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••••• P•••••••• L••
Latest filing Sep 14, 2026
First filing on the tape Jun 18, 2024 · 9 filings
SEC status approved since Jul 18, 2024
RAUM
$157M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$145M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$31.3M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$157M as of Aug 3, 2026
Mar 24, 2025$145M then
HNW client RAUM$125M as of Aug 3, 2026
Mar 24, 2025$117M then
State-registered IARs (5.B.3)6 as of Aug 3, 2026
Mar 24, 20256 then
Employees (5.A)6 as of Aug 3, 2026
Mar 24, 20258 then
Private funds: no history
RAUM +7.7% over the last fiscal yearIARs 6 to 6
Practice profile
derived from the filing of Sep 14, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $31.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 22derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $503,727derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 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
- -8.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Wrap fee program
- $153MreportedItem 5.I
- Custody
- $59.1M, 47 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$125M80%
- Individuals$20.2M13%
- Pension and profit-sharing plans$8.4M5.3%
- Corporations and businesses$3.6M2.3%
- Individual clients
- 51reported
- HNW clients
- 60reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 311reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $59.1M for 47 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• A•••• J•••• | Richmond, Va | Sep 25, 2012 | 28 y | 2 |
| J••••••• M•••••• B••• | Richmond, Va | Nov 1, 2012 | 19 y | 0 |
| H•••••• A••• V••••• | Richmond, Va | Nov 3, 2021 | 18 y | 1 |
| S•••••• M•• | Richmond, Va | Jan 19, 2024 | 13 y | 0 |
| C••••• A•••• J•••• | Richmond, Va | Aug 23, 2024 | 13 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
- A••••• J••••••• V••• to S••••••• F•••••••• S•••••••• I•••Oct 4, 2021 · RIA to RIA
Joined, latest
- A••••• J••••••• V••• from S••• R••••••••• S••••••••• L••Jun 26, 2018 · Other
- M••• A•••• J•••• from L•• F•••••••• L••Sep 25, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••• M•••• A•••• · Managing Member / Chief Compliance Officercontrolsince 01/2012 · owns 75% or more
- B•••• J•••••••• M•••••• · Membersince 01/2012 · owns less than 5%
Related persons
Schedule D 7.A
- S••• A••••••••• G••••• L••insurancen
- S••• B••••••• C••••••••• G••••• L••real estaten
- S••• R••••••••• S••••••••• L••investment advisern
Advisers that list S••• W••••• P•••••••• L•• as a related person
- 286030 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Richmond, Va · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 1-10 to 1-10Aug 3, 2026 to Sep 14, 2026
- Succession · false to unsetAug 3, 2026 to Sep 14, 2026
- HQ city · NORTH CHESTERFIELD to RICHMONDMar 30, 2026 to Aug 3, 2026
- Accounts · 272 to 311Nov 14, 2025 to Mar 30, 2026
- Advisory employees · 6 to 4Nov 14, 2025 to Mar 30, 2026
- Corporate clients · 4 to 3Nov 14, 2025 to Mar 30, 2026
- HNW clients · 59 to 60Nov 14, 2025 to Mar 30, 2026
- Individual clients · 62 to 51Nov 14, 2025 to Mar 30, 2026
- Employees · 8 to 6Nov 14, 2025 to Mar 30, 2026
- Discretionary RAUM · $145M to $157MNov 14, 2025 to Mar 30, 2026
- HNW RAUM · $117M to $125MNov 14, 2025 to Mar 30, 2026
- Individual RAUM · $19.0M to $20.2MNov 14, 2025 to Mar 30, 2026
- Pension RAUM · $6.9M to $8.4MNov 14, 2025 to Mar 30, 2026
- RAUM · $145M to $157MNov 14, 2025 to Mar 30, 2026
- Financial planning clients · 1-10 to 1-10Mar 24, 2025 to Jul 17, 2025
- Accounts · 248 to 272Aug 19, 2024 to Mar 24, 2025
- Advisory employees · 5 to 6Aug 19, 2024 to Mar 24, 2025
- HNW clients · 41 to 59Aug 19, 2024 to Mar 24, 2025
- Individual clients · 75 to 62Aug 19, 2024 to Mar 24, 2025
- Assets in custody · unset to 59125687.0Aug 19, 2024 to Mar 24, 2025
- Custody of client assets · false to trueAug 19, 2024 to Mar 24, 2025
- Employees · 7 to 8Aug 19, 2024 to Mar 24, 2025
- Financial planning clients · 101-250 to 1-10Aug 19, 2024 to Mar 24, 2025
- State-registered IARs · 5 to 6Aug 19, 2024 to Mar 24, 2025
- Discretionary RAUM · $136M to $145MAug 19, 2024 to Mar 24, 2025
- HNW RAUM · $105M to $117MAug 19, 2024 to Mar 24, 2025
- Individual RAUM · $23.7M to $19.0MAug 19, 2024 to Mar 24, 2025
- Pension RAUM · $5.2M to $6.9MAug 19, 2024 to Mar 24, 2025
- RAUM · $136M to $145MAug 19, 2024 to Mar 24, 2025
- Assets in custody · 267276.0 to unsetJun 18, 2024 to Aug 8, 2024
- Custody of client assets · true to falseJun 18, 2024 to Aug 8, 2024
Signals
2 dated events
- M••• A•••• J•••• added a TX registration at S••• W••••• P•••••••• L••Sep 15, 2026 · New state registration · fact
- S••• W••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Jun 18, 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
- Firm profile
- linkedin.com/company/simafinancialreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 804-285-5700reportedpublic record, Form ADV, Sep 14, 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
- $31.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026