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•••••••• G••••• L••
Legal name S••• W••••• M••••••••• G••••• L••
Latest filing Feb 10, 2026
First filing on the tape Feb 15, 2012 · 40 filings
SEC status approved since Mar 11, 2008
RAUM
$464M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
94%
$434M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$232M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$464M as of Feb 10, 2026
Feb 15, 2012$96.9M then
HNW client RAUM$382M as of Feb 10, 2026
Feb 14, 2018$151M then
State-registered IARs (5.B.3)2 as of Feb 10, 2026
Feb 15, 20120 then
Employees (5.A)3 as of Feb 10, 2026
Feb 20, 20133 then
Private funds: no history
RAUM +19% over the last fiscal year+18% a year over threeIARs 1 to 2
Practice profile
derived from the filing of Feb 10, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $232MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 160derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $411,689derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 6.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
- Custody
- $214M, 279 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$382M82%
- Individuals$52.5M11%
- Pension and profit-sharing plans$29.9M6.4%
- Individual clients
- 164reported
- HNW clients
- 155reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 1,127reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $214M for 279 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• S•••Certified Financial Planner | Atlanta, Ga | Aug 23, 2007 | 31 y | 0 |
| C•••• B••••Certified Financial Planner | Atlanta, Ga | Feb 5, 2026 | 10 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•••• J•••••••• •• M••••• N•••• · President And Chief Compliance Officercontrolsince 01/1997 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Atlanta, Ga · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,076 to 1,127Sep 12, 2025 to Feb 10, 2026
- Advisory employees · 1 to 2Sep 12, 2025 to Feb 10, 2026
- HNW clients · 148 to 155Sep 12, 2025 to Feb 10, 2026
- Individual clients · 156 to 164Sep 12, 2025 to Feb 10, 2026
- Assets in custody · $152M to $214MSep 12, 2025 to Feb 10, 2026
- Financial planning clients · 1-10 to 11-25Sep 12, 2025 to Feb 10, 2026
- State-registered IARs · 1 to 2Sep 12, 2025 to Feb 10, 2026
- Discretionary RAUM · $360M to $431MSep 12, 2025 to Feb 10, 2026
- HNW RAUM · $309M to $382MSep 12, 2025 to Feb 10, 2026
- Individual RAUM · $54.7M to $52.5MSep 12, 2025 to Feb 10, 2026
- Non-discretionary RAUM · $29.2M to $33.3MSep 12, 2025 to Feb 10, 2026
- Pension RAUM · $26.1M to $29.9MSep 12, 2025 to Feb 10, 2026
- RAUM · $389M to $464MSep 12, 2025 to Feb 10, 2026
- Accounts · 1,001 to 1,076Aug 21, 2024 to Feb 6, 2025
- HNW clients · 146 to 148Aug 21, 2024 to Feb 6, 2025
- Individual clients · 145 to 156Aug 21, 2024 to Feb 6, 2025
- Assets in custody · $11.4M to $152MAug 21, 2024 to Feb 6, 2025
- Financial planning clients · 1-10 to 1-10Aug 21, 2024 to Feb 6, 2025
- Discretionary RAUM · $312M to $360MAug 21, 2024 to Feb 6, 2025
- HNW RAUM · $270M to $309MAug 21, 2024 to Feb 6, 2025
- Individual RAUM · $42.5M to $54.7MAug 21, 2024 to Feb 6, 2025
- Non-discretionary RAUM · $22.4M to $29.2MAug 21, 2024 to Feb 6, 2025
- Pension RAUM · $22.4M to $26.1MAug 21, 2024 to Feb 6, 2025
- RAUM · $335M to $389MAug 21, 2024 to Feb 6, 2025
- Advisory activities · 3 to 4Feb 21, 2024 to Apr 16, 2024
- BD registered reps · 1 to 0Feb 21, 2024 to Apr 16, 2024
- Accounts · 930 to 1,001Nov 3, 2023 to Feb 21, 2024
- BD registered reps · 3 to 1Nov 3, 2023 to Feb 21, 2024
- HNW clients · 134 to 146Nov 3, 2023 to Feb 21, 2024
- Individual clients · 132 to 145Nov 3, 2023 to Feb 21, 2024
- Pension plan clients · 5 to 6Nov 3, 2023 to Feb 21, 2024
- Assets in custody · unset to 11426692.0Nov 3, 2023 to Feb 21, 2024
- Custody of client assets · false to trueNov 3, 2023 to Feb 21, 2024
- Financial planning clients · 101-250 to 1-10Nov 3, 2023 to Feb 21, 2024
- Discretionary RAUM · $266M to $312MNov 3, 2023 to Feb 21, 2024
- HNW RAUM · $218M to $270MNov 3, 2023 to Feb 21, 2024
- Individual RAUM · $46.3M to $42.5MNov 3, 2023 to Feb 21, 2024
- Non-discretionary RAUM · $13.1M to $22.4MNov 3, 2023 to Feb 21, 2024
- Pension RAUM · $14.7M to $22.4MNov 3, 2023 to Feb 21, 2024
- RAUM · $279M to $335MNov 3, 2023 to Feb 21, 2024
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
- Business phone
- 404-843-4483reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S•••WEALTH.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 404-843-4483reportedpublic record, Form ADV, Feb 10, 2026
- Contact form
- sardwealth.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- sardwealth.com/about-us/meet-the-teamreportedpublished by the firm, firm site, Sep 16, 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
- $232Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026