DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
SEC-registered adviser
S•••••• W•••••• L••
Latest filing Mar 25, 2026
First filing on the tape Apr 26, 2013 · 24 filings
SEC status approved since May 3, 2013
RAUM
$94.3M
reported, Item 5.F
Discretionary
30%
of RAUM
Private clients
89%
$83.8M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$47.2M
derived; firm RAUM over IAPD count
Employees
9
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$94.3M as of Mar 25, 2026
Mar 27, 2014$102M then
HNW client RAUM$80.6M as of Mar 25, 2026
Mar 29, 2018$54.8M then
State-registered IARs (5.B.3)2 as of Mar 25, 2026
Mar 27, 20143 then
Employees (5.A)9 as of Mar 25, 2026
Mar 27, 20144 then
Private funds: no history
RAUM -17% over the last fiscal year-8.6% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $47.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 5derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $20.2MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 30%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $24.4M, 7 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$80.6M85%
- Charitable organizations$10.5M11%
- Individuals$3.2M3.4%
- Individual clients
- 5reported
- HNW clients
- 4reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 93reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $24.4M for 7 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• G••• S•••••• | Dallas, Tx | Jan 24, 2018 | 12 y | 0 |
| P•••••• R••• S••••• | Dallas, Tx | Dec 23, 2019 | 15 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• D••••• G••• · Managing Member/Managing Directorcontrolsince 07/2011 · owns 75% or more
- S••••••• S••••••• G••• · Director Of Private Equity / Chief Compliance Officercontrolsince 01/2018 · owns less than 5%
Related persons
Schedule D 7.A
- S•••••• • C••••••• P•••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 97 to 93Oct 9, 2025 to Mar 25, 2026
- Charity clients · 3 to 2Oct 9, 2025 to Mar 25, 2026
- Assets in custody · $38.4M to $24.4MOct 9, 2025 to Mar 25, 2026
- Discretionary RAUM · $41.0M to $28.7MOct 9, 2025 to Mar 25, 2026
- HNW RAUM · $98.6M to $80.6MOct 9, 2025 to Mar 25, 2026
- Individual RAUM · $2.7M to $3.2MOct 9, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $73.1M to $65.6MOct 9, 2025 to Mar 25, 2026
- RAUM · $114M to $94.3MOct 9, 2025 to Mar 25, 2026
- Employees · 4 to 9Apr 4, 2025 to Oct 9, 2025
- Accounts · 85 to 97Mar 15, 2024 to Apr 4, 2025
- Advisory employees · 3 to 2Mar 15, 2024 to Apr 4, 2025
- Charity clients · 2 to 3Mar 15, 2024 to Apr 4, 2025
- Corporate clients · 6 to 0Mar 15, 2024 to Apr 4, 2025
- HNW clients · 3 to 4Mar 15, 2024 to Apr 4, 2025
- Assets in custody · $26.2M to $38.4MMar 15, 2024 to Apr 4, 2025
- Employees · 5 to 4Mar 15, 2024 to Apr 4, 2025
- Financial planning clients · 26-50 to 1-10Mar 15, 2024 to Apr 4, 2025
- State-registered IARs · 3 to 2Mar 15, 2024 to Apr 4, 2025
- Discretionary RAUM · $27.4M to $41.0MMar 15, 2024 to Apr 4, 2025
- HNW RAUM · $62.3M to $98.6MMar 15, 2024 to Apr 4, 2025
- Individual RAUM · $2.3M to $2.7MMar 15, 2024 to Apr 4, 2025
- Non-discretionary RAUM · $99.3M to $73.1MMar 15, 2024 to Apr 4, 2025
- RAUM · $127M to $114MMar 15, 2024 to Apr 4, 2025
- Related insurance company · true to falseMar 15, 2024 to Apr 4, 2025
- Assets in custody · $4.0M to $26.2MNov 10, 2023 to Mar 15, 2024
- Financial planning clients · 11-25 to 26-50Nov 10, 2023 to Mar 15, 2024
- Discretionary RAUM · $37.0M to $27.4MNov 10, 2023 to Mar 15, 2024
- HNW RAUM · $49.2M to $62.3MNov 10, 2023 to Mar 15, 2024
- Individual RAUM · $1.9M to $2.3MNov 10, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $86.5M to $99.3MNov 10, 2023 to Mar 15, 2024
- RAUM · $124M to $127MNov 10, 2023 to Mar 15, 2024
- Assets in custody · $33.4M to $4.0MMar 27, 2023 to Nov 10, 2023
- Accounts · 81 to 85Mar 24, 2022 to Mar 27, 2023
- Charity clients · 1 to 2Mar 24, 2022 to Mar 27, 2023
- Corporate clients · 5 to 6Mar 24, 2022 to Mar 27, 2023
- HNW clients · 4 to 3Mar 24, 2022 to Mar 27, 2023
- Assets in custody · $57.5M to $33.4MMar 24, 2022 to Mar 27, 2023
- Discretionary RAUM · $64.9M to $37.0MMar 24, 2022 to Mar 27, 2023
- HNW RAUM · $63.9M to $49.2MMar 24, 2022 to Mar 27, 2023
- Individual RAUM · $2.0M to $1.9MMar 24, 2022 to Mar 27, 2023
Signals
1 dated events
- ••• LockedApr 26, 2013 · 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
- 972-435-0685reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-738-3625reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S••••••WEALTH.COMreportedpublic record, Form ADV, Mar 25, 2026
- Principal office phone
- 972-437-5201reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- s•••••••••.comreportedpublished 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
- $47.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026