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•••••••••

Former SEC-registered adviserFulton, MarylandCRD 113678SEC 801-61179IAPD
Legal name S•••••••• W••••• M••••••••• G••••• L••
Latest filing Jan 19, 2021
First filing on the tape Mar 5, 2012 · 34 filings
RAUM
$1.8B
reported, Item 5.F
Discretionary
78%
of RAUM
Private clients
82%
$1.5B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
22
15 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$1.8B as of Jan 19, 2021
Mar 5, 2012$670M then
HNW client RAUM$1.1B as of Jan 19, 2021
Mar 20, 2018$438M then
State-registered IARs (5.B.3)13 as of Jan 19, 2021
Jan 16, 201311 then
Employees (5.A)22 as of Jan 19, 2021
Jan 16, 201319 then
Private funds: no history
RAUM +20% over the last fiscal year+13% a year over threeIARs 12 to 13
Practice profile
derived from the filing of Jan 19, 2021; every figure names its basis
RAUM per advisor
$136MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
87derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.7MderivedHNW RAUM over HNW clients
Average account
$478,937derivedRAUM over accounts (5.F.2.f)
Discretionary
78%derivedof RAUM
Institutional
18%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
4.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+20%derivedbetween the last two annual amendments
Advisor growth, one year
+8.3%derivedItem 5.B.3 between annual amendments
Client growth, one year
+5.3%derived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Financial planning clients
1,000reportedItem 5.H
Custody
$255M, 109 clientsreportedItem 9.A
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.1B65%
  • Pension and profit-sharing plans$316M18%
  • Individuals$309M17%
  • Corporations and businesses$2.7M0.2%
Individual clients
705reported
HNW clients
428reported
Pension plan clients
70reported
Charitable clients
n/areported
Accounts
3,700reported
Financial planning clients
1,000reported
Wrap fee programs
noreported
Custody of client assets
$255M for 109 clientsreported
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
Left, latest
Joined, latest
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
    • D••••••• J••••• E•••• · Chief S•••••••• Growth Officercontrol
      since 11/2020 · owns less than 5%
    • D•• P•••••• M••••••• J• · Chief Compliance Officercontrol
      since 11/2020 · owns less than 5%
    • L•••••• M••••••• A•••••• · Chief Executive Officercontrol
      since 11/2020 · owns less than 5%
    • M•••••••• M••••••• J••••• · Chief Investment Officercontrol
      since 11/2020 · owns less than 5%
    • P•••••• B••••• D•••• · Chief Financial Officercontrol
      since 11/2020 · owns less than 5%
    • S•••••• E•••• M•••••• · President & Chief Operations Officercontrol
      since 11/2020 · owns less than 5%
    • S•••••• H•••••• V••••• · Chairman & Sr. Managing Directorcontrol
      since 11/2020 · owns less than 5%
    • S•••••••• H•••• R••••• · Chief Legal Officercontrol
      since 11/2020 · owns less than 5%
    Entity owners
    • W••••••••• A••••••• · Owner
      direct · owns 75% or more
    • M•••••• D••••••• C•••••• P••••••• V•••• L••• · Owner
      indirect · owns 25% to 50% of N•• H•••••••• L••
    • M•••••• D••••••• P••••••• · General Partner
      indirect · owns F of M•••••• D••••••• P••••••• V•••••• L•••
    • M•••••• D••••••• P••••••• V•••••• L••• · General Partner
      indirect · owns F of M•••••• D••••••• C•••••• P••••••• V•••• L•••
    • N•• C•••• · Shareholder
      indirect · owns 75% or more of W••••••••• A•••••••
    • N•• H•••••••• L•• · Owner
      indirect · owns 75% or more of N•• P••••• C•• L••
    • N•• I••••••••• H••••••• A• C•••• · Owner
      indirect · owns 75% or more of N•• I••••••••• H••••••• B• C••••
    • N•• I••••••••• H••••••• B• C•••• · Owner
      indirect · owns 75% or more of N•• C••••
    • N•• P••••• C•• L•• · Owner
      indirect · owns 75% or more of N•• I••••••••• H••••••• A• C••••
    • N•• U••••••• H•••••••• L•• · Owner
      indirect · owns 75% or more of N•• H•••••••• L••
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Annapolis, MD5 employees
    • Salisbury, MD2 employees
    What changed
    consecutive filings, newest first
    • Accounts · 3,492 to 3,700
      Nov 18, 2020 to Jan 19, 2021
    • Advisory employees · 17 to 15
      Nov 18, 2020 to Jan 19, 2021
    • Corporate clients · 6 to 5
      Nov 18, 2020 to Jan 19, 2021
    • HNW clients · 372 to 428
      Nov 18, 2020 to Jan 19, 2021
    • Individual clients · 704 to 705
      Nov 18, 2020 to Jan 19, 2021
    • Pension plan clients · 74 to 70
      Nov 18, 2020 to Jan 19, 2021
    • Assets in custody · $66.2M to $255M
      Nov 18, 2020 to Jan 19, 2021
    • Employees · 28 to 22
      Nov 18, 2020 to Jan 19, 2021
