DFX Intelligence

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S••••• W•••• C••••••

Former SEC-registered adviserFormer SEC adviser· La Jolla, California

Former SEC-registered adviser, based in La Jolla, California, reporting $33.5M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2017-10-17 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $33.5M
RAUM change, last fiscal year: -72%
Private clients: 19% of RAUM, $6.5M

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2017-10-17 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 17 Oct 2017, RAUM $120M to $33.5M (-72.1%) on the Form ADV filed 17 Oct 2017, while advisors on the filing rose 5 to 5.

Every filed figure, and the identifiersCRD 104558 · SEC 801-19737 · 29 filingsShow

CRD 104558SEC 801-19737Legal name S••••• G••••• M••••••••• I•••First filing on the tape Feb 22, 2012, latest Oct 17, 2017IAPD

RAUM

$33.5M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

19%

$6.5M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

29 filings and snapshots on the tape

RAUM -56% a year over three years · the tape starts Feb 22, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$50.0M as of Mar 21, 2017

Feb 22, 2012$416M then

HNW client RAUM: no history

State-registered IARs (5.B.3)6 as of Mar 21, 2017

Feb 22, 20137 then

Employees (5.A)6 as of Mar 21, 2017

Feb 22, 201314 then

Private funds1 as of Mar 21, 2017

Feb 22, 20122 then

RAUM -72% over the last fiscal year-56% a year over threeIARs 5 to 5

Practice profile

derived from the filing of Oct 17, 2017; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: $6.7MderivedRAUM 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: $3.7MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.2derivedItem 5.A over advisors
Advisors per office: 5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: -58%derivedbetween the last two annual amendments
Advisor growth, one year: +20%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, otherreportedItem 5.E
Advisory activities: portfolio management for individuals, otherreportedItem 5.G
Custody: $16.4M, 4 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

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)
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% individuals

The breakdown by client type, and the client counts1 client typesShow

Individuals$6.5M100%

Individual clients: 6reported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 9reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $16.4M for 4 clientsreported
Compensation: % of AUMreported
Class basis: absent from the latest SEC rosterderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

2 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
S••••• M••••• W•••• E••••• F••• L•••no longer reported	Hedge Fund	$42.8M	80	Feb 22, 2012
S••••• W•••• D••••••••• G•••• L••	Securitized Asset Fund	$21.0M	60	Feb 22, 2012

Owners and control persons

Schedule A and B, latest filing

D••••••••• M••••••• J••• · Managing Directorcontrol
since 05/2013 · owns 25% to 50%
G•••••• J••••••• J•••• · Chief Compliance Officercontrol
since 10/2008 · owns less than 5%
A••• J•••••••• A•• · Trusteecontrol
since 10/2006 · owns 75% or more of P••• And J••••••• Ang Family Living Trust
A••• P•••• H• · Trusteecontrol
since 10/2006 · owns 75% or more of P••• And J••••••• Ang Family Living Trust
M•••••••• J•••• T••••• · Trusteecontrol
since 03/2017 · owns 50% to 75% of J••• T. M••••••• & S••••• L. M••••••• Family Trust

All 6 control persons

M•••••••• S••••• L•• · Trusteecontrol
since 03/2017 · owns 50% to 75% of J••• T. M••••••• & S••••• L. M••••••• Family Trust

Entity owners

J••• T• M••••••• • S••••• L• M••••••• F••••• T•••• · Trust
direct · owns 25% to 50%
T•• P••• A•• J••••••• A•• F••••• T•••• · Living Trust
direct · owns 5% to 10%

Related persons

Schedule D 7.A

A••• D••••••••• I•••
broker-dealern
S••••• E••••• D••••••••• G••••• L••
y

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 13 to 9
Sep 6, 2017 to Oct 17, 2017
Individual clients · unset to 6.0
Sep 6, 2017 to Oct 17, 2017
Other offices · unset to 0.0
Sep 6, 2017 to Oct 17, 2017
Discretionary RAUM · $45.0M to $33.5M
Sep 6, 2017 to Oct 17, 2017
Individual RAUM · unset to 6500000.0
Sep 6, 2017 to Oct 17, 2017

