DFX Intelligence
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P•••••••• W••••• S••••••••
Independent wealth manager, reporting $299M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $299M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +16%
- Private clients
- 100% of RAUM, $299M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $257MRAUM now $299M
- Contact points 2
Every filed figure, and the identifiersCRD 151570 · SEC 801-109977 · 24 filingsShowHide
CRD 151570SEC 801-109977Legal name P•••••••• W••••• S•••••••• I•••First filing on the tape Feb 3, 2017, latest Feb 9, 2026SEC status approved since Feb 15, 2017IAPD
RAUM
$299M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$299M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$299M
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
24 filings and snapshots on the tape
RAUM$299M as of Feb 9, 2026
Jan 2, 2018$141M then
HNW client RAUM$289M as of Feb 9, 2026
Jan 2, 2018$119M then
State-registered IARs (5.B.3)1 as of Feb 9, 2026
Jan 2, 20181 then
Employees (5.A)1 as of Feb 9, 2026
Jan 2, 20181 then
Private funds: no history
RAUM +16% over the last fiscal year+14% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 9, 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
- $299MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 107derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $651,142derivedRAUM 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
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $1.5M, 2 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$289M97%
- Individuals$10.3M3.4%
- Individual clients
- 30reported
- HNW clients
- 77reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 459reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.5M for 2 clientsreported
- 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 |
|---|---|---|---|---|
| S••• S••••••• M•••••••Certified Financial Planner | North Las Vegas, Nv | Feb 6, 2012 | 17 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• S•••• S••••••• · President & Chief Compliance Officer, And Chief Operating Officercontrolsince 09/2009 · 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 · 447 to 459Sep 12, 2025 to Feb 9, 2026
- HNW clients · 68 to 77Sep 12, 2025 to Feb 9, 2026
- Individual clients · 37 to 30Sep 12, 2025 to Feb 9, 2026
- Pension plan clients · unset to 2.0Sep 12, 2025 to Feb 9, 2026
- Assets in custody · $2.2M to $1.5MSep 12, 2025 to Feb 9, 2026
- Financial planning clients · 51-100 to 101-250Sep 12, 2025 to Feb 9, 2026
- Discretionary RAUM · $257M to $299MSep 12, 2025 to Feb 9, 2026
- HNW RAUM · $241M to $289MSep 12, 2025 to Feb 9, 2026
- Individual RAUM · $15.7M to $10.3MSep 12, 2025 to Feb 9, 2026
- RAUM · $257M to $299MSep 12, 2025 to Feb 9, 2026
- Assets in custody · unset to 2181313.0Feb 10, 2025 to Sep 12, 2025
- Custody of client assets · false to trueFeb 10, 2025 to Sep 12, 2025
- Accounts · 458 to 447Nov 18, 2024 to Feb 10, 2025
- HNW clients · 65 to 68Nov 18, 2024 to Feb 10, 2025
- Individual clients · 34 to 37Nov 18, 2024 to Feb 10, 2025
- Financial planning clients · 51-100 to 51-100Nov 18, 2024 to Feb 10, 2025
- HQ city · unset to Nov 18, 2024 to Feb 10, 2025
- HQ state · unset to Nov 18, 2024 to Feb 10, 2025
- Discretionary RAUM · $231M to $257MNov 18, 2024 to Feb 10, 2025
- HNW RAUM · $215M to $241MNov 18, 2024 to Feb 10, 2025
- Individual RAUM · $15.9M to $15.7MNov 18, 2024 to Feb 10, 2025
- Pension RAUM · $500 to $0Nov 18, 2024 to Feb 10, 2025
- RAUM · $231M to $257MNov 18, 2024 to Feb 10, 2025
- Accounts · 453 to 458Apr 3, 2023 to Jan 22, 2024
- Corporate clients · unset to 0.0Apr 3, 2023 to Jan 22, 2024
- HNW clients · 61 to 65Apr 3, 2023 to Jan 22, 2024
- Individual clients · 39 to 34Apr 3, 2023 to Jan 22, 2024
- Financial planning clients · 101-250 to 51-100Apr 3, 2023 to Jan 22, 2024
- Discretionary RAUM · $201M to $231MApr 3, 2023 to Jan 22, 2024
- HNW RAUM · $184M to $215MApr 3, 2023 to Jan 22, 2024
- Individual RAUM · $17.2M to $15.9MApr 3, 2023 to Jan 22, 2024
- Pension RAUM · $0 to $500Apr 3, 2023 to Jan 22, 2024
- RAUM · $201M to $231MApr 3, 2023 to Jan 22, 2024
- Accounts · 435 to 453Nov 14, 2022 to Feb 8, 2023
- Corporate clients · 0.0 to unsetNov 14, 2022 to Feb 8, 2023
- HNW clients · 62 to 61Nov 14, 2022 to Feb 8, 2023
- Financial planning clients · 51-100 to 101-250Nov 14, 2022 to Feb 8, 2023
- Discretionary RAUM · $230M to $201MNov 14, 2022 to Feb 8, 2023
- HNW RAUM · $213M to $184MNov 14, 2022 to Feb 8, 2023
- Individual RAUM · $19.5M to $17.2MNov 14, 2022 to Feb 8, 2023
Signals
1 dated events
- ••• LockedFeb 3, 2017 · 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
- ••• Lockedreportedpublic record, Form ADV, Feb 9, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Feb 9, 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
- $299Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026