    • State-registered IARs · 12 to 13
      Nov 18, 2020 to Jan 19, 2021
    • Discretionary RAUM · $1.1B to $1.4B
      Nov 18, 2020 to Jan 19, 2021
    • HNW RAUM · $867M to $1.1B
      Nov 18, 2020 to Jan 19, 2021
    • Individual RAUM · $304M to $309M
      Nov 18, 2020 to Jan 19, 2021
    • Non-discretionary RAUM · $362M to $381M
      Nov 18, 2020 to Jan 19, 2021
    • Pension RAUM · $299M to $316M
      Nov 18, 2020 to Jan 19, 2021
    • RAUM · $1.5B to $1.8B
      Nov 18, 2020 to Jan 19, 2021
    • Related adviser · false to true
      Jun 24, 2020 to Nov 18, 2020
    • Accounts · 3,178 to 3,492
      Nov 20, 2019 to Mar 3, 2020
    • Advisory employees · 15 to 17
      Nov 20, 2019 to Mar 3, 2020
    • HNW clients · 351 to 372
      Nov 20, 2019 to Mar 3, 2020
    • Individual clients · 652 to 704
      Nov 20, 2019 to Mar 3, 2020
    • Pension plan clients · 72 to 74
      Nov 20, 2019 to Mar 3, 2020
    • Assets in custody · $38.0M to $66.2M
      Nov 20, 2019 to Mar 3, 2020
    • Employees · 25 to 28
      Nov 20, 2019 to Mar 3, 2020
    • Discretionary RAUM · $915M to $1.1B
      Nov 20, 2019 to Mar 3, 2020
    • HNW RAUM · $713M to $867M
      Nov 20, 2019 to Mar 3, 2020
    • Individual RAUM · $240M to $304M
      Nov 20, 2019 to Mar 3, 2020
    • Non-discretionary RAUM · $312M to $362M
      Nov 20, 2019 to Mar 3, 2020
    • Pension RAUM · $273M to $299M
      Nov 20, 2019 to Mar 3, 2020
    • RAUM · $1.2B to $1.5B
      Nov 20, 2019 to Mar 3, 2020
    • Accounts · 2,938 to 3,178
      Dec 27, 2018 to Mar 8, 2019
    • Advisory employees · 12 to 15
      Dec 27, 2018 to Mar 8, 2019
    • Corporate clients · 22 to 6
      Dec 27, 2018 to Mar 8, 2019
    • HNW clients · 307 to 351
      Dec 27, 2018 to Mar 8, 2019
    • Individual clients · 335 to 652
      Dec 27, 2018 to Mar 8, 2019
    • Pension plan clients · 188 to 72
      Dec 27, 2018 to Mar 8, 2019
    • Assets in custody · $975M to $38.0M
      Dec 27, 2018 to Mar 8, 2019
    • Employees · 23 to 25
      Dec 27, 2018 to Mar 8, 2019
    • State-registered IARs · 8 to 12
      Dec 27, 2018 to Mar 8, 2019
    • Other offices · 1 to 2
      Dec 27, 2018 to Mar 8, 2019
    • Discretionary RAUM · $924M to $915M
      Dec 27, 2018 to Mar 8, 2019
    Signals
    15 dated events
    • Joseph Michael Moriarty (Chief Investment Officer) appeared on Schedule A of Stratwealth
      Jan 19, 2021 · Control person joined · fact
    • D•••• Brian Powers (Chief Financial Officer) appeared on Schedule A of Stratwealth
      Nov 18, 2020 · Control person joined · fact
    • Ronald Hoyt Stastney (Chief Legal Officer) appeared on Schedule A of Stratwealth
      Nov 18, 2020 · Control person joined · fact
    • Anthony Michael Lamena (Chief Executive Officer) appeared on Schedule A of Stratwealth
      Nov 18, 2020 · Control person joined · fact
    • Matthew Eric Sontag (President & Chief Operations Officer) appeared on Schedule A of Stratwealth
      Nov 18, 2020 · Control person joined · fact
    • Vaughn Howard Sontag (Chairman & Sr. Managing Director) appeared on Schedule A of Stratwealth
      Nov 18, 2020 · Control person joined · fact
    • J Michael Del Priore (Chief Compliance Officer) appeared on Schedule A of Stratwealth
      Nov 18, 2020 · Control person joined · fact
    • Mark James Griesser (Member, Chief Compliance Officer (January 2017)) no longer on Schedule A of Stratwealth (listed 2020-06-24, absent 2020-11-18)
      Nov 18, 2020 · Control person left · inference
    • Kurz James Eichelberger (Member) no longer on Schedule A of Stratwealth (listed 2020-06-24, absent 2020-11-18)
      Nov 18, 2020 · Control person left · inference
    • Paul Gary Desjardins (Member) no longer on Schedule A of Stratwealth (listed 2020-06-24, absent 2020-11-18)
      Nov 18, 2020 · Control person left · inference
    • Ramsey Jennine Lacroix (Member) no longer on Schedule A of Stratwealth (listed 2020-06-24, absent 2020-11-18)
      Nov 18, 2020 · Control person left · inference
    • Patrick Joseph Garrison (Member) no longer on Schedule A of Stratwealth (listed 2020-06-24, absent 2020-11-18)
      Nov 18, 2020 · Control person left · inference
    • Sarah Kimberly Magaha (Member) no longer on Schedule A of Stratwealth (listed 2020-06-24, absent 2020-11-18)
      Nov 18, 2020 · Control person left · inference
    • Brown Patricia Achterhof (Member) no longer on Schedule A of Stratwealth (listed 2020-06-24, absent 2020-11-18)
      Nov 18, 2020 · Control person left · inference
    • Nicole Amanda Campbell (Member) no longer on Schedule A of Stratwealth (listed 2020-06-24, absent 2020-11-18)
      Nov 18, 2020 · Control person left · inference
    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