Full history · 80 changes

RAUM · $45.0M to $33.5M
Sep 6, 2017 to Oct 17, 2017
Discretionary RAUM · $51.3M to $45.0M
Jun 27, 2017 to Sep 6, 2017
RAUM · $51.3M to $45.0M
Jun 27, 2017 to Sep 6, 2017
Employees · 7 to 6
May 22, 2017 to Jun 14, 2017
State-registered IARs · 6 to 5
May 22, 2017 to Jun 14, 2017
Private funds · 1 to unset
May 22, 2017 to Jun 14, 2017
Discretionary RAUM · $50.0M to $51.3M
May 22, 2017 to Jun 14, 2017
RAUM · $50.0M to $51.3M
May 22, 2017 to Jun 14, 2017
Related adviser · true to false
May 22, 2017 to Jun 14, 2017
Business name · S••••• W•••• C•••••• A••••••• to S••••• W•••• C••••••
Jun 14, 2017 to Jun 14, 2017
Advisory employees · 4 to 5
Mar 21, 2017 to May 22, 2017
Advisory activities · 3 to 2
Mar 21, 2017 to May 22, 2017
Employees · 6 to 7
Mar 21, 2017 to May 22, 2017
Accounts · 17 to 13
Jan 18, 2017 to Mar 21, 2017
Advisory employees · 6 to 4
Jan 18, 2017 to Mar 21, 2017
Employees · 9 to 6
Jan 18, 2017 to Mar 21, 2017
State-registered IARs · 5 to 6
Jan 18, 2017 to Mar 21, 2017
Discretionary RAUM · $99.3M to $50.0M
Jan 18, 2017 to Mar 21, 2017
RAUM · $99.3M to $50.0M
Jan 18, 2017 to Mar 21, 2017
Succession · false to true
Jan 18, 2017 to Mar 21, 2017
Business name · S••••• G••••• M••••••••• I••• to S••••• W•••• C•••••• A•••••••
Mar 21, 2017 to Mar 21, 2017
Succession · true to false
Mar 21, 2017 to Mar 21, 2017
BD registered reps · 0 to 1
Jun 23, 2016 to Aug 18, 2016
HQ city · SAN DIEGO to LA JOLLA
May 11, 2016 to Jun 23, 2016
Advisory activities · 4 to 3
Apr 13, 2016 to May 11, 2016
Accounts · 18 to 17
Feb 3, 2016 to Apr 13, 2016
Private funds · 2 to 1
Feb 3, 2016 to Apr 13, 2016
Discretionary RAUM · $120M to $99.3M
Feb 3, 2016 to Apr 13, 2016
RAUM · $120M to $99.3M
Feb 3, 2016 to Apr 13, 2016
Accounts · 25 to 18
Oct 8, 2015 to Feb 3, 2016
Discretionary RAUM · $199M to $120M
Oct 8, 2015 to Feb 3, 2016
RAUM · $199M to $120M
Oct 8, 2015 to Feb 3, 2016
Related broker-dealer · false to true
Oct 8, 2015 to Feb 3, 2016
Accounts · 69 to 25
Sep 21, 2015 to Oct 8, 2015
Advisory employees · 7 to 6
Sep 21, 2015 to Oct 8, 2015
Employees · 10 to 9
Sep 21, 2015 to Oct 8, 2015
State-registered IARs · 6 to 5
Sep 21, 2015 to Oct 8, 2015
Discretionary RAUM · $248M to $199M
Sep 21, 2015 to Oct 8, 2015
RAUM · $248M to $199M
Sep 21, 2015 to Oct 8, 2015
Advisory employees · 8 to 7
Feb 3, 2015 to Sep 21, 2015
Employees · 11 to 10
Feb 3, 2015 to Sep 21, 2015
State-registered IARs · 7 to 6
Feb 3, 2015 to Sep 21, 2015
Accounts · 95 to 69
Oct 9, 2014 to Feb 3, 2015
Advisory employees · 6 to 8
Oct 9, 2014 to Feb 3, 2015
Employees · 10 to 11
Oct 9, 2014 to Feb 3, 2015
State-registered IARs · 6 to 7
Oct 9, 2014 to Feb 3, 2015
Discretionary RAUM · $268M to $248M
Oct 9, 2014 to Feb 3, 2015
RAUM · $268M to $248M
Oct 9, 2014 to Feb 3, 2015
Accounts · 103 to 95
Aug 5, 2014 to Oct 9, 2014
Advisory employees · 7 to 6
Aug 5, 2014 to Oct 9, 2014
Employees · 11 to 10
Aug 5, 2014 to Oct 9, 2014
Discretionary RAUM · $394M to $268M
Aug 5, 2014 to Oct 9, 2014
RAUM · $394M to $268M
Aug 5, 2014 to Oct 9, 2014
Related adviser · false to true
Aug 5, 2014 to Oct 9, 2014
Advisory employees · 10 to 7
Feb 13, 2014 to Aug 5, 2014
Employees · 13 to 11
Feb 13, 2014 to Aug 5, 2014
State-registered IARs · 7 to 6
Feb 13, 2014 to Aug 5, 2014
Accounts · 34 to 103
Nov 6, 2013 to Feb 13, 2014
Assets in custody · $6.4M to $16.4M
Nov 6, 2013 to Feb 13, 2014
Insurance-licensed employees · 3 to 0
Nov 6, 2013 to Feb 13, 2014
Discretionary RAUM · $467M to $394M
Nov 6, 2013 to Feb 13, 2014
RAUM · $467M to $394M
Nov 6, 2013 to Feb 13, 2014
Related adviser · true to false
Nov 6, 2013 to Feb 13, 2014
Advisory employees · 11 to 10
Feb 22, 2013 to May 22, 2013
Employees · 14 to 13
Feb 22, 2013 to May 22, 2013
Accounts · 37 to 34
Nov 7, 2012 to Feb 22, 2013
Advisory employees · 12 to 11
Nov 7, 2012 to Feb 22, 2013
BD registered reps · 1 to 0
Nov 7, 2012 to Feb 22, 2013
Assets in custody · $4.9M to $6.4M
Nov 7, 2012 to Feb 22, 2013
Employees · 16 to 14
Nov 7, 2012 to Feb 22, 2013
State-registered IARs · 6 to 7
Nov 7, 2012 to Feb 22, 2013
Discretionary RAUM · $416M to $467M
Nov 7, 2012 to Feb 22, 2013
RAUM · $416M to $467M
Nov 7, 2012 to Feb 22, 2013
Related broker-dealer · true to false
Nov 7, 2012 to Feb 22, 2013
Advisory employees · unset to 12.0
Feb 22, 2012 to Nov 7, 2012

Signals

1 dated events

••• Locked
Mar 21, 2017 · Succession (Item 4) · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026