DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S••••••••• C••••••
Legal name S••••••••• C••••••• L••
Latest filing Mar 17, 2026
First filing on the tape Feb 11, 2012 · 25 filings
SEC status approved since Apr 2, 2013
RAUM
$427M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$421M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$107M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$427M as of Mar 17, 2026
Feb 11, 2012$82.4M then
HNW client RAUM$402M as of Mar 17, 2026
Feb 13, 2018$180M then
State-registered IARs (5.B.3)1 as of Mar 17, 2026
Mar 13, 20141 then
Employees (5.A)4 as of Mar 17, 2026
Mar 13, 20141 then
Private funds: no history
RAUM +23% over the last fiscal year+15% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 17, 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
- $107MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $584,494derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Custody
- $247M, 154 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$402M94%
- Individuals$18.8M4.4%
- Pension and profit-sharing plans$6.4M1.5%
- Individual clients
- 60reported
- HNW clients
- 120reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 731reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $247M for 154 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• J••••• B••••Chartered Financial Analyst | Denver, Co | Sep 24, 1999 | 27 y | 0 |
| E••• S••••• M••••• | Denver, Co | Sep 24, 1999 | 26 y | 0 |
| J•••• A••••• M•••• | Ballwin, Mo | Mar 12, 2008 | 26 y | 0 |
| P•• W••• | Redondo Beach, Ca | Mar 17, 2025 | 31 y | 2 |
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
- P•• W••• from T• A••••••••• I••••••••• M••••••••• L••Mar 17, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• J••••••• J••••• · Principalcontrolsince 06/1999 · owns 50% to 75%
- M•••••• E•••• S••••• · Principalcontrolsince 06/1999 · owns 50% to 75%
- M••••• J••••• A••••• · Chief Compliance Officersince 06/2007 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Denver, Co · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 17, 2026selection of other advisers (Item 5.G.7): no on the filing of 2025-02-07, yes on the filing of 2026-03-17peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 694 to 731Feb 7, 2025 to Mar 17, 2026
- Advisory activities · 5 to 6Feb 7, 2025 to Mar 17, 2026
- HNW clients · 101 to 120Feb 7, 2025 to Mar 17, 2026
- Individual clients · 77 to 60Feb 7, 2025 to Mar 17, 2026
- Assets in custody · $189M to $247MFeb 7, 2025 to Mar 17, 2026
- Discretionary RAUM · $347M to $426MFeb 7, 2025 to Mar 17, 2026
- HNW RAUM · $317M to $402MFeb 7, 2025 to Mar 17, 2026
- Individual RAUM · $22.9M to $18.8MFeb 7, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $1.0M to $1.2MFeb 7, 2025 to Mar 17, 2026
- Pension RAUM · $8.5M to $6.4MFeb 7, 2025 to Mar 17, 2026
- RAUM · $348M to $427MFeb 7, 2025 to Mar 17, 2026
- Accounts · 692 to 694Mar 22, 2024 to Feb 7, 2025
- Individual clients · 79 to 77Mar 22, 2024 to Feb 7, 2025
- Assets in custody · $151M to $189MMar 22, 2024 to Feb 7, 2025
- Financial planning clients · 11-25 to 1-10Mar 22, 2024 to Feb 7, 2025
- Discretionary RAUM · $306M to $347MMar 22, 2024 to Feb 7, 2025
- HNW RAUM · $277M to $317MMar 22, 2024 to Feb 7, 2025
- Individual RAUM · $22.6M to $22.9MMar 22, 2024 to Feb 7, 2025
- Non-discretionary RAUM · $1.1M to $1.0MMar 22, 2024 to Feb 7, 2025
- Pension RAUM · $7.1M to $8.5MMar 22, 2024 to Feb 7, 2025
- RAUM · $307M to $348MMar 22, 2024 to Feb 7, 2025
- Accounts · 661 to 692Mar 18, 2023 to Jan 16, 2024
- HNW clients · 106 to 101Mar 18, 2023 to Jan 16, 2024
- Individual clients · 74 to 79Mar 18, 2023 to Jan 16, 2024
- Assets in custody · $160M to $151MMar 18, 2023 to Jan 16, 2024
- HQ city · unset to DENVERMar 18, 2023 to Jan 16, 2024
- HQ state · unset to COMar 18, 2023 to Jan 16, 2024
- Discretionary RAUM · $278M to $306MMar 18, 2023 to Jan 16, 2024
- HNW RAUM · $254M to $277MMar 18, 2023 to Jan 16, 2024
- Individual RAUM · $20.7M to $22.6MMar 18, 2023 to Jan 16, 2024
- Non-discretionary RAUM · $1.3M to $1.1MMar 18, 2023 to Jan 16, 2024
- Pension RAUM · $5.3M to $7.1MMar 18, 2023 to Jan 16, 2024
- RAUM · $280M to $307MMar 18, 2023 to Jan 16, 2024
- Accounts · 701 to 661Feb 2, 2022 to Mar 18, 2023
- Advisory employees · 5 to 4Feb 2, 2022 to Mar 18, 2023
- HNW clients · 109 to 106Feb 2, 2022 to Mar 18, 2023
- Individual clients · 75 to 74Feb 2, 2022 to Mar 18, 2023
- Assets in custody · $138M to $160MFeb 2, 2022 to Mar 18, 2023
- Employees · 5 to 4Feb 2, 2022 to Mar 18, 2023
- State-registered IARs · 2 to 1Feb 2, 2022 to Mar 18, 2023
Signals
1 dated events
- S••••••••• C•••••• filed its initial SEC registration (Form ADV)Mar 15, 2013 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 314-256-9367reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 314-434-4750reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- w••.s•••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 314-434-4750reportedpublic record, Form ADV, Mar 17, 2026
- Team page
- shearwatercapital.com/who-we-are-1reportedpublished by the firm, firm site, Sep 15, 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
- $107Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026