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••••• S•••• W••••• M•••••••••
Latest filing Mar 30, 2026
First filing on the tape Mar 23, 2012 · 18 filings
SEC status approved since Feb 12, 1988
RAUM
$1.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$1.2B individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$137M
derived; firm RAUM over IAPD count
Employees
15
11 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$1.4B as of Mar 30, 2026
Mar 23, 2012$521M then
HNW client RAUM$1.2B as of Mar 30, 2026
Mar 27, 2018$659M then
State-registered IARs (5.B.3)11 as of Mar 30, 2026
Mar 28, 20130 then
Employees (5.A)15 as of Mar 30, 2026
Mar 28, 201313 then
Private funds: no history
RAUM +9.7% over the last fiscal year+12% a year over threeIARs 12 to 11offices 1 to 2
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $137MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.7MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 3.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- -8.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $315M, 137 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.2B86%
- Individuals$73.0M5.4%
- Corporations and businesses$69.7M5.1%
- Pension and profit-sharing plans$22.3M1.6%
- Charitable organizations$17.9M1.3%
- Other investment advisers$11.1M0.8%
- Individual clients
- 208reported
- HNW clients
- 174reported
- Pension plan clients
- 5reported
- Charitable clients
- 5reported
- Accounts
- 1,070reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $315M for 137 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.91 fund_share=0.01 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••• T••••• A••••••Chartered Financial Analyst | W••••••-Salem, Nc | Feb 2, 2005 | 27 y | 0 |
| T••••• E••••• C••••• | W••••••-Salem, Nc | Feb 28, 2005 | 32 y | 0 |
| J••• R•••••• S•••••Certified Financial Planner | W••••••-Salem, Nc | Mar 7, 2005 | 43 y | 0 |
| J•••••• M•••••• C••••••••• | W••••••-Salem, Nc | Mar 22, 2005 | 24 y | 0 |
| P•• M••• R•• O• | W•••••• Salem, Nc | Nov 25, 2013 | 28 y | 0 |
| T•••• R••• S•••••Certified Financial Planner | Atlanta, Ga | Mar 10, 2014 | 19 y | 2 |
| M••• C••••••• S••••••• | W•••••• Salem, Nc | Dec 13, 2017 | 13 y | 2 |
| R••••• E•••••• P•••Chartered Financial Analyst | W•••••• Salem, Nc | Mar 5, 2020 | 27 y | 2 |
| G••••••• W•••••• D••• | W•••••• Salem, Nc | Jan 10, 2024 | 15 y | 1 |
| N•••• K••••••••• S••••••••• | W•••••• Salem, Nc | Jul 4, 2024 | 31 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- L•••• C•••••• R••••••• to M•••••••• A•••••••May 1, 2025 · RIA to RIA
- Z•••• C•••••• B••••• to S••••• S•••• I••••••••• M••••••••• L••Mar 4, 2020 · Other
- G•••••• C•••••• B••••• to S••••• S•••• I••••••••• M••••••••• L••Mar 4, 2020 · Other
Joined, latest
- N•••• K••••••••• S••••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 4, 2024 · Wirehouse to independent RIA
- G••••••• W•••••• D••• from D••• A•••• A•••••••• L••Jan 10, 2024 · RIA to RIA
- R••••• E•••••• P••• from S•••••••• A•••••••• I•••Mar 5, 2020 · Other
- M••• C••••••• S••••••• from J•• I••••••••• P•••••••• L••Dec 13, 2017 · Other
- T•••• R••• S••••• from E•••••• C•••••• M••••••••• L••Mar 10, 2014 · Other
- Z•••• C•••••• B••••• from A••••••• C•••••• M••••••••• L••Jan 27, 2005 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for S••••• S•••• I••••••••• M••••••••• L••Mar 4, 2020 · W••••••Salem, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• P•••• T••••• · Presidentcontrolsince 01/2018 · owns less than 5%
- G••••••• D••••• B••••• · Executive Vice Presidentcontrolsince 06/1995 · owns less than 5%
- H•••••• A••••••• H••••• · Chief Compliance Officercontrolsince 01/2018 · owns less than 5%
- S•••••• J•••• R•••••• · Chairmancontrolsince 09/1982 · owns 25% to 50%
- S•••••• S••••••• T••• · Minority Ownercontrolsince 12/2015 · owns 25% to 50%
- S•••••• T••••• R••• · Wealth Managercontrolsince 05/2013 · owns 25% to 50%
Related persons
Schedule D 7.A
