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••• C••••••• L••
Latest filing May 28, 2026
First filing on the tape Nov 28, 2011 · 38 filings
SEC status approved since Jan 4, 2012
RAUM
$239M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
94%
$225M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$79.7M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$239M as of May 28, 2026
Jan 14, 2013$40.1M then
HNW client RAUM$142M as of May 28, 2026
Mar 7, 2018$19.5M then
State-registered IARs (5.B.3)3 as of May 28, 2026
Jan 14, 20133 then
Employees (5.A)4 as of May 28, 2026
Jan 14, 20133 then
Private funds: no history
RAUM +15% over the last fiscal year+14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of May 28, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $79.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 179derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $165,135derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 5.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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
- +1.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Wrap fee program
- $225MreportedItem 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
- 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$142M59%
- Individuals$83.0M35%
- Pension and profit-sharing plans$14.0M5.9%
- Individual clients
- 456reported
- HNW clients
- 80reported
- Pension plan clients
- 25reported
- Charitable clients
- 0reported
- Accounts
- 1,448reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• R••••••• A•••• | Mount Pleasant, Sc | Jan 4, 2012 | 24 y | 1 |
| S••••• W•••• G••••• | Mount Pleasant, Sc | Nov 27, 2012 | 18 y | 1 |
| A••••• M•••••• H••••• | Mount Pleasant, Sc | Nov 19, 2022 | 23 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
- S••••• W•••• G••••• from L•• F•••••••• L••Nov 27, 2012 · Other
- W•••••• R••••••• A•••• from L•• F•••••••• L••Jan 4, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• W••••••• R••••••• · Managing Membercontrolsince 11/2011 · owns 75% or more
- G•••••• S•••••• W•••• · Chief Compliance Officer, Membercontrolsince 11/2011 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mount Pleasant, Sc · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,394 to 1,448Feb 25, 2025 to Feb 19, 2026
- HNW clients · 60 to 80Feb 25, 2025 to Feb 19, 2026
- Individual clients · 466 to 456Feb 25, 2025 to Feb 19, 2026
- Pension plan clients · 22 to 25Feb 25, 2025 to Feb 19, 2026
- Discretionary RAUM · $196M to $225MFeb 25, 2025 to Feb 19, 2026
- HNW RAUM · $123M to $142MFeb 25, 2025 to Feb 19, 2026
- Individual RAUM · $73.1M to $83.0MFeb 25, 2025 to Feb 19, 2026
- Non-discretionary RAUM · $11.8M to $14.0MFeb 25, 2025 to Feb 19, 2026
- Pension RAUM · $11.8M to $14.0MFeb 25, 2025 to Feb 19, 2026
- RAUM · $208M to $239MFeb 25, 2025 to Feb 19, 2026
- Accounts · 1,323 to 1,394Feb 14, 2024 to Feb 25, 2025
- HNW clients · 46 to 60Feb 14, 2024 to Feb 25, 2025
- Individual clients · 447 to 466Feb 14, 2024 to Feb 25, 2025
- Pension plan clients · 21 to 22Feb 14, 2024 to Feb 25, 2025
- Financial planning clients · 51-100 to 11-25Feb 14, 2024 to Feb 25, 2025
- Discretionary RAUM · $159M to $196MFeb 14, 2024 to Feb 25, 2025
- HNW RAUM · $73.9M to $123MFeb 14, 2024 to Feb 25, 2025
- Individual RAUM · $85.5M to $73.1MFeb 14, 2024 to Feb 25, 2025
- Non-discretionary RAUM · $10.0M to $11.8MFeb 14, 2024 to Feb 25, 2025
- Pension RAUM · $10.0M to $11.8MFeb 14, 2024 to Feb 25, 2025
- RAUM · $169M to $208MFeb 14, 2024 to Feb 25, 2025
- Accounts · 1,262 to 1,323Dec 6, 2023 to Feb 14, 2024
- HNW clients · 32 to 46Dec 6, 2023 to Feb 14, 2024
- Individual clients · 456 to 447Dec 6, 2023 to Feb 14, 2024
- Pension plan clients · 23 to 21Dec 6, 2023 to Feb 14, 2024
- Discretionary RAUM · $142M to $159MDec 6, 2023 to Feb 14, 2024
- HNW RAUM · $64.3M to $73.9MDec 6, 2023 to Feb 14, 2024
- Individual RAUM · $77.4M to $85.5MDec 6, 2023 to Feb 14, 2024
- Non-discretionary RAUM · $20.2M to $10.0MDec 6, 2023 to Feb 14, 2024
- Pension RAUM · $20.2M to $10.0MDec 6, 2023 to Feb 14, 2024
- RAUM · $162M to $169MDec 6, 2023 to Feb 14, 2024
- Accounts · 1,177 to 1,262Nov 29, 2022 to Mar 1, 2023
- HNW clients · 33 to 32Nov 29, 2022 to Mar 1, 2023
- Individual clients · 434 to 456Nov 29, 2022 to Mar 1, 2023
- Pension plan clients · 19 to 23Nov 29, 2022 to Mar 1, 2023
- Discretionary RAUM · $152M to $142MNov 29, 2022 to Mar 1, 2023
- HNW RAUM · $86.6M to $64.3MNov 29, 2022 to Mar 1, 2023
- Individual RAUM · $65.3M to $77.4MNov 29, 2022 to Mar 1, 2023
- Non-discretionary RAUM · $20.3M to $20.2MNov 29, 2022 to Mar 1, 2023
- Pension RAUM · $20.3M to $20.2MNov 29, 2022 to Mar 1, 2023
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
- wayne@saoscapital.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- omalley@saoscapital.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- saosteam@saoscapital.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 843-388-9925reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 843-388-9925reportedpublic record, Form ADV, May 28, 2026
- Team page
- saoscapital.com/teamreportedpublished 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
- $79.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026