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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Former SEC-registered adviser
D•• S•••• W••••• M•••••••••
Legal name S•••• A•••• M••••••••• I•••
Latest filing Mar 21, 2023
First filing on the tape Jun 29, 2017 · 17 filings
RAUM
$269M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
100%
$269M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$269M as of Mar 21, 2023
Mar 27, 2018$161M then
HNW client RAUM$194M as of Mar 21, 2023
Mar 27, 2018$95.2M then
State-registered IARs (5.B.3)2 as of Mar 21, 2023
Mar 27, 20183 then
Employees (5.A)6 as of Mar 21, 2023
Mar 27, 20185 then
Private funds: no history
RAUM -14% over the last fiscal year+10.0% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Mar 21, 2023; every figure names its basis
- RAUM per advisor
- $135MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 100derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $361,504derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -14%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Custody
- $3.0M, 1 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$194M72%
- Individuals$75.0M28%
- Individual clients
- 130reported
- HNW clients
- 70reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 745reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.0M for 1 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- A•••••• J••• T•••• to A•••••• W••••• S••••••••Oct 9, 2023 · RIA to RIA
- W•••••• M••••• S•••• to A•••••• W••••• S••••••••Oct 9, 2023 · RIA to RIA
- K•••• J•••••• S••••• to B•••• B••• F••••••••• L••Dec 15, 2022 · RIA to RIA
- A•••••••• J••••• G••••• to H•• I••••••••• P•••••••• L••Jun 7, 2021 · Other
Joined, latest
- A•••••••• J••••• G••••• from W••••• A•••••••• P•••••••• L••Jul 3, 2018 · Other
- K•••• J•••••• S••••• from T•••••••• I••••••••• M••••••••• I••Oct 7, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for A•••••• W••••• S••••••••Oct 9, 2023 · Austin, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• B•••••••• A•• · Chief Compliance Officercontrolsince 10/2018 · owns less than 5%
- S••••• W••••••• M••••• · Presidentcontrolsince 06/2004 · 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 |
|---|---|---|---|---|---|
| Austin, Tx · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 735 to 745Jul 27, 2022 to Mar 21, 2023
- Advisory employees · 3 to 2Jul 27, 2022 to Mar 21, 2023
- HNW clients · 71 to 70Jul 27, 2022 to Mar 21, 2023
- Individual clients · 129 to 130Jul 27, 2022 to Mar 21, 2023
- Assets in custody · $4.3M to $3.0MJul 27, 2022 to Mar 21, 2023
- State-registered IARs · 3 to 2Jul 27, 2022 to Mar 21, 2023
- Discretionary RAUM · $307M to $259MJul 27, 2022 to Mar 21, 2023
- HNW RAUM · $236M to $194MJul 27, 2022 to Mar 21, 2023
- Individual RAUM · $75.5M to $75.0MJul 27, 2022 to Mar 21, 2023
- Non-discretionary RAUM · $4.6M to $10.6MJul 27, 2022 to Mar 21, 2023
- RAUM · $311M to $269MJul 27, 2022 to Mar 21, 2023
- Accounts · 227 to 735Mar 24, 2021 to Feb 11, 2022
- Advisory employees · 4 to 3Mar 24, 2021 to Feb 11, 2022
- Advisory activities · 2 to 3Mar 24, 2021 to Feb 11, 2022
- HNW clients · 64 to 71Mar 24, 2021 to Feb 11, 2022
- Individual clients · 163 to 129Mar 24, 2021 to Feb 11, 2022
- Assets in custody · $3.1M to $4.3MMar 24, 2021 to Feb 11, 2022
- State-registered IARs · 4 to 3Mar 24, 2021 to Feb 11, 2022
- Discretionary RAUM · $242M to $307MMar 24, 2021 to Feb 11, 2022
- HNW RAUM · $168M to $236MMar 24, 2021 to Feb 11, 2022
- Individual RAUM · $77.4M to $75.5MMar 24, 2021 to Feb 11, 2022
- Non-discretionary RAUM · $2.9M to $4.6MMar 24, 2021 to Feb 11, 2022
- RAUM · $245M to $311MMar 24, 2021 to Feb 11, 2022
- Accounts · 756 to 227Dec 8, 2020 to Mar 23, 2021
- Advisory employees · 3 to 4Dec 8, 2020 to Mar 23, 2021
- HNW clients · 49 to 64Dec 8, 2020 to Mar 23, 2021
- Individual clients · 132 to 163Dec 8, 2020 to Mar 23, 2021
- Assets in custody · $3.2M to $3.1MDec 8, 2020 to Mar 23, 2021
- Employees · 5 to 6Dec 8, 2020 to Mar 23, 2021
- Financial planning clients · 26-50 to 11-25Dec 8, 2020 to Mar 23, 2021
- State-registered IARs · 3 to 4Dec 8, 2020 to Mar 23, 2021
- Discretionary RAUM · $200M to $242MDec 8, 2020 to Mar 23, 2021
- HNW RAUM · $136M to $168MDec 8, 2020 to Mar 23, 2021
- Individual RAUM · $66.5M to $77.4MDec 8, 2020 to Mar 23, 2021
- Non-discretionary RAUM · $2.5M to $2.9MDec 8, 2020 to Mar 23, 2021
- RAUM · $203M to $245MDec 8, 2020 to Mar 23, 2021
- Business name · S•••• A•••• M••••••••• I••• to D•• S•••• W••••• M•••••••••Mar 23, 2020 to Apr 29, 2020
- Accounts · 588 to 756Jan 14, 2020 to Mar 23, 2020
- HNW clients · 38 to 49Jan 14, 2020 to Mar 23, 2020
- Individual clients · 129 to 132Jan 14, 2020 to Mar 23, 2020
Signals
5 dated events
- W•••••• M••••• S•••• left D•• S•••• W••••• M••••••••• for A•••••• W••••• S•••••••• (registered 2023-01-19)Oct 9, 2023 · Advisor changed firm · fact
- A•••••• J••• T•••• left D•• S•••• W••••• M••••••••• for A•••••• W••••• S•••••••• (registered 2023-01-18)Oct 9, 2023 · Advisor changed firm · fact
- 2 advisors left D•• S•••• W••••• M••••••••• (Austin, TX) for A•••••• W••••• S•••••••• on the same dayOct 9, 2023 · Team lift-out · derived
- K•••• J•••••• S••••• left D•• S•••• W••••• M••••••••• for B•••• B••• F••••••••• L•• (registered 2022-12-16)Dec 15, 2022 · Advisor changed firm · fact
- S•••• A•••• M••••••••• I••• filed its initial SEC registration (Form ADV)Jun 29, 2017 · 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026