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••••••••• A•••• M••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Jun 24, 2025 · 4 filings
SEC status approved since Jun 2, 2025
RAUM
$137M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$130M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$137M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$137M as of Mar 26, 2026
Jun 24, 2025$114M then
HNW client RAUM$83.6M as of Mar 26, 2026
Jun 24, 2025$62.5M then
State-registered IARs (5.B.3)1 as of Mar 26, 2026
Jun 24, 20251 then
Employees (5.A)1 as of Mar 26, 2026
Jun 24, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 26, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $137MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 158derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $381,720derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$83.6M61%
- Individuals$46.5M34%
- Charitable organizations$5.7M4.2%
- Corporations and businesses$935,0770.7%
- Pension and profit-sharing plans$659,6450.5%
- Individual clients
- 129reported
- HNW clients
- 29reported
- Pension plan clients
- n/areported
- Charitable clients
- 4reported
- Accounts
- 360reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E• D••• W••••• | Petaluma, Ca | Apr 4, 2013 | 26 y | 2 |
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
- E• D••• W••••• from H••••••••• I••••••••• I•••Apr 4, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••• E•• D••• · President/Chief Compliance Officercontrolsince 02/2013 · owns 75% or more
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
- Individual clients · 168 to 129Dec 19, 2025 to Feb 26, 2026
- Accounts · 384 to 360Dec 19, 2025 to Feb 26, 2026
- Charity clients · 10 to 4Dec 19, 2025 to Feb 26, 2026
- HNW clients · 23 to 29Dec 19, 2025 to Feb 26, 2026
- Other offices · 1 to 0Dec 19, 2025 to Feb 26, 2026
- Discretionary RAUM · $114M to $137MDec 19, 2025 to Feb 26, 2026
- HNW RAUM · $62.5M to $83.6MDec 19, 2025 to Feb 26, 2026
- Individual RAUM · $43.0M to $46.5MDec 19, 2025 to Feb 26, 2026
- Non-discretionary RAUM · $0 to $659,645Dec 19, 2025 to Feb 26, 2026
- Pension RAUM · unset to 659645.0Dec 19, 2025 to Feb 26, 2026
- RAUM · $114M to $137MDec 19, 2025 to Feb 26, 2026
- Advisory activities · 2 to 1Jun 24, 2025 to Dec 19, 2025
- Financial planning clients · 11-25 to 0Jun 24, 2025 to Dec 19, 2025
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 phone
- 609-904-6028reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 707-766-9480reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 609-904-6028reportedpublic record, Form ADV, Mar 26, 2026
- Contact form
- 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
- $137Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026