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.
Former SEC-registered adviser
Swaimbrown Wealth Management LLC
Latest filing Mar 30, 2023
First filing on the tape Jun 26, 2018 · 16 filings
RAUM
$138M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
32%
$44.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$138M as of Mar 3, 2023
Mar 6, 2019$101M then
HNW client RAUM$36.7M as of Mar 3, 2023
Mar 6, 2019$24.9M then
State-registered IARs (5.B.3)2 as of Mar 3, 2023
Mar 6, 20192 then
Employees (5.A)2 as of Mar 3, 2023
Mar 6, 20192 then
Private funds: no history
RAUM -12% over the last fiscal year+2.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 2023; every figure names its basis
- RAUM per advisor
- $68.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $966,570derivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 68%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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
- Pension and profit-sharing plans$93.1M68%
- High-net-worth individuals$36.7M27%
- Individuals$7.8M5.7%
- Individual clients
- 43reported
- HNW clients
- 38reported
- Pension plan clients
- 12reported
- Charitable clients
- n/areported
- Accounts
- 93reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- David Franklin Ramage to Savant Wealth ManagementFeb 22, 2024 · RIA to RIA
- John Jay Peay to Savant Wealth ManagementFeb 22, 2024 · RIA to RIA
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Savant Wealth ManagementFeb 22, 2024 · Clinton, Sc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Jay J Peay · Managing Membercontrolsince 02/2000 · owns 75% or more
- Franklin David Ramage · Managing Director / Ccocontrolsince 02/2012 · owns less than 5%
Related persons
Schedule D 7.A
- Peay And Associates LLCinsurancen
- Upstate Insurance Consultants LLCreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Clinton, Sc · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Spartanburg, SC1 employees
What changed
consecutive filings, newest first
- Accounts · 167 to 93Mar 1, 2022 to Mar 3, 2023
- Individual clients · 38 to 43Mar 1, 2022 to Mar 3, 2023
- Pension plan clients · 10 to 12Mar 1, 2022 to Mar 3, 2023
- Discretionary RAUM · $157M to $138MMar 1, 2022 to Mar 3, 2023
- HNW RAUM · $47.3M to $36.7MMar 1, 2022 to Mar 3, 2023
- Individual RAUM · $8.0M to $7.8MMar 1, 2022 to Mar 3, 2023
- Pension RAUM · $101M to $93.1MMar 1, 2022 to Mar 3, 2023
- RAUM · $157M to $138MMar 1, 2022 to Mar 3, 2023
- Accounts · 87 to 167Feb 19, 2021 to Mar 1, 2022
- HNW clients · 36 to 38Feb 19, 2021 to Mar 1, 2022
- Pension plan clients · 11 to 10Feb 19, 2021 to Mar 1, 2022
- Discretionary RAUM · $143M to $157MFeb 19, 2021 to Mar 1, 2022
- HNW RAUM · $38.5M to $47.3MFeb 19, 2021 to Mar 1, 2022
- Individual RAUM · $7.1M to $8.0MFeb 19, 2021 to Mar 1, 2022
- Pension RAUM · $96.6M to $101MFeb 19, 2021 to Mar 1, 2022
- RAUM · $143M to $157MFeb 19, 2021 to Mar 1, 2022
- Accounts · 91 to 87Sep 14, 2020 to Feb 16, 2021
- HNW clients · 15 to 36Sep 14, 2020 to Feb 16, 2021
- Individual clients · 57 to 38Sep 14, 2020 to Feb 16, 2021
- Pension plan clients · 12 to 11Sep 14, 2020 to Feb 16, 2021
- Discretionary RAUM · $127M to $143MSep 14, 2020 to Feb 16, 2021
- HNW RAUM · $32.1M to $38.5MSep 14, 2020 to Feb 16, 2021
- Individual RAUM · $11.0M to $7.1MSep 14, 2020 to Feb 16, 2021
- Pension RAUM · $83.2M to $96.6MSep 14, 2020 to Feb 16, 2021
- RAUM · $127M to $143MSep 14, 2020 to Feb 16, 2021
- Accounts · 86 to 91Mar 11, 2019 to Jan 28, 2020
- Discretionary RAUM · $101M to $127MMar 11, 2019 to Jan 28, 2020
- HNW RAUM · $24.9M to $32.1MMar 11, 2019 to Jan 28, 2020
- Individual RAUM · $15.6M to $11.0MMar 11, 2019 to Jan 28, 2020
- Pension RAUM · $59.8M to $83.2MMar 11, 2019 to Jan 28, 2020
- RAUM · $101M to $127MMar 11, 2019 to Jan 28, 2020
- Accounts · 175 to 86Oct 1, 2018 to Mar 6, 2019
- Advisory employees · 3 to 2Oct 1, 2018 to Mar 6, 2019
- HNW clients · 17 to 15Oct 1, 2018 to Mar 6, 2019
- Individual clients · 66 to 57Oct 1, 2018 to Mar 6, 2019
- Pension plan clients · 11 to 12Oct 1, 2018 to Mar 6, 2019
- Employees · 4 to 2Oct 1, 2018 to Mar 6, 2019
- State-registered IARs · 3 to 2Oct 1, 2018 to Mar 6, 2019
- Discretionary RAUM · $101M to $101MOct 1, 2018 to Mar 6, 2019
- HNW RAUM · $25.2M to $24.9MOct 1, 2018 to Mar 6, 2019
Signals
5 dated events
- David Franklin Ramage left Swaimbrown Wealth Management Llc for Savant Wealth Management (registered 2023-12-07)Feb 22, 2024 · Advisor changed firm · fact
- John Jay Peay left Swaimbrown Wealth Management Llc for Savant Wealth Management (registered 2023-12-07)Feb 22, 2024 · Advisor changed firm · fact
- 2 advisors left Swaimbrown Wealth Management LLC (Clinton, SC) for Savant Wealth Management on the same dayFeb 22, 2024 · Team lift-out · derived
- Scott Keim (Member) no longer on Schedule A of Swaimbrown Wealth Management Llc (listed 2019-03-06, absent 2019-03-06)Mar 6, 2019 · Control person left · inference
- Swaimbrown Wealth Management Llc filed its initial SEC registration (Form ADV)Jun 26, 2018 · 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