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•• G•••• W••••• P••••••• L••
Latest filing May 21, 2026
First filing on the tape Dec 7, 2012 · 35 filings
SEC status approved since Feb 28, 2014
RAUM
$224M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$211M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$74.8M
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
35 filings and snapshots on the tape
RAUM$224M as of May 21, 2026
Mar 6, 2015$139M then
HNW client RAUM$175M as of May 21, 2026
Feb 21, 2018$97.7M then
State-registered IARs (5.B.3)2 as of May 21, 2026
Mar 6, 20153 then
Employees (5.A)7 as of May 21, 2026
Mar 6, 20157 then
Private funds: no history
RAUM +25% over the last fiscal year+24% a year over threeIARs 2 to 2
Practice profile
derived from the filing of May 21, 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
- 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
- $74.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 114derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $381,071derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Wrap fee program
- $235MreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$175M78%
- Individuals$36.3M16%
- Pension and profit-sharing plans$11.8M5.2%
- Corporations and businesses$1.3M0.6%
- Individual clients
- 188reported
- HNW clients
- 153reported
- Pension plan clients
- 10reported
- Charitable clients
- n/areported
- Accounts
- 589reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $10.6M sponsored, $214M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••••• J••• C•••• | Irvine, Ca | Mar 15, 2013 | 26 y | 3 |
| W••••••• S••• S•• | Irvine, Ca | Mar 18, 2013 | 26 y | 3 |
| B•••• L•••••• C••• | Irvine, Ca | Oct 11, 2018 | 19 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
- W••••••• S••• S•• from S•••••• W••••• P•••••••• L••Mar 18, 2013 · Other
- B•••••• J••• C•••• from S•••••• W••••• P•••••••• L••Mar 15, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• B••••••• J••• · Co-Founder, Managing Member, And Chief Compliance Officercontrolsince 02/2011 · owns 25% to 50%
- S••• W•••••••• S••• · Founder And Managing Membercontrolsince 02/2011 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Irvine, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 533 to 589Jan 23, 2025 to Feb 23, 2026
- Corporate clients · unset to 2.0Jan 23, 2025 to Feb 23, 2026
- HNW clients · 140 to 153Jan 23, 2025 to Feb 23, 2026
- Individual clients · 184 to 188Jan 23, 2025 to Feb 23, 2026
- Employees · 8 to 7Jan 23, 2025 to Feb 23, 2026
- Discretionary RAUM · $179M to $224MJan 23, 2025 to Feb 23, 2026
- HNW RAUM · $136M to $175MJan 23, 2025 to Feb 23, 2026
- Individual RAUM · $31.5M to $36.3MJan 23, 2025 to Feb 23, 2026
- Pension RAUM · $10.2M to $11.8MJan 23, 2025 to Feb 23, 2026
- RAUM · $179M to $224MJan 23, 2025 to Feb 23, 2026
- Wrap assets (manager) · $179M to $214MJan 23, 2025 to Feb 23, 2026
- Wrap assets (sponsor) · $179M to $10.6MJan 23, 2025 to Feb 23, 2026
- Accounts · 521 to 533Feb 26, 2024 to Jan 23, 2025
- BD registered reps · 3 to 2Feb 26, 2024 to Jan 23, 2025
- HNW clients · 97 to 140Feb 26, 2024 to Jan 23, 2025
- Individual clients · 171 to 184Feb 26, 2024 to Jan 23, 2025
- Pension plan clients · 6 to 10Feb 26, 2024 to Jan 23, 2025
- Financial planning clients · 0 to 0Feb 26, 2024 to Jan 23, 2025
- Discretionary RAUM · $142M to $179MFeb 26, 2024 to Jan 23, 2025
- HNW RAUM · $124M to $136MFeb 26, 2024 to Jan 23, 2025
- Individual RAUM · $18.3M to $31.5MFeb 26, 2024 to Jan 23, 2025
- Non-discretionary RAUM · $10.2M to $0Feb 26, 2024 to Jan 23, 2025
- Pension RAUM · $10.6M to $10.2MFeb 26, 2024 to Jan 23, 2025
- RAUM · $153M to $179MFeb 26, 2024 to Jan 23, 2025
- Wrap assets (manager) · $153M to $179MFeb 26, 2024 to Jan 23, 2025
- Wrap assets (sponsor) · $153M to $179MFeb 26, 2024 to Jan 23, 2025
- Accounts · 535 to 521Aug 10, 2023 to Feb 26, 2024
- HNW clients · 57 to 97Aug 10, 2023 to Feb 26, 2024
- Individual clients · 197 to 171Aug 10, 2023 to Feb 26, 2024
- Pension plan clients · 5 to 6Aug 10, 2023 to Feb 26, 2024
- Discretionary RAUM · $109M to $142MAug 10, 2023 to Feb 26, 2024
- HNW RAUM · $80.2M to $124MAug 10, 2023 to Feb 26, 2024
- Individual RAUM · $28.9M to $18.3MAug 10, 2023 to Feb 26, 2024
- Non-discretionary RAUM · $9.5M to $10.2MAug 10, 2023 to Feb 26, 2024
- Pension RAUM · $9.3M to $10.6MAug 10, 2023 to Feb 26, 2024
- RAUM · $118M to $153MAug 10, 2023 to Feb 26, 2024
- Wrap assets (manager) · $118M to $153MAug 10, 2023 to Feb 26, 2024
- Wrap assets (sponsor) · $118M to $153MAug 10, 2023 to Feb 26, 2024
- Related broker-dealer · true to falseMar 7, 2023 to Aug 10, 2023
- Accounts · 462 to 535Mar 7, 2022 to Mar 7, 2023
Signals
1 dated events
- S•• G•••• W••••• P••••••• L•• filed its initial SEC registration (Form ADV)Dec 7, 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
- Website
- w••.s•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 949-625-6800reportedpublic record, Form ADV, May 21, 2026
- Contact form
- s•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $74.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026