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••••• P••••••• L••
Latest filing Jun 11, 2026
First filing on the tape Feb 4, 2025 · 5 filings
SEC status approved since Feb 12, 2025
RAUM
$159M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$159M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$53.0M
derived; firm RAUM over IAPD count
Employees
4
3 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$159M as of Jun 11, 2026
Feb 4, 2025$139M then
HNW client RAUM$121M as of Jun 11, 2026
Feb 4, 2025$102M then
State-registered IARs (5.B.3)3 as of Jun 11, 2026
Feb 4, 20253 then
Employees (5.A)4 as of Jun 11, 2026
Feb 4, 20254 then
Private funds: no history
RAUM +14% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Jun 11, 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
- Independent 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
- $53.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $289,756derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +20%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $65.9M, 70 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$121M76%
- Individuals$37.7M24%
- Individual clients
- 116reported
- HNW clients
- 57reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 549reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $65.9M for 70 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=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• D•••• V•• W••Certified Financial Planner | Jacksonville Beach, Fl | May 10, 2021 | 11 y | 0 |
| J••••• K•••••• L•••Certified Financial Planner | Jacksonville Beach, Fl | Jan 17, 2025 | 10 y | 2 |
| S••••• H••••• V•• W••Certified Financial Planner | Jacksonville Beach, Fl | May 28, 2025 | 25 y | 1 |
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
- S••••• H••••• V•• W•• from M••••• A••••••• S•••••••• I•••May 28, 2025 · Other
- J••••• K•••••• L••• from F••• F••••••••Jan 17, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••• J•••••• K•••••• · Owner, Chief Planning Officercontrolsince 01/2025 · owns 10% to 25%
- V•• W••• A•••• D•••• · Managing Member And Ccocontrolsince 01/2020 · 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 |
|---|---|---|---|---|---|
| Jacksonville Beach, Fl · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 486 to 549Oct 21, 2025 to Feb 5, 2026
- HNW clients · 39 to 57Oct 21, 2025 to Feb 5, 2026
- Individual clients · 105 to 116Oct 21, 2025 to Feb 5, 2026
- Assets in custody · $76.0M to $65.9MOct 21, 2025 to Feb 5, 2026
- Discretionary RAUM · $139M to $159MOct 21, 2025 to Feb 5, 2026
- HNW RAUM · $102M to $121MOct 21, 2025 to Feb 5, 2026
- Individual RAUM · $37.0M to $37.7MOct 21, 2025 to Feb 5, 2026
- RAUM · $139M to $159MOct 21, 2025 to Feb 5, 2026
- Assets in custody · $72.0M to $76.0MFeb 4, 2025 to Oct 21, 2025
- Insurance-licensed employees · 1 to 0Feb 4, 2025 to Oct 21, 2025
- Related adviser · true to falseFeb 4, 2025 to Oct 21, 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 email
- i•••@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 904-685-1505reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S••••••WEALTH.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (904) 685-1505reportedpublic record, Form ADV, Jun 11, 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
- $53.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026