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••••• W••••• M••••••••• S••••••••• L••
Latest filing Sep 25, 2023
First filing on the tape Feb 6, 2015 · 26 filings
RAUM
$71.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$71.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$71.5M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$71.5M as of Mar 30, 2023
Mar 28, 2016$185M then
HNW client RAUM$55.1M as of Mar 30, 2023
Mar 28, 2018$318M then
State-registered IARs (5.B.3)1 as of Mar 30, 2023
Mar 28, 20161 then
Employees (5.A)1 as of Mar 30, 2023
Mar 28, 20162 then
Private funds: no history
RAUM -50% over the last fiscal year-34% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Sep 25, 2023; every figure names its basis
- RAUM per advisor
- $71.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $324,848derivedRAUM 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
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -50%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $12.6M, 19 clientsreportedItem 9.A
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$55.1M77%
- Individuals$16.3M23%
- Individual clients
- 26reported
- HNW clients
- 28reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 220reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $12.6M for 19 clientsreported
- 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 |
|---|---|---|---|---|
| M•••••• R••••• V•••• | Magnolia, Tx | Sep 25, 2023 | 24 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•••••• R••••• V•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 25, 2023 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- V••••• M•••• R••••• · Managing Member, Wealth Advisor, Chief Compliance Officercontrolsince 04/2006 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Succession · true to falseMar 30, 2023 to Apr 20, 2023
- Accounts · 61 to 220Oct 13, 2022 to Mar 30, 2023
- HNW clients · 26 to 28Oct 13, 2022 to Mar 30, 2023
- Individual clients · 35 to 26Oct 13, 2022 to Mar 30, 2023
- Assets in custody · $11.2M to $12.6MOct 13, 2022 to Mar 30, 2023
- HQ city · MENLO PARK to unsetOct 13, 2022 to Mar 30, 2023
- HQ state · CA to unsetOct 13, 2022 to Mar 30, 2023
- Discretionary RAUM · $69.8M to $71.5MOct 13, 2022 to Mar 30, 2023
- HNW RAUM · $53.6M to $55.1MOct 13, 2022 to Mar 30, 2023
- Individual RAUM · $16.2M to $16.3MOct 13, 2022 to Mar 30, 2023
- RAUM · $69.8M to $71.5MOct 13, 2022 to Mar 30, 2023
- Succession · false to trueOct 13, 2022 to Mar 30, 2023
- Accounts · 56 to 61Aug 29, 2022 to Oct 13, 2022
- HNW clients · 55 to 26Aug 29, 2022 to Oct 13, 2022
- Individual clients · 3 to 35Aug 29, 2022 to Oct 13, 2022
- Assets in custody · unset to 11230324.0Aug 29, 2022 to Oct 13, 2022
- Custody of client assets · false to trueAug 29, 2022 to Oct 13, 2022
- Discretionary RAUM · $88.7M to $69.8MAug 29, 2022 to Oct 13, 2022
- HNW RAUM · $141M to $53.6MAug 29, 2022 to Oct 13, 2022
- Individual RAUM · $879,395 to $16.2MAug 29, 2022 to Oct 13, 2022
- Non-discretionary RAUM · $53.0M to $0Aug 29, 2022 to Oct 13, 2022
- RAUM · $142M to $69.8MAug 29, 2022 to Oct 13, 2022
- Accounts · 91 to 56Mar 8, 2021 to Jan 18, 2022
- Advisory employees · 2 to 1Mar 8, 2021 to Jan 18, 2022
- Corporate clients · 1.0 to unsetMar 8, 2021 to Jan 18, 2022
- HNW clients · 69 to 55Mar 8, 2021 to Jan 18, 2022
- Individual clients · 22 to 3Mar 8, 2021 to Jan 18, 2022
- Employees · 2 to 1Mar 8, 2021 to Jan 18, 2022
- State-registered IARs · 2 to 1Mar 8, 2021 to Jan 18, 2022
- Other offices · 2 to 1Mar 8, 2021 to Jan 18, 2022
- Discretionary RAUM · $276M to $88.7MMar 8, 2021 to Jan 18, 2022
- HNW RAUM · $296M to $141MMar 8, 2021 to Jan 18, 2022
- Individual RAUM · $18.9M to $879,395Mar 8, 2021 to Jan 18, 2022
- Non-discretionary RAUM · $39.4M to $53.0MMar 8, 2021 to Jan 18, 2022
- RAUM · $315M to $142MMar 8, 2021 to Jan 18, 2022
- Accounts · 99 to 91May 11, 2020 to Mar 8, 2021
- Charity clients · 0.0 to unsetMay 11, 2020 to Mar 8, 2021
- Corporate clients · 0 to 1May 11, 2020 to Mar 8, 2021
- HNW clients · 77 to 69May 11, 2020 to Mar 8, 2021
- Individual clients · 21 to 22May 11, 2020 to Mar 8, 2021
Signals
5 dated events
- S••••• W••••• M••••••••• S••••••••• L•• reported RAUM $141.7M, down 55% from $315.3M (2021-03-08 to 2022-01-18)Jan 18, 2022 · RAUM change · derived
- Wakefield Anne Atkinson (Member, Wealth Advisor) no longer on Schedule A of S••••• W••••• M••••••••• S••••••••• L•• (listed 2021-03-08, absent 2022-01-18)Jan 18, 2022 · Control person left · inference
- S••••• W••••• M••••••••• S••••••••• L•• reported RAUM $207.1M, down 43% from $360.9M (2018-11-07 to 2019-03-13)Mar 13, 2019 · RAUM change · derived
- S••••• W••••• M••••••••• S••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Nov 7, 2018 · Succession (Item 4) · fact
- S••••• W••••• M••••••••• S••••••••• L•• filed its initial SEC registration (Form ADV)Feb 6, 2015 · 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
- Website
- S•••••WM.COMreportedpublic record, Form ADV, Sep 19, 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
- $71.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026