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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
S•••••••• W••••• A••••••• G••••
Legal name S•••••••• W••••• A••••••• G••••• I•••
Latest filing Jun 16, 2016
First filing on the tape Jan 3, 2012 · 43 filings
RAUM
$863M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
108
52 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$863M as of Aug 31, 2015
Aug 31, 2012$508M then
HNW client RAUM: no history
State-registered IARs (5.B.3)67 as of Aug 31, 2015
Aug 31, 20120 then
Employees (5.A)108 as of Aug 31, 2015
Aug 30, 201364 then
Private funds: no history
RAUM +41% over the last fiscal year+19% a year over threeIARs 42 to 67
Practice profile
derived from the filing of Jun 16, 2016; every figure names its basis
- RAUM per advisor
- $12.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $174,890derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 13.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +41%derivedbetween the last two annual amendments
- Advisor growth, one year
- +60%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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)
- compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4,935reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- 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
Left, latest
- J••• B•••••• A••••••• to L•• F•••••••• L••Jul 21, 2016 · Other
- D•••• E••••• S••••• to A••••••••• S••••••••• C••••Jul 8, 2016 · Other
- S•••• A•••• V•• E••• to A••••••••• S••••••••• C••••Jul 8, 2016 · Other
- S••••• F•••••••• R•• to L•• F•••••••• L••Jul 8, 2016 · Other
- A••••• H••• S•••••••• to L•• F•••••••• L••Jul 8, 2016 · Other
- J••• T••••• M•••• to A••••••••• S••••••••• C••••Jul 7, 2016 · Other
- P••• S•••••• V•••• to A••••••••• S••••••••• C••••Jul 6, 2016 · Other
- K••• D•••••• K••••••• to C••• L••Mar 31, 2016 · Other
- N•••• E•••••••• L••••••••• to C••• L••Mar 31, 2016 · Other
- K•••••• V• C••••• to L•• F•••••••• L••Mar 16, 2016 · Other
- N••••• T•••• S•••• to I•••••• F•••••Oct 6, 2014 · Other
- B•••••• H••••• to A••••••••• S••••••••• C••••Feb 14, 2014 · Other
- S•••• Y•••••• H•••• to L•• F•••••••• L••Jan 7, 2013 · Other
- M•••••• C••••••••• C••••••• to C•••• I••••••••• S••••••• C••••May 24, 2012 · Other
- S•••• M• W••••••••• to W••••••• C••••••• I•••Feb 27, 2012 · Other
Joined, latest
- D••••• K••• O•• from C••••• A••••••• L••May 12, 2016 · Other
- J••••• A• G••• from C••••• A••••••• L••May 12, 2016 · Other
- C••••••••• M•••••• J•••••• from C••••• A•••••• N••••••• L••May 6, 2016 · Other
- S••••• B•••••• A•••••••• from C••••• A•••••• N••••••• L••May 6, 2016 · Other
- L••••• L• from L•• F•••••••• L••Apr 22, 2016 · Other
- K•••••• J••••• W•••• from E••••• J••••Apr 8, 2016 · Other
- J•••••• L•••••• M• C•••• from A••••••••• F•••••••• S•••••••• L••Apr 6, 2016 · Other
- S•••• E• G••••• from L•• F•••••••• L••Mar 3, 2016 · Other
- J••••••• D••••• H•••• from L•• F•••••••• L••Mar 2, 2016 · Other
- G•••••• R••••••• V•• K••••••• from R•• C•••••• M••••••• L••Jan 11, 2016 · Other
- N••••• A•••• from S•••••••• A••••••• L••Jan 8, 2016 · Other
- B•••••• P••• S•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 5, 2016 · Other
- D••• A••••• H••••••••• from L•• F•••••••• L••Dec 23, 2015 · Other
- M••• E••••• I•••••••• from M•• F•••••••• S•••••••• I•••Nov 25, 2015 · Other
- M•••••• R••••• Z••• from W•••• F•••• A•••••••Nov 24, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for L•• F•••••••• L••Jul 8, 2016 · Rocklin, Ca
- 3 left for A••••••••• S••••••••• C••••Jul 7, 2016 · Sacramento, Ca
- 2 left for C••• L••Mar 31, 2016 · San Mateo, Ca
