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.

Former SEC-registered adviser

Strategic Wealth Management Inc

Former SEC-registered adviserKirkland, WashingtonCRD 107180SEC 801-34623IAPD
Latest filing Aug 24, 2021
First filing on the tape Mar 22, 2012 · 23 filings
RAUM
$623M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
2.1%
$13.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$623M as of Mar 23, 2021
Mar 22, 2012$448M then
HNW client RAUM$12.1M as of Mar 23, 2021
Mar 9, 2018$7.9M then
State-registered IARs (5.B.3)0 as of Mar 23, 2021
Mar 22, 20120 then
Employees (5.A)6 as of Mar 23, 2021
Mar 27, 20139 then
Private funds: no history
RAUM +18% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 24, 2021; 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
$1.7MderivedHNW RAUM over HNW clients
Average account
$8.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
86%derivedof RAUM
Institutional
1.5%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
+18%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-33%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminars, 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$12.1M53%
  • Pension and profit-sharing plans$9.6M42%
  • Individuals$1.1M5.0%
Individual clients
3reported
HNW clients
7reported
Pension plan clients
1reported
Charitable clients
n/areported
Accounts
77reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Michael James Sizemore · Cfocontrol
      since 12/1993 · owns 25% to 50%
    • Lee Patrick Sizemore · Ceo, President And Chief Compliance Officercontrol
      since 09/1988 · owns 50% to 75%
    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 · 82 to 77
      Jan 4, 2021 to Mar 23, 2021
    • Advisory employees · 6 to 3
      Jan 4, 2021 to Mar 23, 2021
    • HNW clients · 5 to 7
      Jan 4, 2021 to Mar 23, 2021
    • Individual clients · 10 to 3
      Jan 4, 2021 to Mar 23, 2021
    • Pension plan clients · unset to 1.0
      Jan 4, 2021 to Mar 23, 2021
    • Employees · 8 to 6
      Jan 4, 2021 to Mar 23, 2021
    • Discretionary RAUM · $465M to $536M
      Jan 4, 2021 to Mar 23, 2021
    • HNW RAUM · $9.5M to $12.1M
      Jan 4, 2021 to Mar 23, 2021
    • Individual RAUM · $2.6M to $1.1M
      Jan 4, 2021 to Mar 23, 2021
    • Non-discretionary RAUM · $63.6M to $87.2M
      Jan 4, 2021 to Mar 23, 2021
    • Pension RAUM · $7.7M to $9.6M
      Jan 4, 2021 to Mar 23, 2021
    • RAUM · $528M to $623M
      Jan 4, 2021 to Mar 23, 2021
    • Related adviser · true to false
      Jan 4, 2021 to Mar 23, 2021
    • Accounts · 94 to 82
      Mar 28, 2019 to Apr 1, 2020
    • Discretionary RAUM · $418M to $465M
      Mar 28, 2019 to Apr 1, 2020
    • HNW RAUM · $8.6M to $9.5M
      Mar 28, 2019 to Apr 1, 2020
    • Individual RAUM · $2.3M to $2.6M
      Mar 28, 2019 to Apr 1, 2020
    • Non-discretionary RAUM · $24.7M to $63.6M
      Mar 28, 2019 to Apr 1, 2020
    • Pension RAUM · $6.0M to $7.7M
      Mar 28, 2019 to Apr 1, 2020
    • RAUM · $443M to $528M
      Mar 28, 2019 to Apr 1, 2020
    • Accounts · 91 to 94
      Sep 26, 2018 to Mar 28, 2019
    • Corporate clients · 6.0 to unset
      Sep 26, 2018 to Mar 28, 2019
    • HNW clients · 12 to 5
      Sep 26, 2018 to Mar 28, 2019
    • Individual clients · 21 to 10
      Sep 26, 2018 to Mar 28, 2019
    • Employees · 7 to 8
      Sep 26, 2018 to Mar 28, 2019
    • Discretionary RAUM · $415M to $418M
      Sep 26, 2018 to Mar 28, 2019
    • HNW RAUM · $7.9M to $8.6M
      Sep 26, 2018 to Mar 28, 2019
    • Individual RAUM · $2.6M to $2.3M
      Sep 26, 2018 to Mar 28, 2019
    • Non-discretionary RAUM · $9.6M to $24.7M
      Sep 26, 2018 to Mar 28, 2019
    • Pension RAUM · $5.3M to $6.0M
      Sep 26, 2018 to Mar 28, 2019
    • RAUM · $425M to $443M
      Sep 26, 2018 to Mar 28, 2019
    • Advisory activities · 8 to 7
      Mar 17, 2017 to Mar 9, 2018
    • Corporate clients · unset to 6.0
      Mar 17, 2017 to Mar 9, 2018
    • HNW clients · unset to 12.0
      Mar 17, 2017 to Mar 9, 2018
    • Individual clients · unset to 21.0
      Mar 17, 2017 to Mar 9, 2018
    • Other offices · unset to 0.0
      Mar 17, 2017 to Mar 9, 2018
    • Discretionary RAUM · $378M to $415M
      Mar 17, 2017 to Mar 9, 2018
    • HNW RAUM · unset to 7944348.0
      Mar 17, 2017 to Mar 9, 2018
    • Individual RAUM · unset to 2561547.0
      Mar 17, 2017 to Mar 9, 2018
    • Non-discretionary RAUM · $4.4M to $9.6M
      Mar 17, 2017 to Mar 9, 2018
    Signals
    1 dated events
    • James Michael Sizemore left Strategic Wealth Management Inc for Ulrich Investment Consultants (registered 2025-01-01)
      Mar 31, 2022 · Advisor changed firm · 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
    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