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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S•••••• W••••• M•••••••••
Legal name S•••••• W••••• M••••••••• I•••
Latest filing Feb 20, 2026
First filing on the tape Jan 5, 2012 · 5 filings
SEC status approved since Mar 3, 2025
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
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$135M as of Feb 20, 2026
Jan 31, 2025$118M then
HNW client RAUM$129M as of Feb 20, 2026
Jan 31, 2025$111M then
State-registered IARs (5.B.3)1 as of Feb 20, 2026
Jan 31, 20251 then
Employees (5.A)1 as of Feb 20, 2026
Jan 31, 20251 then
Private funds: no history
RAUM +15% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 20, 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
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $603,559derivedRAUM 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
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$129M95%
- Individuals$6.3M4.7%
- Individual clients
- 12reported
- HNW clients
- 52reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 224reported
- Financial planning clients
- 51-100reported
- 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 |
|---|---|---|---|---|
| C••••••••• J•••• | Orlando, Fl | Jan 17, 2017 | 26 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
- B•••• S••• C•••••• to H•••••••• A•••••••• L••Apr 8, 2015 · Other
Joined, latest
- C••••••••• J•••• from K••••••• F•••••••• P•••••••Jan 17, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••• C••••••••• M•••••• · President And Chief Compliance Officercontrolsince 01/2010 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Allentown, PA
What changed
consecutive filings, newest first
- Accounts · 246 to 224Jun 26, 2025 to Feb 20, 2026
- HNW clients · 49 to 52Jun 26, 2025 to Feb 20, 2026
- Individual clients · 18 to 12Jun 26, 2025 to Feb 20, 2026
- Discretionary RAUM · $118M to $135MJun 26, 2025 to Feb 20, 2026
- HNW RAUM · $111M to $129MJun 26, 2025 to Feb 20, 2026
- Individual RAUM · $7.3M to $6.3MJun 26, 2025 to Feb 20, 2026
- RAUM · $118M to $135MJun 26, 2025 to Feb 20, 2026
- Financial planning clients · 51-100 to 51-100Jan 31, 2025 to Jun 26, 2025
- Accounts · 129 to 246Mar 15, 2012 to Jan 31, 2025
- Advisory employees · unset to 1.0Mar 15, 2012 to Jan 31, 2025
- Advisory activities · 5 to 3Mar 15, 2012 to Jan 31, 2025
- Charity clients · unset to 0.0Mar 15, 2012 to Jan 31, 2025
- Corporate clients · unset to 0.0Mar 15, 2012 to Jan 31, 2025
- HNW clients · unset to 49.0Mar 15, 2012 to Jan 31, 2025
- Individual clients · unset to 18.0Mar 15, 2012 to Jan 31, 2025
- Pension plan clients · unset to 0.0Mar 15, 2012 to Jan 31, 2025
- Pooled vehicle clients · unset to 0.0Mar 15, 2012 to Jan 31, 2025
- Employees · unset to 1.0Mar 15, 2012 to Jan 31, 2025
- Financial planning clients · 26-50 to 51-100Mar 15, 2012 to Jan 31, 2025
- HQ city · LAS VEGAS to ORLANDOMar 15, 2012 to Jan 31, 2025
- HQ state · NV to FLMar 15, 2012 to Jan 31, 2025
- State-registered IARs · 0 to 1Mar 15, 2012 to Jan 31, 2025
- Other offices · unset to 1.0Mar 15, 2012 to Jan 31, 2025
- Discretionary RAUM · $31.5M to $118MMar 15, 2012 to Jan 31, 2025
- HNW RAUM · unset to 110529350.0Mar 15, 2012 to Jan 31, 2025
- Individual RAUM · unset to 7336587.0Mar 15, 2012 to Jan 31, 2025
- Pension RAUM · unset to 0.0Mar 15, 2012 to Jan 31, 2025
- Pooled vehicle RAUM · unset to 0.0Mar 15, 2012 to Jan 31, 2025
- RAUM · $31.5M to $118MMar 15, 2012 to Jan 31, 2025
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 phone
- 407-583-6375reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 877-330-9191reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/sparrow-wealth-management-inc-reportedpublic record, Form ADV, Sep 18, 2026
- Website
- sparrowwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (877) 330-9191reportedpublic record, Form ADV, Feb 20, 2026
- Contact form
- sparrowwealth.com/contact-usreportedpublished by the firm, firm site, Sep 17, 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