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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Former SEC-registered adviser
S•••••• W••••• M•••••••••
Legal name S•••••• W••••• M••••••••• L••
Latest filing Feb 7, 2025
First filing on the tape Jul 7, 2015 · 13 filings
SEC status approved since Jul 14, 2015
RAUM
$259M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$259M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
13 filings and snapshots on the tape
RAUM$259M as of Feb 7, 2025
Mar 11, 2016$3.6M then
HNW client RAUM$217M as of Feb 7, 2025
Mar 15, 2018$30.5M then
State-registered IARs (5.B.3)2 as of Feb 7, 2025
Mar 11, 20161 then
Employees (5.A)9 as of Feb 7, 2025
Mar 11, 20164 then
Private funds: no history
RAUM +18% over the last fiscal year+4.1% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 7, 2025; every figure names its basis
- RAUM per advisor
- $129MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 96derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $336,691derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $101M, 90 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$217M84%
- Individuals$41.8M16%
- Individual clients
- 93reported
- HNW clients
- 98reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 769reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $101M for 90 clientsreported
- 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
- T•••• J•• to S•••••• P••••••• I••••••••• A•••••••• L••Sep 4, 2025 · RIA to affiliated broker-dealer or bank
- J••• H• S•• to S•••••• P••••••• I••••••••• A•••••••• L••Sep 4, 2025 · RIA to affiliated broker-dealer or bank
- J••••• M• P•••••••• to E••• B••••• A•••••••• L••Dec 2, 2024 · RIA to RIA
- M•••••• G•••••• J••••• to B••••• P••••• A•••••••• L••Jan 26, 2017 · Other
Joined, latest
- J••••• M• P•••••••• from C•••••••• W••••• M•••••••••Mar 12, 2021 · RIA to RIA
- M•••••• G•••••• J••••• from C•••••••• W••••• M•••••••••Jul 14, 2015 · Other
- T•••• J•• from C•••••••• W••••• M•••••••••Jul 14, 2015 · Other
- J••• H• S•• from C•••••••• W••••• M•••••••••Jul 14, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for S•••••• P••••••• I••••••••• A•••••••• L••Sep 4, 2025 · Danville, Ca
- 2 joined from C•••••••• W••••• M•••••••••Sep 4, 2025 · San Ramon, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••• J•••• H• · Managing Member/Chief Compliance Officercontrolsince 12/2013 · owns 75% or more
Related persons
Schedule D 7.A
- C•••••••• I•••••••• S•••••••• L••real estaten
- C•••••••• W••••• M•••••••••investment advisernRAUM $787M
Advisers that list S•••••• W••••• M••••••••• as a related person
- 155343 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Danville, Ca · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 736 to 769Mar 22, 2024 to Feb 7, 2025
- HNW clients · 80 to 98Mar 22, 2024 to Feb 7, 2025
- Individual clients · 106 to 93Mar 22, 2024 to Feb 7, 2025
- Assets in custody · $90.0M to $101MMar 22, 2024 to Feb 7, 2025
- Employees · 10 to 9Mar 22, 2024 to Feb 7, 2025
- Insurance-licensed employees · 0 to 2Mar 22, 2024 to Feb 7, 2025
- Financial planning clients · 101-250 to 101-250Mar 22, 2024 to Feb 7, 2025
- Discretionary RAUM · $219M to $258MMar 22, 2024 to Feb 7, 2025
- HNW RAUM · $170M to $217MMar 22, 2024 to Feb 7, 2025
- Individual RAUM · $49.8M to $41.8MMar 22, 2024 to Feb 7, 2025
- Non-discretionary RAUM · $680,080 to $1.2MMar 22, 2024 to Feb 7, 2025
- RAUM · $219M to $259MMar 22, 2024 to Feb 7, 2025
- Accounts · 729 to 736Feb 16, 2023 to Mar 22, 2024
- Advisory employees · 3 to 2Feb 16, 2023 to Mar 22, 2024
- HNW clients · 70 to 80Feb 16, 2023 to Mar 22, 2024
- Individual clients · 110 to 106Feb 16, 2023 to Mar 22, 2024
- Assets in custody · $83.0M to $90.0MFeb 16, 2023 to Mar 22, 2024
- Employees · 8 to 10Feb 16, 2023 to Mar 22, 2024
- Insurance-licensed employees · 3 to 0Feb 16, 2023 to Mar 22, 2024
- HQ city · SAN RAMON to DANVILLEFeb 16, 2023 to Mar 22, 2024
- State-registered IARs · 3 to 2Feb 16, 2023 to Mar 22, 2024
- Discretionary RAUM · $194M to $219MFeb 16, 2023 to Mar 22, 2024
- HNW RAUM · $145M to $170MFeb 16, 2023 to Mar 22, 2024
- Individual RAUM · $57.2M to $49.8MFeb 16, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $8.5M to $680,080Feb 16, 2023 to Mar 22, 2024
- RAUM · $203M to $219MFeb 16, 2023 to Mar 22, 2024
- Accounts · 652 to 729Mar 29, 2022 to Feb 16, 2023
- HNW clients · 84 to 70Mar 29, 2022 to Feb 16, 2023
- Individual clients · 86 to 110Mar 29, 2022 to Feb 16, 2023
- Assets in custody · $71.5M to $83.0MMar 29, 2022 to Feb 16, 2023
- Insurance-licensed employees · 2 to 3Mar 29, 2022 to Feb 16, 2023
- State-registered IARs · 2 to 3Mar 29, 2022 to Feb 16, 2023
- Discretionary RAUM · $222M to $194MMar 29, 2022 to Feb 16, 2023
- HNW RAUM · $189M to $145MMar 29, 2022 to Feb 16, 2023
- Individual RAUM · $40.6M to $57.2MMar 29, 2022 to Feb 16, 2023
- Non-discretionary RAUM · $7.7M to $8.5MMar 29, 2022 to Feb 16, 2023
- RAUM · $230M to $203MMar 29, 2022 to Feb 16, 2023
- Accounts · 586 to 652Mar 4, 2021 to Mar 29, 2022
- HNW clients · 70 to 84Mar 4, 2021 to Mar 29, 2022
- Individual clients · 87 to 86Mar 4, 2021 to Mar 29, 2022
Signals
7 dated events
- S•••••• W••••• M••••••••• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $258.9M)Dec 20, 2025 · Left the SEC roster · derived
- T•••• J•• left S•••••• W••••• M••••••••• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2025-06-30)Sep 4, 2025 · Advisor changed firm · fact
- J••• H• S•• left S•••••• W••••• M••••••••• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2025-06-30)Sep 4, 2025 · Advisor changed firm · fact
- 2 advisors left S•••••• W••••• M••••••••• (Danville, CA) for S•••••• P••••••• I••••••••• A•••••••• L•• on the same daySep 4, 2025 · Team lift-out · derived
- 2 advisors left C•••••••• W••••• M••••••••• (San Ramon, CA) for S•••••• W••••• M••••••••• on the same daySep 4, 2025 · Team lift-out · derived
- J••••• M• P•••••••• left S•••••• W••••• M••••••••• for C•••••••• W••••• M••••••••• (registered 2021-03-12)Dec 2, 2024 · Advisor changed firm · fact
- S•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jul 7, 2015 · 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.
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