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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SEC-registered adviser
S••••• W••••• M••••••••• L••
Latest filing Mar 13, 2026
First filing on the tape Apr 2, 2012 · 29 filings
SEC status approved since Apr 5, 2002
RAUM
$605M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$576M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$75.6M
derived; firm RAUM over IAPD count
Employees
7
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
6
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$605M as of Mar 13, 2026
Apr 2, 2012$875M then
HNW client RAUM$528M as of Mar 13, 2026
Mar 26, 2018$476M then
State-registered IARs (5.B.3)4 as of Mar 13, 2026
Apr 2, 20120 then
Employees (5.A)7 as of Mar 13, 2026
Apr 1, 201317 then
Private funds6 as of Mar 13, 2026
Apr 2, 20123 then
RAUM +75% over the last fiscal year+22% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 13, 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
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $75.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $2.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 4.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +75%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consultingreportedItem 5.G
- Custody
- $211M, 6 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)
- 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
- High-net-worth individuals$528M87%
- Individuals$47.6M7.9%
- Pension and profit-sharing plans$15.1M2.5%
- Charitable organizations$13.3M2.2%
- Corporations and businesses$656,1200.1%
- Individual clients
- 78reported
- HNW clients
- 149reported
- Pension plan clients
- 4reported
- Charitable clients
- 6reported
- Accounts
- 240reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $211M for 6 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• P•••••• T••••• | M••••••S, Nc | Jun 10, 2002 | 24 y | 0 |
| M•••••• W•••••• S••••Certified Financial Planner | M••••••S, Nc | Jun 10, 2002 | 30 y | 1 |
| C•••••• E•••• D••••Chartered Financial Consultant | M••••••S, Nc | Jan 28, 2005 | 39 y | 2 |
| K••••••• M• F•••• | M••••••S, Nc | Mar 8, 2005 | 25 y | 0 |
| J•••••• H••••• B••••• | Charlottesville, Va | Mar 10, 2009 | 24 y | 2 |
| L••••• C••• H•••••• | M••••••S, Nc | Dec 3, 2009 | 17 y | 0 |
| K•••• A••••• W•••• | Charlottesville, Va | Nov 16, 2012 | 14 y | 0 |
| J••••• M• B•••••Certified Financial Planner | M••••••S, Nc | May 1, 2024 | 26 y | 6 |
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
- B•••••• M••••••• G•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Nov 9, 2021 · RIA to affiliated broker-dealer or bank
- A••••• R•••••• H••••• to G••••••• W••••• A•••••••• L••Oct 24, 2019 · RIA to RIA
- S•••• T• B•••••• to T•••••• P•••• F••••••••• I•••Mar 8, 2011 · Other
- L••••• A•• A••••• to P•••••••• S••••••••• I•••Sep 20, 2006 · Other
Joined, latest
- J••••• M• B••••• from N••••••••• M••••• I••••••••• S•••••••••May 1, 2024 · Other
- S•••• T• B•••••• from S•••••••• A••••••• L••Apr 22, 2009 · Other
- J•••••• H••••• B••••• from N••••••••• M••••• W••••• M••••••••• C••••••Mar 10, 2009 · Other
- C•••••• E•••• D•••• from N••••••••• M••••• I••••••••• S•••••••••Jan 28, 2005 · Other
- M•••••• W•••••• S•••• from R••••• B••• • C••• L••Jun 10, 2002 · Other
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••• ••• G••• F••• Q•• L• | Hedge Fund | $46.7M | 93 | Feb 5, 2021 |
| S••••• ••• G••• F•••• L• | Hedge Fund | $20.0M | 66 | Feb 5, 2021 |
| S••••• C••••• O••••••••• Q•••••••• F•••• L• | Hedge Fund | $4.6M | 17 | Apr 2, 2012 |
| S••••• C••••• O••••••••• O••••••• F•••• L•• | Hedge Fund | $2.9M | 58 | Apr 2, 2012 |
| S••••• C••••• O••••••••• F•••• L• | Hedge Fund | $2.9M | 44 | Apr 2, 2012 |
| S••••• C••••• O••••••••• O••••••• Q•••••••• F•••• L•• | Hedge Fund | $1.1M | 8 | Mar 27, 2014 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• P•••• F•••••• · Chief Operating Officer; Chief Compliance Officercontrolsince 01/2011 · owns less than 5%
- S••••• M••••••• W•••••• · Co-Chief Operating Officercontrolsince 01/2022 · owns less than 5%
- T•••••• L•••• M•••• · Membercontrolsince 08/2010 · owns 25% to 50%
- T•••••• S••••• P•••••• · Managing Membercontrolsince 02/2002 · owns 75% or more
Related persons
Schedule D 7.A
- S••••• F••• M••••••••• L••pooled vehicle sponsory
