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SEC-registered adviser

S•••• W••••• M•••••••••

Independent wealth managerLongwood, FloridaCRD 108682SEC 801-134930websiteIAPD
Legal name S•• I••••••••• M••••••••• I•••
Latest filing Mar 30, 2026
First filing on the tape Jan 9, 2026 · 2 filings
SEC status approved since Jan 12, 2026
RAUM
$189M
reported, Item 5.F
Discretionary
3.8%
of RAUM
Private clients
97%
$183M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$37.7M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$189M as of Mar 30, 2026
Jan 9, 2026$169M then
HNW client RAUM$80.3M as of Mar 30, 2026
Jan 9, 2026$75.2M then
State-registered IARs (5.B.3)5 as of Mar 30, 2026
Jan 9, 20265 then
Employees (5.A)6 as of Mar 30, 2026
Jan 9, 20266 then
Private funds: no history
RAUM n/a over the last fiscal year
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
$37.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
131derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.5MderivedHNW RAUM over HNW clients
Average account
$161,860derivedRAUM over accounts (5.F.2.f)
Discretionary
3.8%derivedof RAUM
Institutional
2.8%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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$103M55%
  • High-net-worth individuals$80.3M43%
  • Pension and profit-sharing plans$5.2M2.8%
Individual clients
601reported
HNW clients
54reported
Pension plan clients
9reported
Charitable clients
n/areported
Accounts
1,165reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
L•• A•••••• S••••Longwood, FlFeb 15, 200024 y0
J••••• T••••• K•••••Longwood, FlJun 30, 201425 y0
N•••• L•• W•••Certified Financial PlannerLongwood, FlSep 26, 201910 y0
C••• E••••• V•••••••Certified Financial PlannerLongwood, FlFeb 23, 202318 y1
D••••• L•••••Longwood, FlMay 6, 202417 y0
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 headcount0 left over 36 months
Left, latest
none on the tape
    Joined, latest
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B•••••• P•••••••• J••• · Secretarycontrol
      since 03/2003 · owns less than 5%
    • S••••• L••• A•••••• · President, Chief Compliance Officercontrol
      since 03/2003 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Longwood, Fl · principal500
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 988 to 1,165
      Jan 9, 2026 to Mar 30, 2026
    • HNW clients · 51 to 54
      Jan 9, 2026 to Mar 30, 2026
    • Individual clients · 596 to 601
      Jan 9, 2026 to Mar 30, 2026
    • Pension plan clients · unset to 9.0
      Jan 9, 2026 to Mar 30, 2026
    • Discretionary RAUM · $169M to $7.1M
      Jan 9, 2026 to Mar 30, 2026
    • HNW RAUM · $75.2M to $80.3M
      Jan 9, 2026 to Mar 30, 2026
    • Individual RAUM · $93.7M to $103M
      Jan 9, 2026 to Mar 30, 2026
    • Non-discretionary RAUM · $229,528 to $181M
      Jan 9, 2026 to Mar 30, 2026
    • Pension RAUM · unset to 5237828.0
      Jan 9, 2026 to Mar 30, 2026
    • RAUM · $169M to $189M
      Jan 9, 2026 to Mar 30, 2026
    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
    Website
    STOCKDR.COMreportedpublic record, Form ADV, Sep 21, 2026
    Principal office phone
    407-831-8002reportedpublic record, Form ADV, Mar 30, 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
    $37.7Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026