DFX Intelligence
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SEC-registered adviser
S•••••••• W••••• M•••••••••
Legal name S••••••••• M••••••• H•••
Latest filing Mar 20, 2026
First filing on the tape Feb 11, 2024 · 5 filings
SEC status approved since Mar 12, 2024
RAUM
$150M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$150M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$150M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$150M as of Mar 20, 2026
Mar 20, 2025$136M then
HNW client RAUM$149M as of Mar 20, 2026
Mar 20, 2025$136M then
State-registered IARs (5.B.3)0 as of Mar 20, 2026
Mar 20, 20250 then
Employees (5.A)1 as of Mar 20, 2026
Mar 20, 20251 then
Private funds: no history
RAUM +10% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $150MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $730,974derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$149M100%
- Individuals$648,7840.4%
- Individual clients
- 5reported
- HNW clients
- 32reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 205reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••••• H••• S••••••••Certified Financial Planner | Austin, Tx | Mar 24, 2025 | 28 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- M••••••• H••• S•••••••• from C•••••••• G••••• M•••••• I•••Mar 24, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• M•••••••• H••• · Principal & Chief Compliance Officercontrolsince 08/2007 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Palo Alto, CA1 employees
- Redwood Shores, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 218 to 205Nov 20, 2025 to Mar 20, 2026
- Individual clients · 3 to 5Nov 20, 2025 to Mar 20, 2026
- Discretionary RAUM · $136M to $150MNov 20, 2025 to Mar 20, 2026
- HNW RAUM · $136M to $149MNov 20, 2025 to Mar 20, 2026
- Individual RAUM · $529,443 to $648,784Nov 20, 2025 to Mar 20, 2026
- Pension RAUM · unset to 0.0Nov 20, 2025 to Mar 20, 2026
- RAUM · $136M to $150MNov 20, 2025 to Mar 20, 2026
- Succession · true to falseMay 21, 2025 to Nov 20, 2025
- Financial planning clients · 26-50 to 26-50Mar 20, 2025 to May 21, 2025
- Accounts · 209 to 218Feb 11, 2024 to Mar 20, 2025
- HNW clients · 29 to 32Feb 11, 2024 to Mar 20, 2025
- Individual clients · 7 to 3Feb 11, 2024 to Mar 20, 2025
- Assets in custody · $33.1M to $0Feb 11, 2024 to Mar 20, 2025
- Custody of client assets · true to falseFeb 11, 2024 to Mar 20, 2025
- HQ city · unset to Feb 11, 2024 to Mar 20, 2025
- HQ state · unset to Feb 11, 2024 to Mar 20, 2025
- Other offices · 2 to 0Feb 11, 2024 to Mar 20, 2025
- Discretionary RAUM · $127M to $136MFeb 11, 2024 to Mar 20, 2025
- HNW RAUM · $124M to $136MFeb 11, 2024 to Mar 20, 2025
- Individual RAUM · $3.8M to $529,443Feb 11, 2024 to Mar 20, 2025
- RAUM · $127M to $136MFeb 11, 2024 to Mar 20, 2025
- Succession · false to trueFeb 11, 2024 to Mar 20, 2025
Signals
2 dated events
- ••• LockedMar 20, 2025 · Succession (Item 4) · fact
- ••• LockedFeb 11, 2024 · 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.
How to reach
public business contact points only, each with its source
- Business email
- i•••@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 650-257-0615reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 888-444-9981reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S••••••••WEALTH.COMreportedpublic record, Form ADV, Mar 20, 2026
- Principal office phone
- 888-444-9981reportedpublic record, Form ADV, Mar 20, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $150Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026