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•••• P••••••• W••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 28, 2012 · 29 filings
SEC status approved since Jul 23, 2004
RAUM
$1.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.5B individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$374M
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$1.5B as of Mar 31, 2026
Mar 28, 2012$213M then
HNW client RAUM$1.5B as of Mar 31, 2026
Mar 22, 2018$251M then
State-registered IARs (5.B.3)4 as of Mar 31, 2026
Mar 28, 20120 then
Employees (5.A)8 as of Mar 31, 2026
Mar 28, 20138 then
Private funds1 as of Mar 22, 2018
Mar 28, 20121 then
RAUM +262% over the last fiscal year+65% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- uhnw p•••••• wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $374MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $32.5MderivedHNW RAUM over HNW clients
- Average account
- $6.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +262%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- 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$1.5B100%
- Individual clients
- n/areported
- HNW clients
- 46reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 220reported
- Financial planning clients
- 26-50reported
- 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=true related_bank=false bd_reps=5.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••• K••••••• | Los Angeles, Ca | Nov 17, 2006 | 29 y | 1 |
| W•••••• B••••• W•••• | Los Angeles, Ca | Jan 30, 2014 | 25 y | 3 |
| E••• D• R••••••Chartered Financial Analyst | Los Angeles, Ca | Mar 22, 2018 | 20 y | 3 |
| A•••••••• K••••• | Los Angeles, Ca | Jan 25, 2024 | 16 y | 1 |
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 headcount1 left over 36 months
Left, latest
- M••••• E• A•••• to C•••••••Feb 7, 2025 · Other
- Z••••••• X• to M•••• • A••••••••• I•••Mar 6, 2019 · RIA to RIA
- D•••• A••• D••••• to B••• I••••••••• S•••••••• I•••Jun 3, 2016 · Other
- R•• C••• to J••• M••••• P•••••• W••••• A••••••• L••Sep 17, 2015 · Other
Joined, latest
- E••• D• R•••••• from C•••••••• G••••• M•••••• I•••Mar 22, 2018 · Affiliated broker-dealer or bank to independent RIA
- R•• C••• from G••••••••• P••••••• I••••••••• M••••••••• L••Jun 25, 2015 · Other
- W•••••• B••••• W•••• from M•••••• • A•••••••••Jan 30, 2014 · Other
- D•••• A••• D••••• from E•••••••• A•••••••• I•••Apr 20, 2010 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S• C•••••• F•••• L••no longer reported | Hedge Fund | $1.1M | 40 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D••••• J•••• H••••••• · Foundercontrolsince 04/2004 · owns less than 5%
- K•••••••• G•••• N•• · Coo, Ccocontrolsince 10/2006 · owns less than 5%
- P•••••• S••••••• M•••••• · Foundercontrolsince 04/2004 · owns less than 5%
- R••••••• E•••• D• · Ceo, Ciocontrolsince 02/2018 · owns less than 5%
- W••••• W••••••• B••••• · Presidentcontrolsince 05/2012 · owns less than 5%
- D••••• J•••• H••••••• · Trustee Of T•• D•••• F••••• T•••• 11/09/2004controlsince 04/2008 · owns F of S•••• P••••••• H•••••••• L••
- P•••••• S••••••• M•••••• · Trustee Of T•• B•••• P••••• T•••• 02/03/2005controlsince 04/2008 · owns F of S•••• P••••••• H•••••••• L••
- H•••••••• B••••••• D•••• · Class B Membersince 04/2008 · owns F of S•••• P••••••• H•••••••• L••
- K•••••••• G•••• N•• · Class C Membersince 02/2016 · owns F of S•••• P••••••• H•••••••• L••
- S••••• C••••• E••••• · Class C Membersince 02/2016 · owns F of S•••• P••••••• H•••••••• L••
Entity owners
- S•••• P••••••• H•••••••• L•• · Memberdirect · owns 75% or more
- T•• B•••• P••••• T•••• · Class A Memberindirect · owns 25% to 50% of S•••• P••••••• H•••••••• L••
- T•• D•••• F••••• T•••• · Class A Memberindirect · owns 25% to 50% of S•••• P••••••• H•••••••• L••
Related persons
Schedule D 7.A
