DFX Intelligence
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Latest filing Mar 27, 2026
First filing on the tape Mar 22, 2012 · 16 filings
SEC status approved since Apr 18, 1991
RAUM
$153M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$153M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$153M as of Mar 27, 2026
Mar 22, 2012$93.0M then
HNW client RAUM$153M as of Mar 27, 2026
Feb 5, 2018$97.9M then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 22, 20120 then
Employees (5.A)1 as of Mar 27, 2026
Mar 26, 20131 then
Private funds: no history
RAUM +7.1% over the last fiscal year+9.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- 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
- $10.2MderivedHNW RAUM over HNW clients
- Average account
- $10.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%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
- +7.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.3%derived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 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)
- 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$153M100%
- Individual clients
- 0reported
- HNW clients
- 15reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 15reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 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
- W•••••••• S••••• · President, Ceo And Chief Compliance Officercontrolsince 06/1997 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 27, 2026discretionary share of RAUM of 0% against a peer median of 100% (5679 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,679) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 16 to 15Mar 20, 2025 to Mar 27, 2026
- HNW clients · 16 to 15Mar 20, 2025 to Mar 27, 2026
- HNW RAUM · $143M to $153MMar 20, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $143M to $153MMar 20, 2025 to Mar 27, 2026
- RAUM · $143M to $153MMar 20, 2025 to Mar 27, 2026
- Financial planning clients · 11-25 to 11-25Mar 16, 2024 to Mar 20, 2025
- HQ city · unset to Mar 16, 2024 to Mar 20, 2025
- HQ state · unset to Mar 16, 2024 to Mar 20, 2025
- HNW RAUM · $131M to $143MMar 16, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $131M to $143MMar 16, 2024 to Mar 20, 2025
- RAUM · $131M to $143MMar 16, 2024 to Mar 20, 2025
- Accounts · 17 to 16Mar 24, 2023 to Mar 16, 2024
- HNW clients · 17 to 16Mar 24, 2023 to Mar 16, 2024
- HNW RAUM · $116M to $131MMar 24, 2023 to Mar 16, 2024
- Non-discretionary RAUM · $116M to $131MMar 24, 2023 to Mar 16, 2024
- RAUM · $116M to $131MMar 24, 2023 to Mar 16, 2024
- Accounts · 16 to 17Feb 23, 2022 to Mar 24, 2023
- HNW clients · 16 to 17Feb 23, 2022 to Mar 24, 2023
- HNW RAUM · $115M to $116MFeb 23, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $115M to $116MFeb 23, 2022 to Mar 24, 2023
- RAUM · $115M to $116MFeb 23, 2022 to Mar 24, 2023
- Accounts · 17 to 16Feb 25, 2021 to Feb 23, 2022
- HNW clients · 17 to 16Feb 25, 2021 to Feb 23, 2022
- HNW RAUM · $121M to $115MFeb 25, 2021 to Feb 23, 2022
- Non-discretionary RAUM · $121M to $115MFeb 25, 2021 to Feb 23, 2022
- RAUM · $121M to $115MFeb 25, 2021 to Feb 23, 2022
- HNW RAUM · $103M to $121MJun 29, 2020 to Feb 25, 2021
- Non-discretionary RAUM · $103M to $121MJun 29, 2020 to Feb 25, 2021
- RAUM · $103M to $121MJun 29, 2020 to Feb 25, 2021
- Accounts · 18 to 17Feb 15, 2019 to Mar 4, 2020
- HNW clients · 18 to 17Feb 15, 2019 to Mar 4, 2020
- HNW RAUM · $95.0M to $103MFeb 15, 2019 to Mar 4, 2020
- Non-discretionary RAUM · $95.0M to $103MFeb 15, 2019 to Mar 4, 2020
- RAUM · $95.0M to $103MFeb 15, 2019 to Mar 4, 2020
- HNW RAUM · $97.9M to $95.0MFeb 5, 2018 to Feb 15, 2019
- Non-discretionary RAUM · $97.9M to $95.0MFeb 5, 2018 to Feb 15, 2019
- RAUM · $97.9M to $95.0MFeb 5, 2018 to Feb 15, 2019
- Accounts · 17 to 18Mar 17, 2017 to Feb 5, 2018
- Charity clients · unset to 0.0Mar 17, 2017 to Feb 5, 2018
- Corporate clients · unset to 0.0Mar 17, 2017 to Feb 5, 2018
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
- Principal office phone
- 415-460-6416reportedpublic record, Form ADV, Mar 27, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026