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••••• M•••••••••

Former SEC-registered adviserColleyville, TexasCRD 143513SEC 801-68837IAPD
Legal name S•••••• F•••••••• G••••• L••
Latest filing Aug 3, 2023
First filing on the tape Mar 5, 2012 · 22 filings
RAUM
$531M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$531M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$531M as of Feb 21, 2023
Mar 5, 2012$108M then
HNW client RAUM$448M as of Feb 21, 2023
Mar 6, 2018$221M then
State-registered IARs (5.B.3)5 as of Feb 21, 2023
Mar 5, 20120 then
Employees (5.A)7 as of Feb 21, 2023
Mar 28, 20133 then
Private funds: no history
RAUM +4.7% over the last fiscal year+14% a year over threeIARs 7 to 5
Practice profile
derived from the filing of Aug 3, 2023; every figure names its basis
RAUM per advisor
$106MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
67derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$1.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+4.7%derivedbetween the last two annual amendments
Advisor growth, one year
-29%derivedItem 5.B.3 between annual amendments
Client growth, one year
+8.4%derived
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$448M84%
  • Individuals$82.8M16%
Individual clients
166reported
HNW clients
171reported
Pension plan clients
5reported
Charitable clients
n/areported
Accounts
337reported
Financial planning clients
251-500reported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H••••••• V••••••• E••••• · Member/Chief Compliance Officercontrol
      since 03/2007 · owns less than 5%
    • S••••••• D•••••• C••• · Membercontrol
      since 03/2007 · owns less than 5%
    • H••••••• V••••••• E••••• · Ownercontrol
      since 03/2007 · owns 25% to 50% of H•••••• F•••••••• G••••• I•••
    • S••••••• D•••••• C••• · Ownercontrol
      since 03/2007 · owns 25% to 50% of H•••••• F•••••••• G••••• I•••
    • M•••••••• J•••••• D•••• · Partner And Investment Advisor
      since 01/2020 · owns less than 5%
    • H••••••• K••••••• · Owner
      since 03/2007 · owns 25% to 50% of H•••••• F•••••••• G••••• I•••
    • S••••••• W••••• J• · Owner
      since 03/2007 · owns 25% to 50% of H•••••• F•••••••• G••••• I•••
    Entity owners
    • D• S•••••• I••• · Owner
      direct · owns less than 5%
    • H•••••• F•••••••• G••••• I••• · Owner
      direct · owns less than 5%
    • M••••• G••••• A••••••• I••• · Parent Company
      direct · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Colleyville, Tx · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 1,104 to 337
      Mar 22, 2022 to Feb 21, 2023
    • Advisory employees · 6 to 5
      Mar 22, 2022 to Feb 21, 2023
    • HNW clients · 158 to 171
      Mar 22, 2022 to Feb 21, 2023
    • Individual clients · 153 to 166
      Mar 22, 2022 to Feb 21, 2023
    • Employees · 9 to 7
      Mar 22, 2022 to Feb 21, 2023
    • State-registered IARs · 7 to 5
      Mar 22, 2022 to Feb 21, 2023
    • Discretionary RAUM · $507M to $531M
      Mar 22, 2022 to Feb 21, 2023
    • HNW RAUM · $438M to $448M
      Mar 22, 2022 to Feb 21, 2023
    • Individual RAUM · $69.3M to $82.8M
      Mar 22, 2022 to Feb 21, 2023
    • RAUM · $507M to $531M
      Mar 22, 2022 to Feb 21, 2023
    • Accounts · 834 to 1,104
      Jun 23, 2021 to Mar 22, 2022
