DFX Intelligence
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SEC-registered adviser
S••••• W••••• A•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 15, 2012 · 22 filings
SEC status approved since Nov 18, 2009
RAUM
$133M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$133M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$133M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$133M as of Mar 30, 2026
Mar 15, 2012$40.0M then
HNW client RAUM$122M as of Mar 30, 2026
Mar 29, 2018$64.1M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 15, 20120 then
Employees (5.A)2 as of Mar 30, 2026
Mar 26, 20131 then
Private funds: no history
RAUM +12% over the last fiscal year+9.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $133MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 98derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $312,783derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- High-net-worth individuals$122M92%
- Individuals$11.0M8.3%
- Individual clients
- 51reported
- HNW clients
- 47reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 425reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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 |
|---|---|---|---|---|
| E•••• S•••••Certified Financial Planner | New York, Ny | Mar 20, 2021 | 36 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
- S•••••• E•••• · Ceo/Chief Compliance Officercontrolsince 10/2009 · 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 · 405 to 425Mar 27, 2025 to Mar 30, 2026
- Financial planning clients · 51-100 to 101-250Mar 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $118M to $133MMar 27, 2025 to Mar 30, 2026
- HNW RAUM · $105M to $122MMar 27, 2025 to Mar 30, 2026
- Individual RAUM · $13.0M to $11.0MMar 27, 2025 to Mar 30, 2026
- RAUM · $118M to $133MMar 27, 2025 to Mar 30, 2026
- Accounts · 406 to 405Mar 20, 2024 to Mar 27, 2025
- HNW clients · 52 to 47Mar 20, 2024 to Mar 27, 2025
- Financial planning clients · 51-100 to 51-100Mar 20, 2024 to Mar 27, 2025
- Discretionary RAUM · $111M to $118MMar 20, 2024 to Mar 27, 2025
- HNW RAUM · $111M to $105MMar 20, 2024 to Mar 27, 2025
- Individual RAUM · $8.0M to $13.0MMar 20, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $8.0M to $0Mar 20, 2024 to Mar 27, 2025
- RAUM · $119M to $118MMar 20, 2024 to Mar 27, 2025
- Accounts · 413 to 406Mar 24, 2023 to Mar 20, 2024
- Discretionary RAUM · $98.5M to $111MMar 24, 2023 to Mar 20, 2024
- HNW RAUM · $92.8M to $111MMar 24, 2023 to Mar 20, 2024
- Individual RAUM · $8.2M to $8.0MMar 24, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $2.5M to $8.0MMar 24, 2023 to Mar 20, 2024
- RAUM · $101M to $119MMar 24, 2023 to Mar 20, 2024
- Accounts · 102 to 413Jun 3, 2022 to Mar 24, 2023
- HNW clients · 49 to 52Jun 3, 2022 to Mar 24, 2023
- Individual clients · 53 to 51Jun 3, 2022 to Mar 24, 2023
- Discretionary RAUM · $131M to $98.5MJun 3, 2022 to Mar 24, 2023
- HNW RAUM · $128M to $92.8MJun 3, 2022 to Mar 24, 2023
- Individual RAUM · $13.4M to $8.2MJun 3, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $10.0M to $2.5MJun 3, 2022 to Mar 24, 2023
- RAUM · $141M to $101MJun 3, 2022 to Mar 24, 2023
- Organization form · Corporation to Limited Liability PartnershipMar 25, 2022 to Jun 3, 2022
- Accounts · 403 to 102Apr 14, 2021 to Mar 25, 2022
- HNW clients · 30 to 49Apr 14, 2021 to Mar 25, 2022
- Individual clients · 70 to 53Apr 14, 2021 to Mar 25, 2022
- Organization form · Limited Liability Company to CorporationApr 14, 2021 to Mar 25, 2022
- Discretionary RAUM · $97.9M to $131MApr 14, 2021 to Mar 25, 2022
- HNW RAUM · $79.0M to $128MApr 14, 2021 to Mar 25, 2022
- Individual RAUM · $26.1M to $13.4MApr 14, 2021 to Mar 25, 2022
- Non-discretionary RAUM · $7.2M to $10.0MApr 14, 2021 to Mar 25, 2022
- RAUM · $105M to $141MApr 14, 2021 to Mar 25, 2022
- Accounts · 410 to 403Jun 30, 2020 to Mar 25, 2021
- Advisory employees · 2 to 1Jun 30, 2020 to Mar 25, 2021
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.
How to reach
public business contact points only, each with its source
- Business email
- i•••@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 212-328-9530reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S•••••WEALTHADVISORS.COMreportedpublic record, Form ADV, Mar 30, 2026
- Principal office phone
- 212-328-9530reportedpublic record, Form ADV, Mar 30, 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
- $133Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026