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••• M••••••• C•••••• L••
Latest filing Jun 11, 2026
First filing on the tape Aug 31, 2012 · 28 filings
SEC status approved since Oct 12, 2012
RAUM
$3.1B
reported, Item 5.F
Discretionary
84%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$3.1B as of Jun 11, 2026
Jun 18, 2013$910M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 11, 2026
Jun 18, 20130 then
Employees (5.A)7 as of Jun 11, 2026
Jun 18, 201311 then
Private funds1 as of May 19, 2017
Jun 18, 20132 then
RAUM +61% over the last fiscal year+49% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 11, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $313MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 84%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$3.1B99%
- Corporations and businesses$21.2M0.7%
- Charitable organizations$17.8M0.6%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 10reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.99 institutional_share=0.01 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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••• M••••••• E••••••• L•no longer reported | Hedge Fund | $41.7M | 9 | Mar 30, 2012 |
| S••• M••••••• S•••• C•• E••••••• F••• L••••••no longer reported | Hedge Fund | $18.2M | 23 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- M•••••••• S•••••• W••••• · Managing Member And Chief Executive Officercontrolsince 04/2005 · owns 75% or more
- T•••••• S•••••• · Chief Compliance Officercontrolsince 12/2005 · 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
- BD registered reps · 3 to 0Apr 14, 2026 to Jun 11, 2026
- Corporate clients · 0 to 1Apr 14, 2026 to Jun 11, 2026
- Pooled vehicle clients · 7 to 8Apr 14, 2026 to Jun 11, 2026
- Assets in custody · 0.0 to unsetApr 14, 2026 to Jun 11, 2026
- Discretionary RAUM · $2.0B to $2.6BApr 14, 2026 to Jun 11, 2026
- Non-discretionary RAUM · $0 to $514MApr 14, 2026 to Jun 11, 2026
- Pension RAUM · 0.0 to unsetApr 14, 2026 to Jun 11, 2026
- Pooled vehicle RAUM · $1.9B to $3.1BApr 14, 2026 to Jun 11, 2026
- RAUM · $2.0B to $3.1BApr 14, 2026 to Jun 11, 2026
- Employees · 5 to 7Jul 3, 2024 to May 14, 2025
- Financial planning clients · 0 to 0Jul 3, 2024 to May 14, 2025
- HQ state · unset to Jul 3, 2024 to May 14, 2025
- Discretionary RAUM · $1.9B to $2.0BJul 3, 2024 to May 14, 2025
- Pooled vehicle RAUM · $1.9B to $1.9BJul 3, 2024 to May 14, 2025
- RAUM · $1.9B to $2.0BJul 3, 2024 to May 14, 2025
- Accounts · 7 to 10Jul 3, 2023 to Jun 26, 2024
- BD registered reps · 0 to 3Jul 3, 2023 to Jun 26, 2024
- Employees · 4 to 5Jul 3, 2023 to Jun 26, 2024
- Discretionary RAUM · $780M to $1.9BJul 3, 2023 to Jun 26, 2024
- Pooled vehicle RAUM · $768M to $1.9BJul 3, 2023 to Jun 26, 2024
- RAUM · $780M to $1.9BJul 3, 2023 to Jun 26, 2024
- Discretionary RAUM · $939M to $780MNov 23, 2022 to Jun 22, 2023
- Pooled vehicle RAUM · $927M to $768MNov 23, 2022 to Jun 22, 2023
- RAUM · $939M to $780MNov 23, 2022 to Jun 22, 2023
- Accounts · 8 to 7Jun 10, 2021 to Jun 21, 2022
- Employees · 6 to 4Jun 10, 2021 to Jun 21, 2022
- Discretionary RAUM · $1.2B to $939MJun 10, 2021 to Jun 21, 2022
- Pooled vehicle RAUM · $1.2B to $927MJun 10, 2021 to Jun 21, 2022
- RAUM · $1.2B to $939MJun 10, 2021 to Jun 21, 2022
- Accounts · 14 to 8Jul 6, 2020 to Jun 10, 2021
- Advisory employees · 3 to 2Jul 6, 2020 to Jun 10, 2021
- Pension plan clients · 2 to 0Jul 6, 2020 to Jun 10, 2021
- Pooled vehicle clients · 13 to 7Jul 6, 2020 to Jun 10, 2021
- Employees · 10 to 6Jul 6, 2020 to Jun 10, 2021
- Discretionary RAUM · $822M to $1.2BJul 6, 2020 to Jun 10, 2021
- Pension RAUM · $203M to $0Jul 6, 2020 to Jun 10, 2021
- Pooled vehicle RAUM · $611M to $1.2BJul 6, 2020 to Jun 10, 2021
- RAUM · $822M to $1.2BJul 6, 2020 to Jun 10, 2021
- Accounts · 16 to 14Oct 8, 2019 to Jun 29, 2020
- Advisory employees · 7 to 3Oct 8, 2019 to Jun 29, 2020
Signals
8 dated events
- S••• M••••••• C•••••• L•• reported RAUM $3.1B, up 60% from $2.0B (2026-04-14 to 2026-06-11)Jun 11, 2026 · RAUM change · derived
- S••• M••••••• C•••••• L•• reported RAUM $1.9B, up 149% from $780.1M (2023-07-03 to 2024-06-26)Jun 26, 2024 · RAUM change · derived
- S••• M••••••• C•••••• L•• reported RAUM $1.2B, up 43% from $822.0M (2020-07-06 to 2021-06-10)Jun 10, 2021 · RAUM change · derived
- S••• M••••••• C•••••• L•• reported RAUM $822.0M, down 39% from $1.3B (2019-10-08 to 2020-06-29)Jun 29, 2020 · RAUM change · derived
- Matilda Susannah De Jager (Coo) no longer on Schedule A of S••• M••••••• C•••••• L•• (listed 2019-10-08, absent 2020-06-29)Jun 29, 2020 · Control person left · inference
- S••• M••••••• C•••••• L•• reported RAUM $1.3B, down 41% from $2.3B (2018-06-13 to 2019-05-21)May 21, 2019 · RAUM change · derived
- S••• M••••••• C•••••• L•• reported RAUM $2.3B, up 52% from $1.5B (2017-05-19 to 2018-04-12)Apr 12, 2018 · RAUM change · derived
- S••• M••••••• C•••••• L•• filed its initial SEC registration (Form ADV)Aug 31, 2012 · 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/s.w.-mitchell-capital-llpreportedpublic record, Form ADV, Sep 19, 2026
- Website
- SWM•••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 020 7290 3588reportedpublic record, Form ADV, Jun 11, 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
- Asset manager (funds and pooled vehicles)deriveda 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