DFX Intelligence
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S•• W••••• M•••••••••
Independent wealth manager, based in Grand Prairie, Texas, reporting $154M of regulatory assets across 4 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $154M
- Advisors
- 4
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +22%
- Private clients
- 100% of RAUM, $154M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $126MRAUM now $154M
- Contact points 4
Every filed figure, and the identifiersCRD 130652 · SEC 801-126309 · 11 filingsShowHide
CRD 130652SEC 801-126309Legal name S• • S• W••••• M••••••••• L•••First filing on the tape Mar 30, 2012, latest Apr 1, 2026SEC status approved since Aug 3, 2022IAPD
RAUM
$154M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$154M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$38.4M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$154M as of Apr 1, 2026
Mar 30, 2012$41.6M then
HNW client RAUM$94.1M as of Apr 1, 2026
Mar 30, 2023$59.8M then
State-registered IARs (5.B.3)3 as of Apr 1, 2026
Mar 30, 20120 then
Employees (5.A)3 as of Apr 1, 2026
Mar 30, 20233 then
Private funds: no history
RAUM +22% over the last fiscal year+12% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Apr 1, 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
- RAUM per advisor
- $38.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 79derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $194,665derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$94.1M61%
- Individuals$59.7M39%
- Individual clients
- 267reported
- HNW clients
- 48reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 790reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• L•••• S•••• | Grand Prairie, Tx | Apr 13, 2004 | 29 y | 0 |
| M•••••• D•••••• F••••• | Grand Prairie, Tx | Apr 13, 2004 | 27 y | 0 |
| G••••• M•••••• S••••••••• | Grand Prairie, Tx | Sep 22, 2011 | 23 y | 1 |
| P•••• T••••••• K••• | Grand Prairie, Tx | Nov 15, 2013 | 14 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
- G••••• M•••••• S••••••••• from Q•••••• A•••• M••••••••• I•••Sep 22, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• S•••••• L•••• · Chief Compliance Officer /Partnercontrolsince 01/2004 · owns 75% or more
Entity owners
- S•••• • S•••• M••••••••• I•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- S••••••••• F•••••••• G••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Grand Prairie, Tx · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 755 to 790Mar 31, 2025 to Mar 31, 2026
- HNW clients · 37 to 48Mar 31, 2025 to Mar 31, 2026
- Individual clients · 275 to 267Mar 31, 2025 to Mar 31, 2026
- Employees · 4 to 3Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $123M to $150MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $60.5M to $94.1MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $65.5M to $59.7MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $3.4M to $4.0MMar 31, 2025 to Mar 31, 2026
- RAUM · $126M to $154MMar 31, 2025 to Mar 31, 2026
- Accounts · 798 to 755Mar 27, 2024 to Mar 31, 2025
- HNW clients · 35 to 37Mar 27, 2024 to Mar 31, 2025
- Individual clients · 280 to 275Mar 27, 2024 to Mar 31, 2025
- Employees · 3 to 4Mar 27, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $123M to $123MMar 27, 2024 to Mar 31, 2025
- HNW RAUM · $56.6M to $60.5MMar 27, 2024 to Mar 31, 2025
- Individual RAUM · $70.4M to $65.5MMar 27, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $3.6M to $3.4MMar 27, 2024 to Mar 31, 2025
- RAUM · $127M to $126MMar 27, 2024 to Mar 31, 2025
- Accounts · 795 to 798Oct 30, 2023 to Mar 27, 2024
- Charity clients · 1 to 0Oct 30, 2023 to Mar 27, 2024
- HNW clients · 31 to 35Oct 30, 2023 to Mar 27, 2024
- Individual clients · 284 to 280Oct 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $104M to $123MOct 30, 2023 to Mar 27, 2024
- HNW RAUM · $59.8M to $56.6MOct 30, 2023 to Mar 27, 2024
- Individual RAUM · $50.0M to $70.4MOct 30, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $6.2M to $3.6MOct 30, 2023 to Mar 27, 2024
- RAUM · $110M to $127MOct 30, 2023 to Mar 27, 2024
- Accounts · 756 to 795Jul 1, 2022 to Mar 30, 2023
- HNW clients · 26 to 31Jul 1, 2022 to Mar 30, 2023
- Individual clients · 286 to 284Jul 1, 2022 to Mar 30, 2023
- Discretionary RAUM · $106M to $104MJul 1, 2022 to Mar 30, 2023
- HNW RAUM · $45.9M to $59.8MJul 1, 2022 to Mar 30, 2023
- Individual RAUM · $67.5M to $50.0MJul 1, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $7.3M to $6.2MJul 1, 2022 to Mar 30, 2023
- RAUM · $114M to $110MJul 1, 2022 to Mar 30, 2023
- Accounts · 586 to 756Jun 26, 2012 to Jun 30, 2022
- Advisory employees · unset to 3.0Jun 26, 2012 to Jun 30, 2022
- Advisory activities · 3 to 4Jun 26, 2012 to Jun 30, 2022
- BD registered reps · unset to 3.0Jun 26, 2012 to Jun 30, 2022
Signals
1 dated events
- ••• LockedJun 30, 2022 · 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
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Apr 1, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Apr 1, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 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
- $38.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026