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
S••••••• W••••• M••••••••• L••
Latest filing Sep 15, 2025
First filing on the tape Jun 28, 2018 · 17 filings
SEC status approved since Jul 30, 2018
RAUM
$270M
reported, Item 5.F
Discretionary
77%
of RAUM
Private clients
60%
$162M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$270M as of Sep 15, 2025
Mar 30, 2019$128M then
HNW client RAUM$94.3M as of Sep 15, 2025
Mar 30, 2019$50.0M then
State-registered IARs (5.B.3)3 as of Sep 15, 2025
Mar 30, 20193 then
Employees (5.A)3 as of Sep 15, 2025
Mar 30, 20193 then
Private funds: no history
RAUM +15% over the last fiscal year+14% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Sep 15, 2025; every figure names its basis
- RAUM per advisor
- $89.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 97derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $533,748derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 77%derivedof RAUM
- Institutional
- 40%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $163MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$94.3M35%
- Pension and profit-sharing plans$81.5M30%
- Individuals$67.3M25%
- Charitable organizations$26.3M9.7%
- Corporations and businesses$279,8550.1%
- Individual clients
- 247reported
- HNW clients
- 44reported
- Pension plan clients
- 90reported
- Charitable clients
- 9reported
- Accounts
- 505reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $163M sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
4 left, 0 joined in 12 months
net -4 in 12 months0 left in 90 days0 joined in 90 days5 left over 36 months
Left, latest
- B•• P••••• to I••••••••• F•••••••• G••••• L••Dec 31, 2025 · Other
- C••••• A•••••••• K••••••• to W••••• E••••••••• A••••••• S•••••••• L••Dec 31, 2025 · RIA to affiliated broker-dealer or bank
- D•••••• D•••• R••••• to E•••••••• W••••• M•••••••••Nov 3, 2025 · Other
- N••••• R••••• G••••• to J• W• C••• A•••••••• I•••Nov 3, 2025 · RIA to affiliated broker-dealer or bank
- J••••• M••••• R•••• to A•••• C•••• I••••••••• L••Jan 7, 2025 · RIA to RIA
- D••••• S• L•• to E•••••••• W••••• M•••••••••Mar 9, 2021 · Other
Joined, latest
- J••••• M••••• R•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 9, 2021 · Wirehouse to independent RIA
- D••••• S• L•• from R••••• B••• • C••• L••Jul 8, 2015 · Other
- D•••••• D•••• R••••• from I••••••••• F•••••••• G••••• L••Sep 2, 2014 · Other
- B•• P••••• from P•••••• P••• F••••••••• I•••Aug 25, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• B•••••••• R••• · President & Chief Compliance Officercontrolsince 05/2005 · owns 75% or more
Related persons
Schedule D 7.A
- P•••••••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Irvine, Ca · principal | 0 | 0 | 2 | ||
| Mission Viejo, Ca | 0 | 0 | 1 | ||
| Prescott, Az | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 1-10Jul 11, 2025 to Aug 14, 2025
- Wrap assets (manager) · unset to 0.0Jul 11, 2025 to Aug 14, 2025
- Wrap assets (sponsor) · unset to 163185507.0Jul 11, 2025 to Aug 14, 2025
- Accounts · 616 to 505Feb 16, 2024 to Mar 20, 2025
- Advisory employees · 4 to 3Feb 16, 2024 to Mar 20, 2025
- Business name · S••••••• C•••••• I••••••••• G••••• I••• to S••••••• W••••• M••••••••• L••Feb 16, 2024 to Mar 20, 2025
