DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

S••••• N••••• W••••• M••••••••• L••

Former SEC-registered adviserReno, NevadaCRD 145304SEC 801-74439IAPD

Latest filing Jul 22, 2021

First filing on the tape Feb 27, 2012 · 26 filings

RAUM

$38.2M

reported, Item 5.F

Discretionary

49%

of RAUM

Private clients

81%

$31.1M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$38.2M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

26 filings and snapshots on the tape

RAUM$38.2M as of Mar 24, 2021

Mar 19, 2013$143M then

HNW client RAUM$14.0M as of Mar 24, 2021

Mar 26, 2018$58.6M then

State-registered IARs (5.B.3)1 as of Mar 24, 2021

Mar 19, 20134 then

Employees (5.A)1 as of Mar 24, 2021

Mar 19, 20134 then

Private funds: no history

RAUM -69% over the last fiscal year-27% a year over threeIARs 1 to 2

Practice profile

derived from the filing of Jul 22, 2021; every figure names its basis

RAUM per advisor: $38.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 154derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.7MderivedHNW RAUM over HNW clients
Average account: $243,443derivedRAUM over accounts (5.F.2.f)
Discretionary: 49%derivedof RAUM
Institutional: 19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: -69%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -66%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 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

Individuals$17.1M45%
High-net-worth individuals$14.0M37%
Pension and profit-sharing plans$7.1M19%

Individual clients: 146reported
HNW clients: 8reported
Pension plan clients: 3reported
Charitable clients: 0reported
Accounts: 157reported
Financial planning clients: n/areported
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

1 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
G•••••• E•••• C•••••••Certified Financial Planner	Dayton, Nv	Feb 3, 2026	29 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

M•••••• J••••• P••••• to R••••••••• C•••••• M•••••••••
Jan 18, 2022 · RIA to affiliated broker-dealer or bank

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C•••••••• G••••••• E•••• · President/Chief Compliance Officercontrol
since 11/2007 · owns 50% to 75%
B••••• P•••••• W••••• · Managing Partner
since 12/2011 · owns 10% to 25%

Related persons

Schedule D 7.A

G•••••• C•••••••
y
P••••• B••••
y

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 1 to 2
Mar 26, 2021 to Apr 23, 2021
Advisory activities · 4 to 3
Mar 26, 2021 to Apr 23, 2021
Employees · 1 to 2
Mar 26, 2021 to Apr 23, 2021
State-registered IARs · 1 to 2
Mar 26, 2021 to Apr 23, 2021
Accounts · 456 to 157
Mar 23, 2021 to Mar 24, 2021
HNW clients · 23 to 8
Mar 23, 2021 to Mar 24, 2021
Individual clients · 433 to 146
Mar 23, 2021 to Mar 24, 2021
Pension plan clients · 2 to 3
Mar 23, 2021 to Mar 24, 2021
Discretionary RAUM · $112M to $18.5M
Mar 23, 2021 to Mar 24, 2021
HNW RAUM · $55.3M to $14.0M
Mar 23, 2021 to Mar 24, 2021
Individual RAUM · $62.2M to $17.1M
Mar 23, 2021 to Mar 24, 2021
Non-discretionary RAUM · $10.2M to $19.7M
Mar 23, 2021 to Mar 24, 2021
Pension RAUM · $4.6M to $7.1M
Mar 23, 2021 to Mar 24, 2021
RAUM · $122M to $38.2M
Mar 23, 2021 to Mar 24, 2021
Accounts · 433 to 456
Mar 22, 2019 to Mar 30, 2020
Charity clients · 3 to 0
Mar 22, 2019 to Mar 30, 2020
HNW clients · 24 to 23
Mar 22, 2019 to Mar 30, 2020
Individual clients · 406 to 433
Mar 22, 2019 to Mar 30, 2020
Pension plan clients · 0 to 2
Mar 22, 2019 to Mar 30, 2020
Discretionary RAUM · $87.4M to $112M
Mar 22, 2019 to Mar 30, 2020
HNW RAUM · $49.2M to $55.3M
Mar 22, 2019 to Mar 30, 2020
Individual RAUM · $44.1M to $62.2M
Mar 22, 2019 to Mar 30, 2020
Non-discretionary RAUM · $8.0M to $10.2M
Mar 22, 2019 to Mar 30, 2020
Pension RAUM · $0 to $4.6M
Mar 22, 2019 to Mar 30, 2020
RAUM · $95.4M to $122M
Mar 22, 2019 to Mar 30, 2020
Accounts · 361 to 433
Mar 27, 2018 to Mar 22, 2019
Advisory activities · 5 to 4
Mar 27, 2018 to Mar 22, 2019
Charity clients · unset to 3.0
Mar 27, 2018 to Mar 22, 2019
Corporate clients · unset to 0.0
Mar 27, 2018 to Mar 22, 2019
HNW clients · 30 to 24
Mar 27, 2018 to Mar 22, 2019
Individual clients · 331 to 406
Mar 27, 2018 to Mar 22, 2019
Pension plan clients · unset to 0.0
Mar 27, 2018 to Mar 22, 2019
Pooled vehicle clients · unset to 0.0
Mar 27, 2018 to Mar 22, 2019
Financial planning clients · 1-10 to unset
Mar 27, 2018 to Mar 22, 2019
Discretionary RAUM · $87.8M to $87.4M
Mar 27, 2018 to Mar 22, 2019
HNW RAUM · $58.6M to $49.2M
Mar 27, 2018 to Mar 22, 2019
Individual RAUM · $38.1M to $44.1M
Mar 27, 2018 to Mar 22, 2019
Non-discretionary RAUM · $8.9M to $8.0M
Mar 27, 2018 to Mar 22, 2019
Pension RAUM · unset to 0.0
Mar 27, 2018 to Mar 22, 2019
Pooled vehicle RAUM · unset to 0.0
Mar 27, 2018 to Mar 22, 2019

Signals

4 dated events

M•••••• J••••• P••••• left S••••• N••••• W••••• M••••••••• L•• for R••••••••• C•••••• M••••••••• (registered 2023-10-17)
Jan 18, 2022 · Advisor changed firm · fact
James Louis Robinson (Managing Partner) no longer on Schedule A of S••••• N••••• W••••• M••••••••• L•• (listed 2021-07-19, absent 2021-07-22)
Jul 22, 2021 · Control person left · inference
James Louis Robinson (Managing Partner) appeared on Schedule A of S••••• N••••• W••••• M••••••••• L••
Apr 23, 2021 · Control person joined · fact
S••••• N••••• W••••• M••••••••• L•• reported RAUM $96.7M, down 85% from $644.5M (2017-05-17 to 2018-03-26)
Mar 26, 2018 · RAUM change · derived

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

Website: snwmllc.comreportedpublic record, Form ADV, Sep 21, 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: Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: $38.2Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026