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•• A•••••••

Former SEC-registered adviserSt. Petersburg, FloridaCRD 158398SEC 801-107105IAPD
Legal name S•••••••• W••••• M••••••••• L••
Latest filing Mar 12, 2022
First filing on the tape Dec 23, 2015 · 36 filings
RAUM
$639M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
95%
$610M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$639M as of Mar 12, 2022
Mar 17, 2016$116M then
HNW client RAUM$155M as of Mar 12, 2022
Mar 15, 2018$40.8M then
State-registered IARs (5.B.3)5 as of Mar 12, 2022
Mar 17, 20164 then
Employees (5.A)5 as of Mar 12, 2022
Mar 17, 20166 then
Private funds: no history
RAUM +13% over the last fiscal year+25% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Mar 12, 2022; every figure names its basis
RAUM per advisor
$128MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
13derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.4MderivedHNW RAUM over HNW clients
Average account
$9.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+13%derivedbetween the last two annual amendments
Advisor growth, one year
+25%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.6%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminars, otherreportedItem 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
  • Individuals$455M71%
  • High-net-worth individuals$155M24%
  • Corporations and businesses$22.8M3.6%
  • State and municipal entities$6.2M1.0%
  • Charitable organizations$2070.0%
Individual clients
35reported
HNW clients
29reported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
67reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••••• M••••••• R•••••• · Managing Member/Ceocontrol
        since 06/2011 · owns 75% or more
      • D••••••••• V••••••• C•••• · Member/Head Of Salescontrol
        since 05/2015 · owns 75% or more
      • M••••••• A•••••• N•••• · Chief Compliance Officer
        since 08/2014 · owns less than 5%
      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 · 65 to 67
        Oct 11, 2021 to Mar 12, 2022
      • Advisory activities · 4 to 5
        Oct 11, 2021 to Mar 12, 2022
      • Corporate clients · 1 to 2
        Oct 11, 2021 to Mar 12, 2022
      • HNW clients · 24 to 29
        Oct 11, 2021 to Mar 12, 2022
      • Individual clients · 38 to 35
        Oct 11, 2021 to Mar 12, 2022
      • State-registered IARs · 4 to 5
        Oct 11, 2021 to Mar 12, 2022
      • Discretionary RAUM · $591M to $634M
        Oct 11, 2021 to Mar 12, 2022
      • HNW RAUM · $131M to $155M
        Oct 11, 2021 to Mar 12, 2022
      • Individual RAUM · $466M to $455M
        Oct 11, 2021 to Mar 12, 2022
      • Non-discretionary RAUM · $27.8M to $5.4M
        Oct 11, 2021 to Mar 12, 2022
      • RAUM · $619M to $639M
        Oct 11, 2021 to Mar 12, 2022
      • Charity clients · unset to 1.0
        Mar 19, 2021 to Oct 5, 2021
      • HNW clients · 26 to 24
        Mar 19, 2021 to Oct 5, 2021
      • Individual clients · 37 to 38
        Mar 19, 2021 to Oct 5, 2021
      • Discretionary RAUM · $529M to $591M
        Mar 19, 2021 to Oct 5, 2021
      • HNW RAUM · $123M to $131M
        Mar 19, 2021 to Oct 5, 2021
      • Individual RAUM · $420M to $466M
        Mar 19, 2021 to Oct 5, 2021
      • Non-discretionary RAUM · $35.6M to $27.8M
        Mar 19, 2021 to Oct 5, 2021
      • RAUM · $564M to $619M
        Mar 19, 2021 to Oct 5, 2021
      • Accounts · 56 to 65
        Nov 5, 2020 to Mar 19, 2021
      • Advisory employees · 3 to 4
        Nov 5, 2020 to Mar 19, 2021
      • HNW clients · 21 to 26
        Nov 5, 2020 to Mar 19, 2021
      • Individual clients · 33 to 37
        Nov 5, 2020 to Mar 19, 2021
      • State-registered IARs · 5 to 4
        Nov 5, 2020 to Mar 19, 2021
      • Discretionary RAUM · $454M to $529M
        Nov 5, 2020 to Mar 19, 2021
      • HNW RAUM · $107M to $123M
        Nov 5, 2020 to Mar 19, 2021
      • Individual RAUM · $359M to $420M
        Nov 5, 2020 to Mar 19, 2021
      • Non-discretionary RAUM · $31.7M to $35.6M
        Nov 5, 2020 to Mar 19, 2021
      • RAUM · $486M to $564M
        Nov 5, 2020 to Mar 19, 2021
      • Accounts · 48 to 56
        Sep 3, 2020 to Oct 5, 2020
      • HNW clients · 20 to 21
        Sep 3, 2020 to Oct 5, 2020
      • Individual clients · 26 to 33
        Sep 3, 2020 to Oct 5, 2020
      • Financial planning clients · 1-10 to 11-25
        Sep 3, 2020 to Oct 5, 2020
      • Discretionary RAUM · $406M to $454M
        Sep 3, 2020 to Oct 5, 2020
      • HNW RAUM · $70.4M to $107M
        Sep 3, 2020 to Oct 5, 2020
      • Individual RAUM · $327M to $359M
        Sep 3, 2020 to Oct 5, 2020
      • Non-discretionary RAUM · $9.3M to $31.7M
        Sep 3, 2020 to Oct 5, 2020
      • RAUM · $415M to $486M
        Sep 3, 2020 to Oct 5, 2020
      • Accounts · 46 to 48
        Dec 17, 2019 to Mar 13, 2020
      • HNW clients · 19 to 20
        Dec 17, 2019 to Mar 13, 2020
      Signals
      4 dated events
      • J••••• R••••• M••••••• left S•• A••••••• for W•••• I••••••••• A•••••••• L•• (registered 2022-10-18)
        Dec 19, 2022 · Advisor changed firm · fact
      • M•••••• R•••••• D•••••••• left S•• A••••••• for W•••• I••••••••• A•••••••• L•• (registered 2022-09-16)
        Dec 19, 2022 · Advisor changed firm · fact
      • 2 advisors left S•• A••••••• (ST Petersburg, FL) for W•••• I••••••••• A•••••••• L•• on the same day
        Dec 19, 2022 · Team lift-out · derived
      • S•••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Dec 23, 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