DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S•••••••• W••••• M••••••••• L••
Latest filing Mar 9, 2026
First filing on the tape Mar 2, 2018 · 20 filings
SEC status approved since Apr 2, 2018
RAUM
$158M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$157M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$78.9M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$158M as of Mar 9, 2026
Jan 31, 2019$94.5M then
HNW client RAUM$127M as of Mar 9, 2026
Jan 31, 2019$77.9M then
State-registered IARs (5.B.3)2 as of Mar 9, 2026
Jan 31, 20193 then
Employees (5.A)4 as of Mar 9, 2026
Jan 31, 20196 then
Private funds: no history
RAUM +21% over the last fiscal year+6.0% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Mar 9, 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
- i••••••••• 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
- RAUM per advisor
- $78.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 87derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $446,920derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $29.9M, 68 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$127M81%
- Individuals$29.4M19%
- Corporations and businesses$1.0M0.6%
- Individual clients
- 110reported
- HNW clients
- 64reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 353reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $29.9M for 68 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 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 |
|---|---|---|---|---|
| M•••••• M• C•••••Certified Financial Planner | Bedford, Tx | Oct 6, 2014 | 15 y | 2 |
| M•••••• T••••• H••••••Certified Financial Planner | Bedford, Tx | Sep 24, 2015 | 11 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
- M•••••• M• C••••• from I••••••••• F•••••••• P•••••••Oct 6, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• M••••••• M• · President & Chief Compliance Officercontrolsince 01/2019 · 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 |
|---|---|---|---|---|---|
| Bedford, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 352 to 353Mar 20, 2025 to Mar 9, 2026
- BD registered reps · 3 to 2Mar 20, 2025 to Mar 9, 2026
- Corporate clients · 1 to 2Mar 20, 2025 to Mar 9, 2026
- HNW clients · 71 to 64Mar 20, 2025 to Mar 9, 2026
- Individual clients · 105 to 110Mar 20, 2025 to Mar 9, 2026
- Assets in custody · $19.6M to $29.9MMar 20, 2025 to Mar 9, 2026
- Employees · 5 to 4Mar 20, 2025 to Mar 9, 2026
- State-registered IARs · 3 to 2Mar 20, 2025 to Mar 9, 2026
- Discretionary RAUM · $131M to $158MMar 20, 2025 to Mar 9, 2026
- HNW RAUM · $108M to $127MMar 20, 2025 to Mar 9, 2026
- Individual RAUM · $22.0M to $29.4MMar 20, 2025 to Mar 9, 2026
- RAUM · $131M to $158MMar 20, 2025 to Mar 9, 2026
- Accounts · 338 to 352Jun 25, 2024 to Mar 20, 2025
- HNW clients · 64 to 71Jun 25, 2024 to Mar 20, 2025
- Individual clients · 101 to 105Jun 25, 2024 to Mar 20, 2025
- Assets in custody · $19.1M to $19.6MJun 25, 2024 to Mar 20, 2025
- Financial planning clients · 0 to 0Jun 25, 2024 to Mar 20, 2025
- Discretionary RAUM · $118M to $131MJun 25, 2024 to Mar 20, 2025
- HNW RAUM · $99.1M to $108MJun 25, 2024 to Mar 20, 2025
- Individual RAUM · $18.6M to $22.0MJun 25, 2024 to Mar 20, 2025
- RAUM · $118M to $131MJun 25, 2024 to Mar 20, 2025
- Related broker-dealer · true to falseFeb 28, 2024 to Jun 25, 2024
- Accounts · 373 to 338Aug 31, 2023 to Feb 28, 2024
- Charity clients · 1.0 to unsetAug 31, 2023 to Feb 28, 2024
- Corporate clients · 2 to 1Aug 31, 2023 to Feb 28, 2024
- HNW clients · 61 to 64Aug 31, 2023 to Feb 28, 2024
- Individual clients · 107 to 101Aug 31, 2023 to Feb 28, 2024
- Assets in custody · $24.8M to $19.1MAug 31, 2023 to Feb 28, 2024
- Discretionary RAUM · $132M to $118MAug 31, 2023 to Feb 28, 2024
- HNW RAUM · $112M to $99.1MAug 31, 2023 to Feb 28, 2024
- Individual RAUM · $19.5M to $18.6MAug 31, 2023 to Feb 28, 2024
- RAUM · $132M to $118MAug 31, 2023 to Feb 28, 2024
- Related broker-dealer · false to trueAug 31, 2023 to Feb 28, 2024
- Related broker-dealer · true to falseFeb 28, 2023 to Aug 31, 2023
- Accounts · 423 to 373Mar 23, 2022 to Feb 28, 2023
- Charity clients · unset to 1.0Mar 23, 2022 to Feb 28, 2023
- Corporate clients · unset to 2.0Mar 23, 2022 to Feb 28, 2023
- HNW clients · 69 to 61Mar 23, 2022 to Feb 28, 2023
- Individual clients · 101 to 107Mar 23, 2022 to Feb 28, 2023
- Assets in custody · $27.0M to $24.8MMar 23, 2022 to Feb 28, 2023
Signals
4 dated events
- Marie Jeanine Benenati (Chief Compliance Officer) no longer on Schedule A of S•••••••• W••••• M••••••••• L•• (listed 2020-06-10, absent 2020-10-08)Oct 8, 2020 · Control person left · inference
- S•••••••• W••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 31, 2019 · Succession (Item 4) · fact
- M Matthew Condit (President) appeared on Schedule A of S•••••••• W••••• M••••••••• L••Jan 31, 2019 · Control person joined · fact
- S•••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 2, 2018 · 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 phone
- 817-391-1090reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 817-391-1091reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S••••••••WEALTHMGMT.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (817) 391-1090reportedpublic record, Form ADV, Mar 9, 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
- $78.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026