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.
Former SEC-registered adviser
S••••• A••••••••• W•••••
Legal name B•••••• E••• G••••• L••
Latest filing Jan 12, 2018
First filing on the tape Jun 16, 2017 · 5 filings
RAUM
$9.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$9.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$9.4M as of Jan 12, 2018
Jun 16, 2017$0 then
HNW client RAUM$9.4M as of Jan 12, 2018
Dec 13, 2017$9.4M then
State-registered IARs (5.B.3)4 as of Jan 12, 2018
Jun 16, 20171 then
Employees (5.A)10 as of Jan 12, 2018
Jun 16, 20177 then
Private funds: no history
Practice profile
derived from the filing of Jan 12, 2018; every figure names its basis
- RAUM per advisor
- $2.3MderivedRAUM 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
- $2.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 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
- financial planning, 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
- is a broker-dealer (6.A.1)
- 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$9.4M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
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
- M•••••• G••••••••• to J••• M••••• S••••••••• L••Aug 8, 2021 · RIA to wirehouse
- S•••••• J••• L•••• to S•• I••••••••• S••••••• I•••Feb 28, 2020 · RIA to RIA
Joined, latest
- M•••••• G••••••••• from G•••••• S•••• W••••• S•••••••• L•••Sep 9, 2019 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• B•••••• H••••• · Managing Director, Ceocontrolsince 08/2013 · owns 50% to 75%
- L••• H•••• H•••••• · Chief Compliance Officercontrolsince 09/2017 · owns less than 5%
- L••••• S•••••• J••• · Chief Investment Officercontrolsince 01/2017 · owns less than 5%
- S••••• M•••••• P••••• · Managing Director, Coocontrolsince 08/2013 · owns 50% to 75%
- N••••••••• D••••• L•••• · Non-Executive Chairman, Strategic Advisorsince 07/2016 · owns 5% to 10%
- T•••••• C•••• B•••• · Financial Operations Principalsince 12/2015 · 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
- Advisory employees · 5 to 4Dec 13, 2017 to Jan 12, 2018
- Accounts · 0 to 4Nov 2, 2017 to Dec 13, 2017
- Advisory employees · 2 to 5Nov 2, 2017 to Dec 13, 2017
- BD registered reps · 5 to 7Nov 2, 2017 to Dec 13, 2017
- Employees · 7 to 10Nov 2, 2017 to Dec 13, 2017
- Financial planning clients · 0 to 1-10Nov 2, 2017 to Dec 13, 2017
- State-registered IARs · 1 to 4Nov 2, 2017 to Dec 13, 2017
- Discretionary RAUM · $0 to $9.4MNov 2, 2017 to Dec 13, 2017
- HNW RAUM · unset to 9368128.0Nov 2, 2017 to Dec 13, 2017
- RAUM · $0 to $9.4MNov 2, 2017 to Dec 13, 2017
- Other offices · unset to 0.0Jul 18, 2017 to Nov 2, 2017
Signals
1 dated events
- S••••• A••••••••• W••••• filed its initial SEC registration (Form ADV)Jun 16, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- B•••••• E••• G••••• L•• D/b/a Scenic Advisement · Venture Capitalshared crd · org
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
- Former SEC-registered adviserderiveda 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