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••••• A•••••••• I•••
Latest filing Apr 1, 2026
First filing on the tape Jun 29, 2021 · 13 filings
SEC status approved since Jul 29, 2021
RAUM
$224M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$224M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$74.5M
derived; firm RAUM over IAPD count
Employees
7
1 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$224M as of Apr 1, 2026
Mar 29, 2022$150M then
HNW client RAUM$209M as of Apr 1, 2026
Mar 29, 2022$138M then
State-registered IARs (5.B.3)2 as of Apr 1, 2026
Mar 29, 20221 then
Employees (5.A)7 as of Apr 1, 2026
Mar 29, 20227 then
Private funds: no history
RAUM +19% over the last fiscal year+18% a year over threeIARs 1 to 2offices 0 to 2
Practice profile
derived from the filing of Apr 1, 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
- $74.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $642,361derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 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
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $112M, 50 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$209M93%
- Individuals$15.0M6.7%
- Individual clients
- 30reported
- HNW clients
- 50reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 348reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $112M for 50 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E•••••••• A•• B••••••Certified Financial Planner | Plantation, Fl | Sep 8, 1998 | 29 y | 0 |
| L••• R•••• J•••••• | Columbia, Tn | Jun 19, 2025 | 18 y | 0 |
| S••••••• W•••••••• B•••••• | Plantation, Fl | Jun 21, 2025 | 11 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
- B••••••• E••••••••• A•• · President, Ceo And Chief Compliance Officercontrolsince 07/1997 · 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 |
|---|---|---|---|---|---|
| Plantation, Fl · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 364 to 348Sep 11, 2025 to Apr 1, 2026
- HNW clients · 45 to 50Sep 11, 2025 to Apr 1, 2026
- Individual clients · 35 to 30Sep 11, 2025 to Apr 1, 2026
- Assets in custody · $103M to $112MSep 11, 2025 to Apr 1, 2026
- State-registered IARs · 1 to 2Sep 11, 2025 to Apr 1, 2026
- Discretionary RAUM · $188M to $224MSep 11, 2025 to Apr 1, 2026
- HNW RAUM · $171M to $209MSep 11, 2025 to Apr 1, 2026
- Individual RAUM · $16.5M to $15.0MSep 11, 2025 to Apr 1, 2026
- RAUM · $188M to $224MSep 11, 2025 to Apr 1, 2026
- Financial planning clients · 51-100 to 51-100Mar 29, 2025 to Jun 2, 2025
- Other offices · 0 to 2Mar 29, 2025 to Jun 2, 2025
- Accounts · 421 to 364Mar 26, 2024 to Mar 29, 2025
- HNW clients · 38 to 45Mar 26, 2024 to Mar 29, 2025
- Individual clients · 29 to 35Mar 26, 2024 to Mar 29, 2025
- Assets in custody · $105M to $103MMar 26, 2024 to Mar 29, 2025
- Discretionary RAUM · $164M to $188MMar 26, 2024 to Mar 29, 2025
- HNW RAUM · $147M to $171MMar 26, 2024 to Mar 29, 2025
- Individual RAUM · $17.1M to $16.5MMar 26, 2024 to Mar 29, 2025
- RAUM · $164M to $188MMar 26, 2024 to Mar 29, 2025
- Accounts · 442 to 421Sep 13, 2023 to Mar 26, 2024
- Assets in custody · $67.2M to $105MSep 13, 2023 to Mar 26, 2024
- Discretionary RAUM · $136M to $164MSep 13, 2023 to Mar 26, 2024
- HNW RAUM · $121M to $147MSep 13, 2023 to Mar 26, 2024
- Individual RAUM · $15.2M to $17.1MSep 13, 2023 to Mar 26, 2024
- RAUM · $136M to $164MSep 13, 2023 to Mar 26, 2024
- Accounts · 462 to 442Mar 29, 2022 to Mar 14, 2023
- HNW clients · 46 to 38Mar 29, 2022 to Mar 14, 2023
- Individual clients · 27 to 29Mar 29, 2022 to Mar 14, 2023
- Assets in custody · $64.6M to $67.2MMar 29, 2022 to Mar 14, 2023
- Discretionary RAUM · $150M to $136MMar 29, 2022 to Mar 14, 2023
- HNW RAUM · $138M to $121MMar 29, 2022 to Mar 14, 2023
- Individual RAUM · $12.0M to $15.2MMar 29, 2022 to Mar 14, 2023
- RAUM · $150M to $136MMar 29, 2022 to Mar 14, 2023
- Accounts · 424 to 462Oct 5, 2021 to Mar 29, 2022
- Advisory activities · 4 to 2Oct 5, 2021 to Mar 29, 2022
- HNW clients · 41 to 46Oct 5, 2021 to Mar 29, 2022
- Individual clients · 28 to 27Oct 5, 2021 to Mar 29, 2022
- Assets in custody · $59.7M to $64.6MOct 5, 2021 to Mar 29, 2022
- Employees · 6 to 7Oct 5, 2021 to Mar 29, 2022
- Other offices · 1 to 0Oct 5, 2021 to Mar 29, 2022
Signals
1 dated events
- S••••••• W••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Jun 29, 2021 · 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
- 954-771-1313reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 954-417-3629reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S•••••••WEALTHADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 954-771-1313reportedpublic record, Form ADV, Apr 1, 2026
- Team page
- s•••••••••.comreportedpublished 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
- $74.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026