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••••••••• G••••• I•••
Latest filing Mar 4, 2015
First filing on the tape Jan 17, 2012 · 9 filings
RAUM
$136M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$136M as of Mar 4, 2015
Jan 17, 2012$54.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 3
Employees (5.A): 4
Private funds: no history
RAUM n/a over the last fiscal year+36% a year over three
Practice profile
derived from the filing of Mar 4, 2015; every figure names its basis
- RAUM per advisor
- $45.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $323,810derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, publicationsreportedItem 5.G
- Custody
- $10.0M, 9 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
- is an insurance broker or agent (6.A.6)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 420reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $10.0M for 9 clientsreported
- Compensation
- % of AUM, 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• G•••• B•••••• · Director/Secretarycontrolsince 09/1995 · owns 25% to 50%
- R•••••••• S••••••• M••• · Director/Vice Presidentcontrolsince 09/1995 · owns 25% to 50%
- C••••••• A••• D•••••• · Investment Advisor Representativesince 10/2008 · owns 10% to 25%
- M•••••• K•••••••• A•• · President/Chief Compliance Officersince 06/2008 · owns less than 5%
- N•••• C• · Treasurersince 10/2009 · owns 10% to 25%
Related persons
Schedule D 7.A
- R••••••• G••••• C•••••• N••• • A•••••••••insurancen
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 375 to 420Apr 18, 2014 to Mar 4, 2015
- Financial planning clients · 26-50 to 101-250Apr 18, 2014 to Mar 4, 2015
- Discretionary RAUM · $105M to $136MApr 18, 2014 to Mar 4, 2015
- RAUM · $105M to $136MApr 18, 2014 to Mar 4, 2015
- State-registered IARs · unset to 3.0Jun 28, 2012 to Mar 4, 2014
- Accounts · 228 to 375Jun 28, 2012 to Mar 4, 2014
- Advisory employees · unset to 3.0Jun 28, 2012 to Mar 4, 2014
- BD registered reps · unset to 1.0Jun 28, 2012 to Mar 4, 2014
- Assets in custody · unset to 10000000.0Jun 28, 2012 to Mar 4, 2014
- Custody of client assets · false to trueJun 28, 2012 to Mar 4, 2014
- Employees · unset to 4.0Jun 28, 2012 to Mar 4, 2014
- Discretionary RAUM · $54.2M to $105MJun 28, 2012 to Mar 4, 2014
- RAUM · $54.2M to $105MJun 28, 2012 to Mar 4, 2014
Signals
1 dated events
- S•••••••• W••••• M••••••••• G••••• I••• filed its initial SEC registration (Form ADV)Mar 4, 2014 · 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