- Charity clients · 11 to 9Feb 16, 2024 to Mar 20, 2025
- Individual clients · 263 to 247Feb 16, 2024 to Mar 20, 2025
- Pension plan clients · 65 to 90Feb 16, 2024 to Mar 20, 2025
- Employees · 4 to 3Feb 16, 2024 to Mar 20, 2025
- State-registered IARs · 4 to 3Feb 16, 2024 to Mar 20, 2025
- Legal name · S••••••• C•••••• I••••••••• G••••• I••• to S••••••• W••••• M••••••••• L••Feb 16, 2024 to Mar 20, 2025
- Discretionary RAUM · $184M to $208MFeb 16, 2024 to Mar 20, 2025
- HNW RAUM · $88.7M to $94.3MFeb 16, 2024 to Mar 20, 2025
- Individual RAUM · $82.3M to $67.3MFeb 16, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $49.9M to $61.5MFeb 16, 2024 to Mar 20, 2025
- Pension RAUM · $54.8M to $81.5MFeb 16, 2024 to Mar 20, 2025
- RAUM · $234M to $270MFeb 16, 2024 to Mar 20, 2025
- Accounts · 813 to 616Nov 30, 2023 to Feb 16, 2024
- Advisory employees · 3 to 4Nov 30, 2023 to Feb 16, 2024
- Charity clients · unset to 11.0Nov 30, 2023 to Feb 16, 2024
- HNW clients · 35 to 44Nov 30, 2023 to Feb 16, 2024
- Individual clients · 233 to 263Nov 30, 2023 to Feb 16, 2024
- Pension plan clients · 69 to 65Nov 30, 2023 to Feb 16, 2024
- Financial planning clients · 1-10 to 0Nov 30, 2023 to Feb 16, 2024
- State-registered IARs · 3 to 4Nov 30, 2023 to Feb 16, 2024
- Organization form · Corporation to Limited Liability CompanyNov 30, 2023 to Feb 16, 2024
- Discretionary RAUM · $134M to $184MNov 30, 2023 to Feb 16, 2024
- HNW RAUM · $73.4M to $88.7MNov 30, 2023 to Feb 16, 2024
- Individual RAUM · $49.0M to $82.3MNov 30, 2023 to Feb 16, 2024
- Non-discretionary RAUM · $38.7M to $49.9MNov 30, 2023 to Feb 16, 2024
- Pension RAUM · $49.6M to $54.8MNov 30, 2023 to Feb 16, 2024
- RAUM · $173M to $234MNov 30, 2023 to Feb 16, 2024
- Other offices · 0 to 1Mar 19, 2023 to Jul 20, 2023
- Accounts · 409 to 813Sep 19, 2022 to Mar 19, 2023
- Charity clients · 5.0 to unsetSep 19, 2022 to Mar 19, 2023
- HNW clients · 82 to 35Sep 19, 2022 to Mar 19, 2023
- Individual clients · 227 to 233Sep 19, 2022 to Mar 19, 2023
- Pension plan clients · 95 to 69Sep 19, 2022 to Mar 19, 2023
- Employees · 3 to 4Sep 19, 2022 to Mar 19, 2023
Signals
7 dated events
- S••••••• W••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $269.5M)Jan 2, 2026 · Left the SEC roster · derived
- B•• P••••• left S••••••• W••••• M••••••••• L•• for I••••••••• F•••••••• G••••• L•• (registered 2007-02-13)Dec 31, 2025 · Advisor changed firm · fact
- C••••• A•••••••• K••••••• left S••••••• W••••• M••••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2026-01-09)Dec 31, 2025 · Advisor changed firm · fact
- D•••••• D•••• R••••• left S••••••• W••••• M••••••••• L•• for E•••••••• W••••• M••••••••• (registered 2017-11-21)Nov 3, 2025 · Advisor changed firm · fact
- N••••• R••••• G••••• left S••••••• W••••• M••••••••• L•• for J• W• C••• A•••••••• I••• (registered 2025-11-03)Nov 3, 2025 · Advisor changed firm · fact
- J••••• M••••• R•••• left S••••••• W••••• M••••••••• L•• for A•••• C•••• I••••••••• L•• (registered 2025-01-06)Jan 7, 2025 · Advisor changed firm · fact
- S••••••• C•••••• I••••••••• G••••• I••• filed its initial SEC registration (Form ADV)Jun 28, 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