- 2 joined from L•• F•••••••• L••Sep 7, 2016 · Monterey, Ca
- 2 joined from C••••• A••••••• L••May 13, 2016 · W••••••, Ca
- 2 joined from C••••• A•••••• N••••••• L••May 6, 2016 · Berkeley, Ca
- 2 joined from D••• D••••••• • C••Oct 1, 2015 · W•••Lake Village, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••••• J••••• W•••••• · Chairmancontrolsince 05/2006 · owns 75% or more
- M••••••• C••••••••• F•••••• · Chief Investment Strategistcontrolsince 08/2014 · owns less than 5%
- O•••• J•••••• L•••• · Chief Investment Officercontrolsince 07/2014 · owns less than 5%
- R••••••• R•••••••• A••• · Chief Compliance Officercontrolsince 01/2012 · owns less than 5%
- S••••••••• D•••• A•••••••• · Chief Executive Officercontrolsince 08/2015 · owns less than 5%
Related persons
Schedule D 7.A
- A••••• E• V••••• J•y
- C•••••••• M•••insurancey
- F•••• D••••••real estatey
- J•••••• S••••investment companyy
- J••• C••••••••real estatey
- K•••• S•••••••••investment companyy
- P••• V••••real estatey
- S••••••• M•••••••real estatey
Offices
Schedule D 1.F, the 25 largest
- Denver, CO
- Napa, CA
- Sacramento, CA
- San Jose, CA
What changed
consecutive filings, newest first
- Accounts · 4,115 to 4,935Aug 11, 2015 to Aug 31, 2015
- Advisory employees · 33 to 52Aug 11, 2015 to Aug 31, 2015
- BD registered reps · 51 to 74Aug 11, 2015 to Aug 31, 2015
- Employees · 58 to 108Aug 11, 2015 to Aug 31, 2015
- Insurance-licensed employees · 15 to 7Aug 11, 2015 to Aug 31, 2015
- State-registered IARs · 33 to 67Aug 11, 2015 to Aug 31, 2015
- Discretionary RAUM · $568M to $814MAug 11, 2015 to Aug 31, 2015
- Non-discretionary RAUM · $44.0M to $49.0MAug 11, 2015 to Aug 31, 2015
- RAUM · $612M to $863MAug 11, 2015 to Aug 31, 2015
- State-registered IARs · 42 to 33Sep 11, 2014 to Oct 14, 2014
- Accounts · 3,722 to 4,115Jul 22, 2014 to Sep 2, 2014
- Advisory employees · 29 to 33Jul 22, 2014 to Sep 2, 2014
- BD registered reps · 45 to 51Jul 22, 2014 to Sep 2, 2014
- Employees · 64 to 58Jul 22, 2014 to Sep 2, 2014
- Insurance-licensed employees · 9 to 15Jul 22, 2014 to Sep 2, 2014
- State-registered IARs · 32 to 42Jul 22, 2014 to Sep 2, 2014
- Discretionary RAUM · $503M to $568MJul 22, 2014 to Sep 2, 2014
- Non-discretionary RAUM · $58.0M to $44.0MJul 22, 2014 to Sep 2, 2014
- RAUM · $561M to $612MJul 22, 2014 to Sep 2, 2014
- Related insurance company · false to trueJul 22, 2014 to Sep 2, 2014
- Advisory activities · 4 to 5Sep 5, 2013 to Dec 10, 2013
- Accounts · 3,834 to 3,722Aug 1, 2013 to Aug 30, 2013
- BD registered reps · 48 to 45Aug 1, 2013 to Aug 30, 2013
- Employees · 62 to 64Aug 1, 2013 to Aug 30, 2013
- Insurance-licensed employees · 7 to 9Aug 1, 2013 to Aug 30, 2013
- State-registered IARs · 10 to 32Aug 1, 2013 to Aug 30, 2013
- Discretionary RAUM · $423M to $503MAug 1, 2013 to Aug 30, 2013
- Non-discretionary RAUM · $84.4M to $58.0MAug 1, 2013 to Aug 30, 2013
- RAUM · $508M to $561MAug 1, 2013 to Aug 30, 2013
- Advisory employees · 0 to 29Oct 1, 2012 to Mar 14, 2013
- BD registered reps · unset to 48.0Oct 1, 2012 to Mar 14, 2013
- Employees · unset to 62.0Oct 1, 2012 to Mar 14, 2013
- State-registered IARs · 0 to 10Oct 1, 2012 to Mar 14, 2013
- Accounts · 2,152 to 3,834Aug 1, 2012 to Aug 31, 2012
- Insurance-licensed employees · 1 to 7Aug 1, 2012 to Aug 31, 2012
- Financial planning clients · 51-100 to 26-50Aug 1, 2012 to Aug 31, 2012
- Discretionary RAUM · $402M to $423MAug 1, 2012 to Aug 31, 2012
- Non-discretionary RAUM · $61.1M to $84.4MAug 1, 2012 to Aug 31, 2012
- RAUM · $463M to $508MAug 1, 2012 to Aug 31, 2012
Signals
No event on the tape.
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