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•••••• W••••• M••••••••• G••••
Legal name S•••••• W••••• M••••••••• G••••• L••
Latest filing Mar 5, 2026
First filing on the tape Mar 23, 2021 · 6 filings
SEC status approved since Apr 23, 2021
RAUM
$191M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$191M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$95.7M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$191M as of Mar 5, 2026
Mar 23, 2022$147M then
HNW client RAUM$159M as of Mar 5, 2026
Mar 23, 2022$8.0M then
State-registered IARs (5.B.3)2 as of Mar 5, 2026
Mar 23, 20221 then
Employees (5.A)3 as of Mar 5, 2026
Mar 23, 20221 then
Private funds: no history
RAUM +23% over the last fiscal year+19% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 5, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $95.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 76derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $573,105derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $191MreportedItem 5.I
- Custody
- $191M, 151 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$159M83%
- Individuals$32.1M17%
- Individual clients
- 94reported
- HNW clients
- 58reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 334reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $191M for 151 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••••••• R•••••• S••••••Certified Financial Planner, Chartered Financial Consultant | Mandeville, La | Sep 23, 2014 | 43 y | 0 |
| J••••• R•••••• S••••••Certified Financial Planner | Mandeville, La | Aug 15, 2022 | 12 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••• B•••••••• N•••••• · Chief Compliance Officercontrolsince 03/2020 · owns less than 5%
- S••••••• L•••••••• R•••••• · Presidentcontrolsince 12/1982 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Mandeville, La · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 319 to 334Mar 20, 2025 to Mar 5, 2026
- HNW clients · 43 to 58Mar 20, 2025 to Mar 5, 2026
- Individual clients · 96 to 94Mar 20, 2025 to Mar 5, 2026
- Assets in custody · $155M to $191MMar 20, 2025 to Mar 5, 2026
- Discretionary RAUM · $155M to $191MMar 20, 2025 to Mar 5, 2026
- HNW RAUM · $124M to $159MMar 20, 2025 to Mar 5, 2026
- Individual RAUM · $31.4M to $32.1MMar 20, 2025 to Mar 5, 2026
- RAUM · $155M to $191MMar 20, 2025 to Mar 5, 2026
- Accounts · 269 to 319Mar 21, 2024 to Mar 20, 2025
- Corporate clients · 2.0 to unsetMar 21, 2024 to Mar 20, 2025
- HNW clients · 91 to 43Mar 21, 2024 to Mar 20, 2025
- Individual clients · 42 to 96Mar 21, 2024 to Mar 20, 2025
- Assets in custody · unset to 155061629.0Mar 21, 2024 to Mar 20, 2025
- Custody of client assets · false to trueMar 21, 2024 to Mar 20, 2025
- Financial planning clients · 0 to 0Mar 21, 2024 to Mar 20, 2025
- Discretionary RAUM · $128M to $155MMar 21, 2024 to Mar 20, 2025
- HNW RAUM · $119M to $124MMar 21, 2024 to Mar 20, 2025
- Individual RAUM · $7.8M to $31.4MMar 21, 2024 to Mar 20, 2025
- RAUM · $128M to $155MMar 21, 2024 to Mar 20, 2025
- Accounts · 252 to 269Mar 27, 2023 to Mar 21, 2024
- Charity clients · 1.0 to unsetMar 27, 2023 to Mar 21, 2024
- Corporate clients · 4 to 2Mar 27, 2023 to Mar 21, 2024
- HNW clients · 84 to 91Mar 27, 2023 to Mar 21, 2024
- Individual clients · 60 to 42Mar 27, 2023 to Mar 21, 2024
- Discretionary RAUM · $113M to $128MMar 27, 2023 to Mar 21, 2024
- HNW RAUM · $101M to $119MMar 27, 2023 to Mar 21, 2024
- Individual RAUM · $9.1M to $7.8MMar 27, 2023 to Mar 21, 2024
- RAUM · $113M to $128MMar 27, 2023 to Mar 21, 2024
- Accounts · 233 to 252Mar 23, 2022 to Mar 27, 2023
- Advisory employees · 1 to 2Mar 23, 2022 to Mar 27, 2023
- BD registered reps · 1 to 2Mar 23, 2022 to Mar 27, 2023
- Charity clients · unset to 1.0Mar 23, 2022 to Mar 27, 2023
- HNW clients · 53 to 84Mar 23, 2022 to Mar 27, 2023
- Individual clients · 84 to 60Mar 23, 2022 to Mar 27, 2023
- Employees · 1 to 3Mar 23, 2022 to Mar 27, 2023
- State-registered IARs · 1 to 2Mar 23, 2022 to Mar 27, 2023
- Discretionary RAUM · $147M to $113MMar 23, 2022 to Mar 27, 2023
- HNW RAUM · $8.0M to $101MMar 23, 2022 to Mar 27, 2023
- Individual RAUM · $135M to $9.1MMar 23, 2022 to Mar 27, 2023
- RAUM · $147M to $113MMar 23, 2022 to Mar 27, 2023
Signals
1 dated events
- S•••••• W••••• M••••••••• G•••• filed its initial SEC registration (Form ADV)Mar 23, 2021 · 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
- Business email
- r••••@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- b•••••••@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- e••••@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 985-674-6722reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 508-448-6017reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S••••••WMG.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 985-674-6722reportedpublic record, Form ADV, Mar 5, 2026
- Contact form
- s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- 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
- $95.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026