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•• R••••••••• P••• A•••••••

Former SEC-registered adviserLafayette, CaliforniaCRD 146478SEC 801-69588IAPD
Legal name S••••••• L•••• W••••• L••
Latest filing Mar 23, 2016
First filing on the tape Dec 16, 2011 · 10 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$290M as of Jan 28, 2015
Mar 27, 2012$112M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2016
Mar 11, 20131 then
Employees (5.A)8 as of Mar 23, 2016
Mar 11, 20133 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 2016; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, 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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
n/areported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • L••••• W••••••• H•••• · Ownercontrol
    since 12/2011 · owns 25% to 50%
  • P•••••••• J••••• J••••• · Chief Compliance Officercontrol
    since 10/2007 · owns less than 5%
  • S•••••••• M••••••• M••••• · Ownercontrol
    since 10/2007 · owns 25% to 50%
  • W••••• N•••••• D•••• · Managing Principal, Membercontrol
    since 10/2007 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory employees · 3 to 2
    Dec 18, 2015 to Jan 20, 2016
  • BD registered reps · 5 to 4
    Dec 18, 2015 to Jan 20, 2016
  • Employees · 9 to 8
    Dec 18, 2015 to Jan 20, 2016
  • Accounts · 56.0 to unset
    May 12, 2015 to Dec 18, 2015
  • Discretionary RAUM · 0.0 to unset
    May 12, 2015 to Dec 18, 2015
  • Non-discretionary RAUM · 290000000.0 to unset
    May 12, 2015 to Dec 18, 2015
  • RAUM · 290000000.0 to unset
    May 12, 2015 to Dec 18, 2015
  • Accounts · 76 to 56
    Feb 19, 2014 to Jan 28, 2015
  • BD registered reps · 6 to 5
    Feb 19, 2014 to Jan 28, 2015
  • Employees · 10 to 9
    Feb 19, 2014 to Jan 28, 2015
  • Non-discretionary RAUM · $366M to $290M
    Feb 19, 2014 to Jan 28, 2015
  • RAUM · $366M to $290M
    Feb 19, 2014 to Jan 28, 2015
  • Accounts · 21 to 76
    Mar 11, 2013 to Feb 19, 2014
  • Advisory employees · 1 to 3
    Mar 11, 2013 to Feb 19, 2014
  • BD registered reps · 3 to 6
    Mar 11, 2013 to Feb 19, 2014
  • Business name · S•• F•••••••• S•••••••• L•• to S•• R••••••••• P••• A•••••••
    Mar 11, 2013 to Feb 19, 2014
  • Employees · 3 to 10
    Mar 11, 2013 to Feb 19, 2014
  • Financial planning clients · 11-25 to 51-100
    Mar 11, 2013 to Feb 19, 2014
  • State-registered IARs · 1 to 0
    Mar 11, 2013 to Feb 19, 2014
  • Non-discretionary RAUM · $105M to $366M
    Mar 11, 2013 to Feb 19, 2014
  • RAUM · $105M to $366M
    Mar 11, 2013 to Feb 19, 2014
  • Accounts · 12 to 21
    Jul 17, 2012 to Mar 11, 2013
  • Advisory employees · unset to 1.0
    Jul 17, 2012 to Mar 11, 2013
  • BD registered reps · unset to 3.0
    Jul 17, 2012 to Mar 11, 2013
  • Employees · unset to 3.0
    Jul 17, 2012 to Mar 11, 2013
  • State-registered IARs · unset to 1.0
    Jul 17, 2012 to Mar 11, 2013
  • Legal name · S•• F•••••••• S•••••••• L•• to S••••••• L•••• W••••, LLC
    Jul 17, 2012 to Mar 11, 2013
  • Non-discretionary RAUM · $112M to $105M
    Jul 17, 2012 to Mar 11, 2013
  • RAUM · $112M to $105M
    Jul 17, 2012 to Mar 11, 2013
  • Insurance-licensed employees · unset to 0.0
    Dec 16, 2011 to Mar 27, 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