    • Advisory employees · 5 to 6
      Jun 23, 2021 to Mar 22, 2022
    • HNW clients · 138 to 158
      Jun 23, 2021 to Mar 22, 2022
    • Individual clients · 138 to 153
      Jun 23, 2021 to Mar 22, 2022
    • Pension plan clients · unset to 5.0
      Jun 23, 2021 to Mar 22, 2022
    • Employees · 6 to 9
      Jun 23, 2021 to Mar 22, 2022
    • State-registered IARs · 5 to 7
      Jun 23, 2021 to Mar 22, 2022
    • Discretionary RAUM · $408M to $507M
      Jun 23, 2021 to Mar 22, 2022
    • HNW RAUM · $344M to $438M
      Jun 23, 2021 to Mar 22, 2022
    • Individual RAUM · $64.1M to $69.3M
      Jun 23, 2021 to Mar 22, 2022
    • RAUM · $408M to $507M
      Jun 23, 2021 to Mar 22, 2022
    • Accounts · 771 to 834
      Jun 15, 2020 to Mar 9, 2021
    • Advisory employees · 4 to 5
      Jun 15, 2020 to Mar 9, 2021
    • HNW clients · 117 to 138
      Jun 15, 2020 to Mar 9, 2021
    • Individual clients · 150 to 138
      Jun 15, 2020 to Mar 9, 2021
    • State-registered IARs · 4 to 5
      Jun 15, 2020 to Mar 9, 2021
    • Discretionary RAUM · $363M to $408M
      Jun 15, 2020 to Mar 9, 2021
    • HNW RAUM · $295M to $344M
      Jun 15, 2020 to Mar 9, 2021
    • Individual RAUM · $67.8M to $64.1M
      Jun 15, 2020 to Mar 9, 2021
    • RAUM · $363M to $408M
      Jun 15, 2020 to Mar 9, 2021
    • Accounts · 702 to 771
      May 10, 2019 to Mar 3, 2020
    • HNW clients · 98 to 117
      May 10, 2019 to Mar 3, 2020
    • Individual clients · 164 to 150
      May 10, 2019 to Mar 3, 2020
    • Employees · 5 to 6
      May 10, 2019 to Mar 3, 2020
    • Discretionary RAUM · $312M to $363M
      May 10, 2019 to Mar 3, 2020
    • HNW RAUM · $240M to $295M
      May 10, 2019 to Mar 3, 2020
    • Individual RAUM · $71.7M to $67.8M
      May 10, 2019 to Mar 3, 2020
    • RAUM · $312M to $363M
      May 10, 2019 to Mar 3, 2020
    • Accounts · 262 to 702
      Feb 25, 2019 to Apr 17, 2019
    • Accounts · 640 to 262
      Mar 6, 2018 to Feb 25, 2019
    Signals
    7 dated events
    • D••••• C••• S•••••• left S•••••• W••••• M••••••••• for M••••• G••••• A••••••• I••• (registered 2023-08-11)
      Oct 31, 2023 · Advisor changed firm · fact
    • B•••• D••••••• M•••••• left S•••••• W••••• M••••••••• for M••••• G••••• A••••••• I••• (registered 2024-09-13)
      Oct 31, 2023 · Advisor changed firm · fact
    • J••••• D•••• M••••••• left S•••••• W••••• M••••••••• for M••••• G••••• A••••••• I••• (registered 2023-08-14)
      Oct 31, 2023 · Advisor changed firm · fact
    • V•••••• E••••• H•••••• left S•••••• W••••• M••••••••• for M••••• G••••• A••••••• I••• (registered 2023-08-17)
      Oct 31, 2023 · Advisor changed firm · fact
    • R••• B••••••• M••••• left S•••••• W••••• M••••••••• for M••••• G••••• A••••••• I••• (registered 2023-08-11)
      Oct 31, 2023 · Advisor changed firm · fact
    • S•••••• W••••• M•••••••••'s advisors moved to M••••• G••••• A••••••• I••• (Colleyville, TX): 5 of 5 registered, on the same day
      Oct 31, 2023 · Firm absorbed (people side) · derived
    • S••••• A••• E•••• left S•••••• W••••• M••••••••• for C••••••••• W••••• M••••••••• (registered 2025-11-04)
      Aug 3, 2023 · 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.
    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