- S••••• S•••• I••••••••• M••••••••• L••investment adviseryRAUM $130M
Advisers that list S••••• S•••• W••••• M••••••••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| W•••••• Salem, Nc · principal | 6 | 0 | 0 | ||
| W••••••Salem, Nc | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Atlanta, GA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 30, 2026G••••••• D••••• B••••• (EXECUTIVE VICE PRESIDENT) left Schedule A between the filings of 2018-03-27 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,039 to 1,070Mar 3, 2025 to Mar 30, 2026
- Advisory employees · 12 to 11Mar 3, 2025 to Mar 30, 2026
- Charity clients · 6 to 5Mar 3, 2025 to Mar 30, 2026
- Corporate clients · 12 to 15Mar 3, 2025 to Mar 30, 2026
- HNW clients · 161 to 174Mar 3, 2025 to Mar 30, 2026
- Individual clients · 212 to 208Mar 3, 2025 to Mar 30, 2026
- Assets in custody · $161M to $315MMar 3, 2025 to Mar 30, 2026
- Employees · 17 to 15Mar 3, 2025 to Mar 30, 2026
- State-registered IARs · 12 to 11Mar 3, 2025 to Mar 30, 2026
- Other offices · 1 to 2Mar 3, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.2B to $1.4BMar 3, 2025 to Mar 30, 2026
- HNW RAUM · $1.1B to $1.2BMar 3, 2025 to Mar 30, 2026
- Individual RAUM · $79.6M to $73.0MMar 3, 2025 to Mar 30, 2026
- Pension RAUM · $18.7M to $22.3MMar 3, 2025 to Mar 30, 2026
- RAUM · $1.2B to $1.4BMar 3, 2025 to Mar 30, 2026
- Accounts · 945 to 1,039Feb 28, 2024 to Mar 3, 2025
- Advisory employees · 10 to 12Feb 28, 2024 to Mar 3, 2025
- Charity clients · 5 to 6Feb 28, 2024 to Mar 3, 2025
- Corporate clients · 10 to 12Feb 28, 2024 to Mar 3, 2025
- HNW clients · 128 to 161Feb 28, 2024 to Mar 3, 2025
- Individual clients · 197 to 212Feb 28, 2024 to Mar 3, 2025
- Pension plan clients · 4 to 5Feb 28, 2024 to Mar 3, 2025
- Assets in custody · $142M to $161MFeb 28, 2024 to Mar 3, 2025
- Employees · 15 to 17Feb 28, 2024 to Mar 3, 2025
- Financial planning clients · 11-25 to 11-25Feb 28, 2024 to Mar 3, 2025
- State-registered IARs · 9 to 12Feb 28, 2024 to Mar 3, 2025
- Discretionary RAUM · $1.1B to $1.2BFeb 28, 2024 to Mar 3, 2025
- HNW RAUM · $904M to $1.1BFeb 28, 2024 to Mar 3, 2025
- Individual RAUM · $70.5M to $79.6MFeb 28, 2024 to Mar 3, 2025
- Pension RAUM · $16.3M to $18.7MFeb 28, 2024 to Mar 3, 2025
- RAUM · $1.1B to $1.2BFeb 28, 2024 to Mar 3, 2025
- Accounts · 901 to 945Mar 14, 2023 to Feb 28, 2024
- Corporate clients · 8 to 10Mar 14, 2023 to Feb 28, 2024
- HNW clients · 111 to 128Mar 14, 2023 to Feb 28, 2024
- Individual clients · 200 to 197Mar 14, 2023 to Feb 28, 2024
- Pension plan clients · 3 to 4Mar 14, 2023 to Feb 28, 2024
- Assets in custody · $140M to $142MMar 14, 2023 to Feb 28, 2024
- Employees · 14 to 15Mar 14, 2023 to Feb 28, 2024
- Discretionary RAUM · $965M to $1.1BMar 14, 2023 to Feb 28, 2024
- HNW RAUM · $823M to $904MMar 14, 2023 to Feb 28, 2024
Signals
3 dated events
- L•••• C•••••• R••••••• left S••••• S•••• W••••• M••••••••• for M•••••••• A••••••• (registered 2025-05-07)May 1, 2025 · Advisor changed firm · fact
- S••••• S•••• W••••• M••••••••• reported RAUM $998.6M, up 29% from $773.9M (2020-06-23 to 2021-03-12)Mar 12, 2021 · RAUM change · derived
- S••••• S•••• W••••• M••••••••• reported 10 state-registered advisory representatives, up from 0 (2017-03-21 to 2018-03-27)Mar 27, 2018 · Advisor headcount change · derived
Across DFX
shared identifiers only, never a name match
- S••••• S•••• W••••• M••••••••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business email
- info@sheetssmith.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 336-765-2020reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/S•••••-S••••-WEALTH-MANAGEMreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 336-765-2020reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- sheetssmith.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- sheetssmith.com/our-firm/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $137Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026