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••••••••• F•••••••• A•••••••• L••
Latest filing Mar 7, 2019
First filing on the tape Dec 5, 2011 · 14 filings
RAUM
$47.8M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
85%
$40.5M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$23.9M
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
14 filings and snapshots on the tape
RAUM$47.8M as of Mar 7, 2019
Mar 13, 2012$140M then
HNW client RAUM$14.3M as of Mar 7, 2019
Mar 28, 2018$45.3M then
State-registered IARs (5.B.3)2 as of Mar 7, 2019
Feb 13, 20134 then
Employees (5.A)4 as of Mar 7, 2019
Feb 13, 20134 then
Private funds: no history
RAUM -43% over the last fiscal year-27% a year over threeIARs 4 to 2
Practice profile
derived from the filing of Mar 7, 2019; every figure names its basis
- RAUM per advisor
- $23.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $529,630derivedHNW RAUM over HNW clients
- Average account
- $188,933derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -43%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $26.6M, 48 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$26.2M55%
- High-net-worth individuals$14.3M30%
- Pension and profit-sharing plans$5.0M10%
- Corporations and businesses$2.3M4.8%
- Individual clients
- 107reported
- HNW clients
- 27reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 253reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $26.6M for 48 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• D•••• S••••••• | Boerne, Tx | Jan 4, 2002 | 33 y | 0 |
| D•••• B•••• T•••Certified Financial Planner | Sugar Land, Tx | Mar 29, 2019 | 25 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• M•••• D•••• · Partnercontrolsince 06/2001 · owns 50% to 75%
- T•••• D••••• B•••• · Partner, Chief Compliance Officercontrolsince 06/2001 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Boerne, TX1 employees
What changed
consecutive filings, newest first
- Accounts · 323 to 253Feb 8, 2019 to Mar 7, 2019
- Financial planning clients · 11-25 to 1-10Feb 8, 2019 to Mar 7, 2019
- State-registered IARs · 4 to 2Feb 8, 2019 to Mar 7, 2019
- Discretionary RAUM · $80.6M to $44.0MFeb 8, 2019 to Mar 7, 2019
- HNW RAUM · $45.3M to $14.3MFeb 8, 2019 to Mar 7, 2019
- Individual RAUM · $31.2M to $26.2MFeb 8, 2019 to Mar 7, 2019
- Non-discretionary RAUM · $3.8M to $3.8MFeb 8, 2019 to Mar 7, 2019
- Pension RAUM · $5.2M to $5.0MFeb 8, 2019 to Mar 7, 2019
- RAUM · $84.4M to $47.8MFeb 8, 2019 to Mar 7, 2019
- Advisory activities · 2 to 3Nov 1, 2018 to Feb 8, 2019
- Accounts · 353 to 323Dec 21, 2017 to Mar 28, 2018
- HNW clients · unset to 27.0Dec 21, 2017 to Mar 28, 2018
- Individual clients · unset to 107.0Dec 21, 2017 to Mar 28, 2018
- Assets in custody · unset to 26570000.0Dec 21, 2017 to Mar 28, 2018
- Custody of client assets · false to trueDec 21, 2017 to Mar 28, 2018
- Other offices · 0 to 1Dec 21, 2017 to Mar 28, 2018
- Discretionary RAUM · $96.0M to $80.6MDec 21, 2017 to Mar 28, 2018
- HNW RAUM · $46.1M to $45.3MDec 21, 2017 to Mar 28, 2018
- Individual RAUM · $31.8M to $31.2MDec 21, 2017 to Mar 28, 2018
- Non-discretionary RAUM · $0 to $3.8MDec 21, 2017 to Mar 28, 2018
- Pension RAUM · $6.0M to $5.2MDec 21, 2017 to Mar 28, 2018
- RAUM · $96.0M to $84.4MDec 21, 2017 to Mar 28, 2018
- Other offices · unset to 0.0Mar 21, 2017 to Dec 21, 2017
- HNW RAUM · unset to 46130000.0Mar 21, 2017 to Dec 21, 2017
- Individual RAUM · unset to 31804000.0Mar 21, 2017 to Dec 21, 2017
- Pension RAUM · unset to 6013000.0Mar 21, 2017 to Dec 21, 2017
- Accounts · 391 to 353Feb 15, 2016 to Mar 21, 2017
- Discretionary RAUM · $125M to $96.0MFeb 15, 2016 to Mar 21, 2017
- RAUM · $125M to $96.0MFeb 15, 2016 to Mar 21, 2017
- Accounts · 456 to 391Feb 24, 2015 to Feb 15, 2016
- Discretionary RAUM · $196M to $125MFeb 24, 2015 to Feb 15, 2016
- RAUM · $196M to $125MFeb 24, 2015 to Feb 15, 2016
- Accounts · 506 to 456Mar 10, 2014 to Feb 24, 2015
- Financial planning clients · 26-50 to 11-25Mar 10, 2014 to Feb 24, 2015
- Discretionary RAUM · $214M to $196MMar 10, 2014 to Feb 24, 2015
- RAUM · $214M to $196MMar 10, 2014 to Feb 24, 2015
- Accounts · 503 to 506Feb 25, 2013 to Mar 4, 2014
- Advisory employees · 3 to 4Feb 25, 2013 to Mar 4, 2014
- Discretionary RAUM · $210M to $214MFeb 25, 2013 to Mar 4, 2014
- RAUM · $210M to $214MFeb 25, 2013 to Mar 4, 2014
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
- Firm profile
- linkedin.com/company/sweetwater-financial-advisorsreportedpublic record, Form ADV, Sep 19, 2026
- Website
- SFACORP.COMreportedpublic record, Form ADV, Sep 19, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $23.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026