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••••• M••••••••• I•••

Former SEC-registered adviserMclean, VirginiaCRD 109805SEC 801-106941IAPD
Legal name S••••••• W••••• M••••••••• I••
Latest filing Jun 30, 2020
First filing on the tape Mar 29, 2012 · 16 filings
RAUM
$36.7M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$36.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$36.7M as of Mar 16, 2020
Mar 29, 2012$30.8M then
HNW client RAUM$34.9M as of Mar 16, 2020
Mar 22, 2018$31.8M then
State-registered IARs (5.B.3)0 as of Mar 16, 2020
Mar 28, 20162 then
Employees (5.A)2 as of Mar 16, 2020
Mar 28, 20162 then
Private funds: no history
RAUM +15% over the last fiscal year+2.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 30, 2020; 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
$2.1MderivedHNW RAUM over HNW clients
Average account
$781,133derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-12%derived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program
$71.6MreportedItem 5.I
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
  • is an insurance broker or agent (6.A.6)
  • 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
  • High-net-worth individuals$34.9M95%
  • Individuals$1.8M5.0%
Individual clients
6reported
HNW clients
17reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
47reported
Financial planning clients
1-10reported
Wrap fee programs
$35.8M sponsored, $35.8M managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
    • L•••••• J•••• E••••• · Chief Executive Officer, Directorcontrol
      since 10/1999 · owns 50% to 75%
    • S•••••••• J•••• E•••••• · President, Secretary, Director, Chief Compliance Officercontrol
      since 10/1999 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 56 to 47
      Mar 19, 2019 to Mar 16, 2020
    • HNW clients · 15 to 17
      Mar 19, 2019 to Mar 16, 2020
    • Individual clients · 11 to 6
      Mar 19, 2019 to Mar 16, 2020
    • Discretionary RAUM · $31.0M to $36.2M
      Mar 19, 2019 to Mar 16, 2020
    • HNW RAUM · $28.2M to $34.9M
      Mar 19, 2019 to Mar 16, 2020
    • Individual RAUM · $3.8M to $1.8M
      Mar 19, 2019 to Mar 16, 2020
    • Non-discretionary RAUM · $1.0M to $520,383
      Mar 19, 2019 to Mar 16, 2020
    • RAUM · $32.0M to $36.7M
      Mar 19, 2019 to Mar 16, 2020
    • Wrap assets (manager) · $31.0M to $35.8M
      Mar 19, 2019 to Mar 16, 2020
    • Wrap assets (sponsor) · $31.0M to $35.8M
      Mar 19, 2019 to Mar 16, 2020
    • Accounts · 70 to 56
      Jul 5, 2018 to Mar 19, 2019
    • HNW clients · 16 to 15
      Jul 5, 2018 to Mar 19, 2019
    • Individual clients · 13 to 11
      Jul 5, 2018 to Mar 19, 2019
    • Discretionary RAUM · $35.2M to $31.0M
      Jul 5, 2018 to Mar 19, 2019
    • HNW RAUM · $31.8M to $28.2M
      Jul 5, 2018 to Mar 19, 2019
    • Individual RAUM · $4.6M to $3.8M
      Jul 5, 2018 to Mar 19, 2019
    • Non-discretionary RAUM · $1.3M to $1.0M
      Jul 5, 2018 to Mar 19, 2019
    • RAUM · $36.4M to $32.0M
      Jul 5, 2018 to Mar 19, 2019
    • Wrap assets (manager) · $35.2M to $31.0M
      Jul 5, 2018 to Mar 19, 2019
    • Wrap assets (sponsor) · $35.2M to $31.0M
      Jul 5, 2018 to Mar 19, 2019
    • BD registered reps · 1 to 0
      Mar 22, 2018 to Jul 5, 2018
    • Wrap assets (manager) · unset to 35161895.0
      Mar 22, 2018 to Jul 5, 2018
    • Wrap assets (sponsor) · unset to 35161895.0
      Mar 22, 2018 to Jul 5, 2018
    • Accounts · 74 to 70
      Mar 24, 2017 to Mar 22, 2018
    • HNW clients · unset to 16.0
      Mar 24, 2017 to Mar 22, 2018
    • Individual clients · unset to 13.0
      Mar 24, 2017 to Mar 22, 2018
    • Other offices · unset to 1.0
      Mar 24, 2017 to Mar 22, 2018
    • Discretionary RAUM · $33.5M to $35.2M
      Mar 24, 2017 to Mar 22, 2018
    • HNW RAUM · unset to 31813664.0
      Mar 24, 2017 to Mar 22, 2018
    • Individual RAUM · unset to 4600369.0
      Mar 24, 2017 to Mar 22, 2018
    • Non-discretionary RAUM · $1.2M to $1.3M
      Mar 24, 2017 to Mar 22, 2018
    • RAUM · $34.6M to $36.4M
      Mar 24, 2017 to Mar 22, 2018
    • Accounts · 77 to 74
      Mar 28, 2016 to Mar 24, 2017
    • State-registered IARs · 2 to 0
      Mar 28, 2016 to Mar 24, 2017
    • Discretionary RAUM · $33.8M to $33.5M
      Mar 28, 2016 to Mar 24, 2017
    • Non-discretionary RAUM · $1.1M to $1.2M
      Mar 28, 2016 to Mar 24, 2017
    • RAUM · $34.9M to $34.6M
      Mar 28, 2016 to Mar 24, 2017
    • Discretionary RAUM · $34.1M to $33.8M
      Nov 12, 2015 to Mar 28, 2016
    • Non-discretionary RAUM · $1.2M to $1.1M
      Nov 12, 2015 to Mar 28, 2016
    • RAUM · $35.3M to $34.9M
      Nov 12, 2015 to Mar 28, 2016
    Signals
    1 dated events
    • S••••••• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)
      Nov 12, 2015 · 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