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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SEC-registered adviser
S•••• W••••• M••••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Jul 19, 2024 · 6 filings
SEC status approved since Aug 29, 2024
RAUM
$174M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$153M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$174M
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
6 filings and snapshots on the tape
RAUM$174M as of Mar 24, 2026
Jan 15, 2025$131M then
HNW client RAUM$139M as of Mar 24, 2026
Jan 15, 2025$50.5M then
State-registered IARs (5.B.3)1 as of Mar 24, 2026
Jan 15, 20251 then
Employees (5.A)1 as of Mar 24, 2026
Jan 15, 20251 then
Private funds: no history
RAUM +17% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 24, 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
- $174MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 87derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $489,457derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 12%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
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$139M80%
- Pension and profit-sharing plans$20.3M12%
- Individuals$14.8M8.5%
- Individual clients
- 44reported
- HNW clients
- 43reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 355reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
- E••• N••••• from E••••• P•••••••• I•••Jan 24, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N•••••• E•••• D••••• · Owner And Ccocontrolsince 01/2012 · 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.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 24, 2026financial planning (Item 5.G.1): no on the filing of 2025-09-16, yes on the filing of 2026-03-24peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Mar 24, 2026HNW share of RAUM moved from 28.0% to 80.0% between the annual amendments of 2025-03-28 and 2026-03-24peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 307 to 355Sep 16, 2025 to Mar 24, 2026
- Advisory activities · 2 to 3Sep 16, 2025 to Mar 24, 2026
- HNW clients · 6 to 43Sep 16, 2025 to Mar 24, 2026
- Individual clients · 75 to 44Sep 16, 2025 to Mar 24, 2026
- Financial planning clients · to 51-100Sep 16, 2025 to Mar 24, 2026
- Discretionary RAUM · $149M to $174MSep 16, 2025 to Mar 24, 2026
- HNW RAUM · $41.8M to $139MSep 16, 2025 to Mar 24, 2026
- Individual RAUM · $89.2M to $14.8MSep 16, 2025 to Mar 24, 2026
- Pension RAUM · $18.0M to $20.3MSep 16, 2025 to Mar 24, 2026
- RAUM · $149M to $174MSep 16, 2025 to Mar 24, 2026
- Accounts · 358 to 307Jan 15, 2025 to Mar 28, 2025
- Individual clients · 68 to 75Jan 15, 2025 to Mar 28, 2025
- Financial planning clients · unset to Jan 15, 2025 to Mar 28, 2025
- Discretionary RAUM · $131M to $149MJan 15, 2025 to Mar 28, 2025
- HNW RAUM · $50.5M to $41.8MJan 15, 2025 to Mar 28, 2025
- Individual RAUM · $63.3M to $89.2MJan 15, 2025 to Mar 28, 2025
- Pension RAUM · $16.7M to $18.0MJan 15, 2025 to Mar 28, 2025
- RAUM · $131M to $149MJan 15, 2025 to Mar 28, 2025
Signals
1 dated events
- S•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jul 19, 2024 · 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
- Business phone
- 405-384-5132reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 415-382-2500reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-492-1222reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (405) 384-5132reportedpublic record, Form ADV, Mar 24, 2026
- Contact form
- wealthenhancement.com/contact-usreportedpublished 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
- $174Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026