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••••••••• I••

Former SEC-registered adviserChico, CaliforniaCRD 158321SEC 801-96318IAPD
Latest filing Feb 2, 2023
First filing on the tape May 13, 2015 · 19 filings
RAUM
$52.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$52.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
19 filings and snapshots on the tape
RAUM$140M as of May 2, 2022
Jun 27, 2016$105M then
HNW client RAUM$50.0M as of May 2, 2022
Jun 7, 2018$40.0M then
State-registered IARs (5.B.3)2 as of May 2, 2022
Jun 27, 20162 then
Employees (5.A)2 as of May 2, 2022
Jun 27, 20162 then
Private funds: no history
RAUM -60% over the last fiscal year-21% a year over threeIARs 2 to 1offices 1 to 0
Practice profile
derived from the filing of Feb 2, 2023; every figure names its basis
RAUM per advisor
$52.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
343derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$488,372derivedHNW RAUM over HNW clients
Average account
$151,603derivedRAUM 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
+7.7%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
portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Wrap fee program
$52.0MreportedItem 5.I
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
  • is an insurance broker or agent (6.A.6)
  • 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
  • Individuals$31.0M60%
  • High-net-worth individuals$21.0M40%
Individual clients
300reported
HNW clients
43reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
343reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • S•••••• M•••• W••••• · President And Chief Compliance Officercontrol
    since 06/2011 · 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
  • Advisory activities · 5 to 3
    Jan 30, 2023 to Feb 2, 2023
  • Employees · 1 to 2
    Jan 30, 2023 to Feb 2, 2023
  • Accounts · 418 to 343
    Dec 20, 2022 to Jan 9, 2023
  • HNW clients · 88 to 43
    Dec 20, 2022 to Jan 9, 2023
  • Individual clients · 330 to 300
    Dec 20, 2022 to Jan 9, 2023
  • Discretionary RAUM · $140M to $52.0M
    Dec 20, 2022 to Jan 9, 2023
  • HNW RAUM · $50.0M to $21.0M
    Dec 20, 2022 to Jan 9, 2023
  • Individual RAUM · $90.0M to $31.0M
    Dec 20, 2022 to Jan 9, 2023
  • RAUM · $140M to $52.0M
    Dec 20, 2022 to Jan 9, 2023
  • Advisory employees · 2 to 1
    May 2, 2022 to Jul 7, 2022
  • BD registered reps · 2 to 1
    May 2, 2022 to Jul 7, 2022
  • Employees · 2 to 1
    May 2, 2022 to Jul 7, 2022
  • State-registered IARs · 2 to 1
    May 2, 2022 to Jul 7, 2022
  • Other offices · 1 to 0
    May 2, 2022 to Jul 7, 2022
  • Accounts · 400 to 418
    May 26, 2021 to May 2, 2022
  • HNW clients · 85 to 88
    May 26, 2021 to May 2, 2022
  • Individual clients · 315 to 330
    May 26, 2021 to May 2, 2022
  • Discretionary RAUM · $130M to $140M
    May 26, 2021 to May 2, 2022
  • HNW RAUM · $45.0M to $50.0M
    May 26, 2021 to May 2, 2022
  • Individual RAUM · $85.0M to $90.0M
    May 26, 2021 to May 2, 2022
  • RAUM · $130M to $140M
    May 26, 2021 to May 2, 2022
  • Accounts · 360 to 400
    Jun 18, 2020 to May 26, 2021
  • HNW clients · 75 to 85
    Jun 18, 2020 to May 26, 2021
  • Individual clients · 285 to 315
    Jun 18, 2020 to May 26, 2021
  • Discretionary RAUM · $120M to $130M
    Jun 18, 2020 to May 26, 2021
  • HNW RAUM · $40.0M to $45.0M
    Jun 18, 2020 to May 26, 2021
  • Individual RAUM · $80.0M to $85.0M
    Jun 18, 2020 to May 26, 2021
  • RAUM · $120M to $130M
    Jun 18, 2020 to May 26, 2021
  • Accounts · 330 to 360
    May 31, 2019 to Jun 1, 2020
  • HNW clients · 65 to 75
    May 31, 2019 to Jun 1, 2020
  • Individual clients · 265 to 285
    May 31, 2019 to Jun 1, 2020
  • Financial planning clients · 1-10 to 0
    May 31, 2019 to Jun 1, 2020
  • Discretionary RAUM · $107M to $120M
    May 31, 2019 to Jun 1, 2020
  • HNW RAUM · $37.0M to $40.0M
    May 31, 2019 to Jun 1, 2020
  • Individual RAUM · $70.0M to $80.0M
    May 31, 2019 to Jun 1, 2020
  • RAUM · $107M to $120M
    May 31, 2019 to Jun 1, 2020
  • Accounts · 300 to 330
    Jun 7, 2018 to May 31, 2019
  • HNW clients · 55 to 65
    Jun 7, 2018 to May 31, 2019
  • Individual clients · 250 to 265
    Jun 7, 2018 to May 31, 2019
  • Discretionary RAUM · $115M to $107M
    Jun 7, 2018 to May 31, 2019
Signals
2 dated events
  • B•••••• O••••• B••••• left S••••• W••••• M••••••••• I•• for B••••• W••••• M••••••••• I••• (registered 2022-03-17)
    Jul 7, 2022 · Advisor changed firm · fact
  • S••••• W••••• M••••••••• I•• filed its initial SEC registration (Form ADV)
    May 13, 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.
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
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026