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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Former SEC-registered adviser

S• W•••••

Former SEC-registered adviserSan Clemente, CaliforniaCRD 108126SEC 801-113278IAPD
Legal name R••••• P•••••• M••••••••• I••
Latest filing Mar 18, 2022
First filing on the tape Nov 21, 2011 · 25 filings
RAUM
$221M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$221M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$221M as of Mar 18, 2022
Feb 28, 2012$29.9M then
HNW client RAUM$190M as of Mar 18, 2022
Feb 5, 2019$41.6M then
State-registered IARs (5.B.3)2 as of Mar 18, 2022
Feb 5, 20192 then
Employees (5.A)4 as of Mar 18, 2022
Feb 5, 20194 then
Private funds: no history
RAUM +24% over the last fiscal year+19% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 18, 2022; every figure names its basis
RAUM per advisor
$111MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
91derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.5MderivedHNW RAUM over HNW clients
Average account
$464,301derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+24%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-15%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, publicationsreportedItem 5.G
Custody
$140M, 263 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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$190M86%
  • Individuals$31.0M14%
Individual clients
127reported
HNW clients
54reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
476reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$140M for 263 clientsreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • S•••••••• J•••• E•••••••• · Cco, Coo, Presidentcontrol
    since 07/2018 · 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.
What changed
consecutive filings, newest first
  • Accounts · 433 to 476
    Mar 4, 2021 to Mar 18, 2022
  • HNW clients · 76 to 54
    Mar 4, 2021 to Mar 18, 2022
  • Individual clients · 138 to 127
    Mar 4, 2021 to Mar 18, 2022
  • Assets in custody · $134M to $140M
    Mar 4, 2021 to Mar 18, 2022
  • Employees · 3 to 4
    Mar 4, 2021 to Mar 18, 2022
  • Discretionary RAUM · $178M to $221M
    Mar 4, 2021 to Mar 18, 2022
  • HNW RAUM · $147M to $190M
    Mar 4, 2021 to Mar 18, 2022
  • Individual RAUM · $31.0M to $31.0M
    Mar 4, 2021 to Mar 18, 2022
  • RAUM · $178M to $221M
    Mar 4, 2021 to Mar 18, 2022
  • Accounts · 406 to 433
    Jun 25, 2020 to Mar 4, 2021
  • HNW clients · 54 to 76
    Jun 25, 2020 to Mar 4, 2021
  • Individual clients · 349 to 138
    Jun 25, 2020 to Mar 4, 2021
  • Assets in custody · $122M to $134M
    Jun 25, 2020 to Mar 4, 2021
  • Discretionary RAUM · $153M to $178M
    Jun 25, 2020 to Mar 4, 2021
  • HNW RAUM · $109M to $147M
    Jun 25, 2020 to Mar 4, 2021
  • Individual RAUM · $41.4M to $31.0M
    Jun 25, 2020 to Mar 4, 2021
  • Pension RAUM · 3130415.0 to unset
    Jun 25, 2020 to Mar 4, 2021
  • RAUM · $153M to $178M
    Jun 25, 2020 to Mar 4, 2021
  • Accounts · 412 to 406
    Apr 3, 2019 to Feb 14, 2020
  • Advisory activities · 2 to 3
    Apr 3, 2019 to Feb 14, 2020
  • HNW clients · 21 to 54
    Apr 3, 2019 to Feb 14, 2020
  • Individual clients · 391 to 349
    Apr 3, 2019 to Feb 14, 2020
  • Assets in custody · $83.9M to $122M
    Apr 3, 2019 to Feb 14, 2020
  • Employees · 4 to 3
    Apr 3, 2019 to Feb 14, 2020
  • Financial planning clients · unset to 0
    Apr 3, 2019 to Feb 14, 2020
  • Discretionary RAUM · $131M to $153M
    Apr 3, 2019 to Feb 14, 2020
  • HNW RAUM · $41.6M to $109M
    Apr 3, 2019 to Feb 14, 2020
  • Individual RAUM · $88.9M to $41.4M
    Apr 3, 2019 to Feb 14, 2020
  • Pension RAUM · unset to 3130415.0
    Apr 3, 2019 to Feb 14, 2020
  • RAUM · $131M to $153M
    Apr 3, 2019 to Feb 14, 2020
  • Business name · R••••• P•••••• M••••••••• I•• to S• W•••••
    Feb 5, 2019 to Apr 3, 2019
  • Accounts · 201 to 412
    Jul 31, 2018 to Feb 5, 2019
  • HNW clients · 47 to 21
    Jul 31, 2018 to Feb 5, 2019
  • Individual clients · 154 to 391
    Jul 31, 2018 to Feb 5, 2019
  • Assets in custody · unset to 83890074.0
    Jul 31, 2018 to Feb 5, 2019
  • Custody of client assets · false to true
    Jul 31, 2018 to Feb 5, 2019
  • Employees · 6 to 4
    Jul 31, 2018 to Feb 5, 2019
  • Insurance-licensed employees · 0 to 1
    Jul 31, 2018 to Feb 5, 2019
  • HQ city · MISSION VIEJO to SAN CLEMENTE
    Jul 31, 2018 to Feb 5, 2019
  • Other offices · 1 to 0
    Jul 31, 2018 to Feb 5, 2019
Signals
4 dated events
  • L•••••• E••• M••••• left S• W••••• for I••••• P••••••• L•• (registered 2022-11-21)
    Nov 28, 2022 · a•••••• firm change · fact
  • J••• E•••••••• S••••••• left S• W••••• for I••••• P••••••• L•• (registered 2019-01-28)
    Nov 28, 2022 · a•••••• firm change · fact
  • 2 advisors left S• W••••• (San Clemente, CA) for I••••• P••••••• L•• on the same day
    Nov 28, 2022 · Team lift-out · derived
  • R••••• P•••••• M••••••••• I•• filed its initial SEC registration (Form ADV)
    Apr 23, 2018 · First SEC registration · 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