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.
SEC-registered adviser
S•••••••• W••••• A•••••••• L••
Latest filing May 14, 2026
First filing on the tape Apr 6, 2015 · 36 filings
SEC status approved since Apr 13, 2015
RAUM
$354M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
100%
$353M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$88.6M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$354M as of May 14, 2026
Mar 14, 2016$117M then
HNW client RAUM$280M as of May 14, 2026
Mar 18, 2018$52.9M then
State-registered IARs (5.B.3)4 as of May 14, 2026
Mar 14, 20162 then
Employees (5.A)5 as of May 14, 2026
Mar 14, 20163 then
Private funds: no history
RAUM +21% over the last fiscal year+18% a year over threeIARs 4 to 4
Practice profile
derived from the filing of May 14, 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
- RAUM per advisor
- $88.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $389,234derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 82%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
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $200M, 101 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$280M79%
- Individuals$72.9M21%
- Corporations and businesses$1.0M0.3%
- Individual clients
- 172reported
- HNW clients
- 118reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 910reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $200M for 101 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• J••••• S•••••• | Groton, Ct | May 12, 2015 | 24 y | 1 |
| S••••• A•••••••• P•••••• | Groton, Ct | May 12, 2015 | 32 y | 1 |
| W•••••• E••••• D••••• | Groton, Ct | Nov 20, 2018 | 17 y | 0 |
| M••• M•••••Chartered Financial Analyst | Groton, Ct | Mar 30, 2023 | 22 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••• J••••• S•••••• from A••••••••• F•••••••• S•••••••• L••May 12, 2015 · Affiliated broker-dealer or bank to a newly registered adviser
- S••••• A•••••••• P•••••• from A••••••••• F•••••••• S•••••••• L••May 12, 2015 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from A••••••••• F•••••••• S•••••••• L••May 14, 2015 · New Haven, Ct
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••• S•••••• A•••••••• · Managing Member And Chief Compliance Officercontrolsince 04/2015 · owns 50% to 75%
- S••••••• M•••• J••••• · Managing Membercontrolsince 04/2015 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Groton, Ct · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Madison, CT2 employees
What changed
consecutive filings, newest first
- Accounts · 823 to 910Jul 15, 2025 to Feb 19, 2026
- HNW clients · 100 to 118Jul 15, 2025 to Feb 19, 2026
- Individual clients · 169 to 172Jul 15, 2025 to Feb 19, 2026
- Assets in custody · $114M to $200MJul 15, 2025 to Feb 19, 2026
- Employees · 6 to 5Jul 15, 2025 to Feb 19, 2026
- Financial planning clients · 0 to 1-10Jul 15, 2025 to Feb 19, 2026
- Discretionary RAUM · $237M to $292MJul 15, 2025 to Feb 19, 2026
- HNW RAUM · $227M to $280MJul 15, 2025 to Feb 19, 2026
- Individual RAUM · $65.7M to $72.9MJul 15, 2025 to Feb 19, 2026
- Non-discretionary RAUM · $57.3M to $62.2MJul 15, 2025 to Feb 19, 2026
- RAUM · $294M to $354MJul 15, 2025 to Feb 19, 2026
- Financial planning clients · 0 to 0Mar 13, 2025 to Jul 15, 2025
- Accounts · 799 to 823Nov 14, 2024 to Mar 13, 2025
- HNW clients · 94 to 100Nov 14, 2024 to Mar 13, 2025
- Individual clients · 167 to 169Nov 14, 2024 to Mar 13, 2025
- Assets in custody · $101M to $114MNov 14, 2024 to Mar 13, 2025
- Financial planning clients · 1-10 to 0Nov 14, 2024 to Mar 13, 2025
- Discretionary RAUM · $194M to $237MNov 14, 2024 to Mar 13, 2025
- HNW RAUM · $185M to $227MNov 14, 2024 to Mar 13, 2025
- Individual RAUM · $57.0M to $65.7MNov 14, 2024 to Mar 13, 2025
- Non-discretionary RAUM · $48.8M to $57.3MNov 14, 2024 to Mar 13, 2025
- RAUM · $242M to $294MNov 14, 2024 to Mar 13, 2025
- Accounts · 804 to 799Apr 3, 2023 to Mar 18, 2024
- Advisory employees · 3 to 4Apr 3, 2023 to Mar 18, 2024
- Corporate clients · 1.0 to unsetApr 3, 2023 to Mar 18, 2024
- HNW clients · 95 to 94Apr 3, 2023 to Mar 18, 2024
- Individual clients · 163 to 167Apr 3, 2023 to Mar 18, 2024
- Assets in custody · $17.7M to $101MApr 3, 2023 to Mar 18, 2024
- Employees · 5 to 6Apr 3, 2023 to Mar 18, 2024
- Financial planning clients · 11-25 to 1-10Apr 3, 2023 to Mar 18, 2024
- State-registered IARs · 3 to 4Apr 3, 2023 to Mar 18, 2024
- Discretionary RAUM · $167M to $194MApr 3, 2023 to Mar 18, 2024
- HNW RAUM · $163M to $185MApr 3, 2023 to Mar 18, 2024
- Individual RAUM · $52.3M to $57.0MApr 3, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $49.0M to $48.8MApr 3, 2023 to Mar 18, 2024
- RAUM · $216M to $242MApr 3, 2023 to Mar 18, 2024
- Accounts · 847 to 804Nov 15, 2022 to Mar 16, 2023
- HNW clients · 118 to 95Nov 15, 2022 to Mar 16, 2023
- Individual clients · 143 to 163Nov 15, 2022 to Mar 16, 2023
- Assets in custody · $125M to $17.7MNov 15, 2022 to Mar 16, 2023
Signals
1 dated events
- P•••••• • S•••••• L•• filed its initial SEC registration (Form ADV)Apr 6, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 203-421-6950reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 860-445-0269reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 860-448-0611reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S••••••••WA.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (860) 448-0611reportedpublic record, Form ADV, May 14, 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
- $88.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026