DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S••••••••• W••••• M••••••••• L••
Latest filing Feb 4, 2026
First filing on the tape Mar 28, 2012 · 8 filings
SEC status approved since May 27, 2022
RAUM
$135M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$135M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$135M
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
8 filings and snapshots on the tape
RAUM$135M as of Feb 4, 2026
Mar 28, 2012$54.3M then
HNW client RAUM$124M as of Feb 4, 2026
Feb 13, 2023$105M then
State-registered IARs (5.B.3)1 as of Feb 4, 2026
Mar 28, 20120 then
Employees (5.A)1 as of Feb 4, 2026
Feb 13, 20231 then
Private funds: no history
RAUM +13% over the last fiscal year+5.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 4, 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
- $135MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM 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
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$124M92%
- Individuals$10.7M8.0%
- Individual clients
- 12reported
- HNW clients
- 28reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 127reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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 |
|---|---|---|---|---|
| K••••• J•••••••• D•••••• | Frisco, Tx | Apr 25, 2008 | 39 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
- K••••• J•••••••• D•••••• from S•••••••• A••••••• L••Apr 25, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• K•••••• J•••••••• · Managing Member & Chief Compliance Officercontrolsince 03/2008 · owns 75% or more
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
- Accounts · 123 to 127Jan 30, 2025 to Feb 4, 2026
- HNW clients · 29 to 28Jan 30, 2025 to Feb 4, 2026
- Individual clients · 11 to 12Jan 30, 2025 to Feb 4, 2026
- Discretionary RAUM · $119M to $135MJan 30, 2025 to Feb 4, 2026
- HNW RAUM · $110M to $124MJan 30, 2025 to Feb 4, 2026
- Individual RAUM · $9.3M to $10.7MJan 30, 2025 to Feb 4, 2026
- RAUM · $119M to $135MJan 30, 2025 to Feb 4, 2026
- Accounts · 121 to 123Jan 30, 2024 to Jan 30, 2025
- Financial planning clients · unset to Jan 30, 2024 to Jan 30, 2025
- Discretionary RAUM · $118M to $119MJan 30, 2024 to Jan 30, 2025
- HNW RAUM · $108M to $110MJan 30, 2024 to Jan 30, 2025
- Individual RAUM · $9.3M to $9.3MJan 30, 2024 to Jan 30, 2025
- RAUM · $118M to $119MJan 30, 2024 to Jan 30, 2025
- Accounts · 123 to 121Nov 3, 2023 to Jan 30, 2024
- Discretionary RAUM · $113M to $118MNov 3, 2023 to Jan 30, 2024
- HNW RAUM · $105M to $108MNov 3, 2023 to Jan 30, 2024
- Individual RAUM · $7.9M to $9.3MNov 3, 2023 to Jan 30, 2024
- RAUM · $113M to $118MNov 3, 2023 to Jan 30, 2024
- Accounts · 121 to 123Apr 27, 2022 to Feb 13, 2023
- HNW clients · 30 to 29Apr 27, 2022 to Feb 13, 2023
- Individual clients · 12 to 11Apr 27, 2022 to Feb 13, 2023
- Discretionary RAUM · $118M to $113MApr 27, 2022 to Feb 13, 2023
- HNW RAUM · $110M to $105MApr 27, 2022 to Feb 13, 2023
- Individual RAUM · $8.2M to $7.9MApr 27, 2022 to Feb 13, 2023
- RAUM · $118M to $113MApr 27, 2022 to Feb 13, 2023
- Accounts · 73 to 121Mar 28, 2012 to Apr 27, 2022
- Advisory employees · unset to 1.0Mar 28, 2012 to Apr 27, 2022
- Advisory activities · 4 to 2Mar 28, 2012 to Apr 27, 2022
- Charity clients · unset to 0.0Mar 28, 2012 to Apr 27, 2022
- Corporate clients · unset to 0.0Mar 28, 2012 to Apr 27, 2022
- HNW clients · unset to 30.0Mar 28, 2012 to Apr 27, 2022
- Individual clients · unset to 12.0Mar 28, 2012 to Apr 27, 2022
- Pension plan clients · unset to 0.0Mar 28, 2012 to Apr 27, 2022
- Pooled vehicle clients · unset to 0.0Mar 28, 2012 to Apr 27, 2022
- Employees · unset to 1.0Mar 28, 2012 to Apr 27, 2022
- HQ city · PLANO to FRISCOMar 28, 2012 to Apr 27, 2022
- State-registered IARs · 0 to 1Mar 28, 2012 to Apr 27, 2022
- Other offices · unset to 0.0Mar 28, 2012 to Apr 27, 2022
- Discretionary RAUM · $54.3M to $118MMar 28, 2012 to Apr 27, 2022
- HNW RAUM · unset to 109898176.0Mar 28, 2012 to Apr 27, 2022
Signals
1 dated events
- S••••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 27, 2022 · 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 phone
- 972-418-2946reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S•••••••••WEALTH.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 972-418-2946reportedpublic record, Form ADV, Feb 4, 2026
- Contact form
- s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $135Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026