- S••••• W••• C••••••• L••n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| M••••••S, Nc · principal | 8 | 0 | 0 | ||
| Charlottesville, Va | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Charlottesville, VA1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM up clients flatCombination · filing Mar 13, 2026RAUM grew 50 percent or more while private clients stayed within 5 percent: existing clients grew, a few large clients arrived, or a reporting change. RAUM $346,213,230 to $604,819,704, advisors 4 to 4, private clients 237 to 227, offices 1 to 1 (2025-03-21 to 2026-03-13)peers: independent wealth managers, $500M to $1B (1,482)
- RAUM up 50 %Change between filings · filing Mar 13, 2026RAUM (Item 5.F) moved from $346,213,230 to $604,819,704 (+75.0%) between the annual amendments of 2025-03-21 and 2026-03-13; the peer median change was +16.0% (1385 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,385) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 252 to 240Mar 21, 2025 to Mar 13, 2026
- Corporate clients · 5 to 3Mar 21, 2025 to Mar 13, 2026
- HNW clients · 154 to 149Mar 21, 2025 to Mar 13, 2026
- Individual clients · 83 to 78Mar 21, 2025 to Mar 13, 2026
- Assets in custody · $82.2M to $211MMar 21, 2025 to Mar 13, 2026
- Discretionary RAUM · $346M to $605MMar 21, 2025 to Mar 13, 2026
- HNW RAUM · $293M to $528MMar 21, 2025 to Mar 13, 2026
- Individual RAUM · $32.4M to $47.6MMar 21, 2025 to Mar 13, 2026
- Pension RAUM · $8.1M to $15.1MMar 21, 2025 to Mar 13, 2026
- RAUM · $346M to $605MMar 21, 2025 to Mar 13, 2026
- Accounts · 234 to 252Aug 27, 2024 to Mar 21, 2025
- Corporate clients · 3 to 5Aug 27, 2024 to Mar 21, 2025
- HNW clients · 148 to 154Aug 27, 2024 to Mar 21, 2025
- Individual clients · 71 to 83Aug 27, 2024 to Mar 21, 2025
- Pension plan clients · 6 to 4Aug 27, 2024 to Mar 21, 2025
- Assets in custody · $80.3M to $82.2MAug 27, 2024 to Mar 21, 2025
- Financial planning clients · 51-100 to 51-100Aug 27, 2024 to Mar 21, 2025
- Discretionary RAUM · $345M to $346MAug 27, 2024 to Mar 21, 2025
- HNW RAUM · $290M to $293MAug 27, 2024 to Mar 21, 2025
- Individual RAUM · $32.3M to $32.4MAug 27, 2024 to Mar 21, 2025
- Pension RAUM · $13.7M to $8.1MAug 27, 2024 to Mar 21, 2025
- RAUM · $345M to $346MAug 27, 2024 to Mar 21, 2025
- Accounts · 230 to 234Sep 1, 2023 to Mar 27, 2024
- Charity clients · 7 to 6Sep 1, 2023 to Mar 27, 2024
- Corporate clients · unset to 3.0Sep 1, 2023 to Mar 27, 2024
- HNW clients · 144 to 148Sep 1, 2023 to Mar 27, 2024
- Individual clients · 70 to 71Sep 1, 2023 to Mar 27, 2024
- Assets in custody · $103M to $80.3MSep 1, 2023 to Mar 27, 2024
- Discretionary RAUM · $337M to $345MSep 1, 2023 to Mar 27, 2024
- HNW RAUM · $284M to $290MSep 1, 2023 to Mar 27, 2024
- Individual RAUM · $30.3M to $32.3MSep 1, 2023 to Mar 27, 2024
- Pension RAUM · $11.9M to $13.7MSep 1, 2023 to Mar 27, 2024
- RAUM · $337M to $345MSep 1, 2023 to Mar 27, 2024
- Related bank · true to falseSep 1, 2023 to Mar 27, 2024
- Accounts · 220 to 230Oct 19, 2022 to Mar 31, 2023
- Charity clients · unset to 7.0Oct 19, 2022 to Mar 31, 2023
- Corporate clients · 6.0 to unsetOct 19, 2022 to Mar 31, 2023
- HNW clients · 138 to 144Oct 19, 2022 to Mar 31, 2023
- Individual clients · 64 to 70Oct 19, 2022 to Mar 31, 2023
- Pension plan clients · 8 to 6Oct 19, 2022 to Mar 31, 2023
Signals
5 dated events
- S••••• W••••• M••••••••• L•• reported RAUM $604.8M, up 75% from $346.2M (2025-03-21 to 2026-03-13)Mar 13, 2026 · RAUM change · derived
- William Matthew Spear (Chief Compliance Officer) appeared on Schedule A of S••••• W••••• M••••••••• L••Mar 25, 2022 · Control person joined · fact
- Alan Richard Von Gnechten (Chief Financial Officer) no longer on Schedule A of S••••• W••••• M••••••••• L•• (listed 2020-03-30, absent 2021-02-05)Feb 5, 2021 · Control person left · inference
- S••••• W••••• M••••••••• L•• reported RAUM $285.4M, down 35% from $436.1M (2019-03-28 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- S••••• W••••• M••••••••• L•• reported RAUM $436.1M, down 28% from $607.6M (2018-06-07 to 2019-03-28)Mar 28, 2019 · RAUM change · derived
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
- Website
- S•••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 704-321-5244reportedpublic record, Form ADV, Mar 13, 2026
- Team page
- s•••••.comreportedpublished 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
- $75.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026