- S•••• P•••••••• L••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Los Angeles, Ca · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Southlake, TX1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $413,344,561 to $1,497,133,263 (+262.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +17.0% (1298 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,298) · 99% percentile
- control person changedChange between filings · filing Mar 31, 2026W••••• W••••••• B••••• (PRESIDENT) left Schedule A between the filings of 2018-03-22 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 208 to 220Aug 4, 2025 to Mar 31, 2026
- Corporate clients · 1.0 to unsetAug 4, 2025 to Mar 31, 2026
- HNW clients · 41 to 46Aug 4, 2025 to Mar 31, 2026
- Discretionary RAUM · $413M to $1.5BAug 4, 2025 to Mar 31, 2026
- HNW RAUM · $412M to $1.5BAug 4, 2025 to Mar 31, 2026
- RAUM · $413M to $1.5BAug 4, 2025 to Mar 31, 2026
- Financial planning clients · 26-50 to 26-50Mar 31, 2025 to May 28, 2025
- Accounts · 189 to 208Jan 6, 2025 to Mar 31, 2025
- Corporate clients · unset to 1.0Jan 6, 2025 to Mar 31, 2025
- HNW clients · 37 to 41Jan 6, 2025 to Mar 31, 2025
- State-registered IARs · 5 to 4Jan 6, 2025 to Mar 31, 2025
- Discretionary RAUM · $360M to $413MJan 6, 2025 to Mar 31, 2025
- HNW RAUM · $360M to $412MJan 6, 2025 to Mar 31, 2025
- RAUM · $360M to $413MJan 6, 2025 to Mar 31, 2025
- Business name · S•••• P••••••• A••••••• L•• D•• S•••• P••••••• W••••• M••••••••• to S•••• P••••••• W••••• M••••••••• L••May 6, 2024 to Jan 6, 2025
- Legal name · S•••• PARTNERS ADVISORS, LLC to S•••• P••••••• W••••• M••••••••• L••Mar 21, 2024 to May 6, 2024
- Accounts · 195 to 189May 2, 2023 to Mar 21, 2024
- HNW clients · 38 to 37May 2, 2023 to Mar 21, 2024
- State-registered IARs · 4 to 5May 2, 2023 to Mar 21, 2024
- Other offices · 0 to 1May 2, 2023 to Mar 21, 2024
- Discretionary RAUM · $331M to $360MMay 2, 2023 to Mar 21, 2024
- HNW RAUM · $331M to $360MMay 2, 2023 to Mar 21, 2024
- RAUM · $331M to $360MMay 2, 2023 to Mar 21, 2024
- Accounts · 185 to 195Mar 29, 2022 to Mar 31, 2023
- Advisory activities · 1 to 2Mar 29, 2022 to Mar 31, 2023
- HNW clients · 44 to 38Mar 29, 2022 to Mar 31, 2023
- Employees · 7 to 8Mar 29, 2022 to Mar 31, 2023
- Financial planning clients · 0 to 26-50Mar 29, 2022 to Mar 31, 2023
- Discretionary RAUM · $334M to $331MMar 29, 2022 to Mar 31, 2023
- HNW RAUM · $333M to $331MMar 29, 2022 to Mar 31, 2023
- RAUM · $334M to $331MMar 29, 2022 to Mar 31, 2023
- Accounts · 139 to 185Mar 29, 2021 to Mar 29, 2022
- HNW clients · 30 to 44Mar 29, 2021 to Mar 29, 2022
- Discretionary RAUM · $282M to $334MMar 29, 2021 to Mar 29, 2022
- HNW RAUM · $281M to $333MMar 29, 2021 to Mar 29, 2022
- RAUM · $282M to $334MMar 29, 2021 to Mar 29, 2022
- Accounts · 140 to 139Apr 30, 2020 to Mar 29, 2021
- HNW clients · 28 to 30Apr 30, 2020 to Mar 29, 2021
- Individual clients · 2.0 to unsetApr 30, 2020 to Mar 29, 2021
- Discretionary RAUM · $295M to $282MApr 30, 2020 to Mar 29, 2021
Signals
2 dated events
- S•••• P••••••• W••••• M••••••••• L•• reported RAUM $1.5B, up 262% from $413.3M (2025-08-04 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- M••••• E• A•••• left S•••• P••••••• W••••• M••••••••• L•• for Captrust (registered 2026-03-10)Feb 7, 2025 · Advisor changed firm · 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 email
- info@salempartners.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 310-806-4200reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 817-410-1515reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-806-4200reportedpublic record, Form ADV, Mar 31, 2026
- Team page
- salempartners.com/teamreportedpublished 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
- $374Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026