••• M•••••••••, LLC, CRD 170265

DANVILLE, CA

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Search this name across graphsid dfx:ria:69d32d0d-50c3-18e0-fec0-62817f08b7e4

Data as of Feb 7, 2025 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 7
On other graphs: 0
Observed: Jul 7, 2015 to Feb 7, 2025
13 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $259M••• Locked
Discretionary RAUM: $258M
Private client RAUM: $259Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••• J•••• H•	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	E	yes	12/2013	Jul 7, 2015	Mar 22, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••••• W••••• M••••••••• L••	n/a	Former SEC adviser	$787M	N	yes	n/a
C•••••••• I•••••••• S•••••••• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$259M	$219M	18.0%	$230M	4.1%	9	10	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S•••••• P••••••• I••••••••• A•••••••• L••	2	Sep 4, 2025	Jun 30, 2025	DANVILLE, CA	Team lift out	RIA to ibd	100.0%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C•••••••• W••••• M•••••••••	2	Sep 4, 2025	Jul 14, 2015	SAN RAMON, CA	Team lift out	RIA to RIA	100.0%

Relationships

Affiliated with (2)

→ C•••••••• W••••• M•••••••••Registered adviserother investment adviser, common control
factForm ADV
← C•••••••• W••••• M•••••••••Registered adviserother investment adviser, common control
factForm ADV

Registered with (4)

← T•••• J••Advisorregistration: previous registration
Jul 14, 2015 to Sep 4, 2025factForm ADV
← J••• H• S••

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Sep 4, 2025
Team lift-out
••• Locked
Form ADVobserved 7 days ago
2 advisors
Occurred
Sep 4, 2025
Team lift-out
••• Locked
Form ADVobserved 7 days ago
2 advisors
Occurred
Sep 4, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:69d32d0d-50c3-18e0-fec0-62817f08b7e4
First observed: Jul 7, 2015
Last observed: Feb 7, 2025 19 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.