DFX Intelligence

RIA Intelligence

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SEC-registered adviser

S••••••••• A•••• M••••••••• L••

Independent wealth managerWestlake, TexasCRD 282103SEC 801-107061website IAPD

Latest filing Sep 9, 2026

First filing on the tape Dec 10, 2015 · 28 filings

SEC status approved since Jan 4, 2016

RAUM

$1.3B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

99%

$1.3B individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$58.7M

derived; firm RAUM over IAPD count

Employees

14 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

28 filings and snapshots on the tape

RAUM$1.3B as of Jun 3, 2026

Mar 31, 2017$217M then

HNW client RAUM$1.0B as of Jun 3, 2026

Jan 30, 2018$256M then

State-registered IARs (5.B.3)18 as of Jun 3, 2026

Mar 31, 20170 then

Employees (5.A)34 as of Jun 3, 2026

Mar 31, 201712 then

Private funds3 as of Jun 3, 2026

Mar 31, 20241 then

RAUM +23% over the last fiscal year+24% a year over threeIARs 20 to 22offices 3 to 4

Practice profile

derived from the filing of Sep 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

RAUM per advisor: $58.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 44derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.8MderivedHNW RAUM over HNW clients
Average account: $347,677derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 4.4derived5 offices incl. principal (1.F.5)
RAUM growth, one year: +23%derivedbetween the last two annual amendments
Advisor growth, one year: -10%derivedItem 5.B.3 between annual amendments
Client growth, one year: +5.1%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody: $292M, 346 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)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$1.0B80%
Individuals$245M19%
Pension and profit-sharing plans$14.1M1.1%
Charitable organizations$3.2M0.2%
Corporations and businesses$2.1M0.2%

Individual clients: 396reported
HNW clients: 579reported
Pension plan clients: 11reported
Charitable clients: 7reported
Accounts: 3,714reported
Financial planning clients: 251-500reported
Wrap fee programs: noreported
Custody of client assets: $292M for 346 clientsreported
Compensation: % of AUMreported
Class basis: private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd= related_bank= bd_reps=0.0derived

Advisors registered through the firm

22 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
J•••••• S•••••• S••••••	Winter Garden, Fl	Aug 22, 2022	28 y	5
A••••• G•••••• R•••	Westlake, Tx	Oct 19, 2022	13 y	1
K•••••• L•• S••••••	San Bruno, Ca	Dec 5, 2022	31 y	3
M•••••• J•••• J•••••Chartered Financial Analyst	Gilbert, Az	Dec 5, 2022	15 y	3
J•••• M•••••• J••••• S••••••	San Francisco, Ca	Jan 1, 2023	11 y	3
J•••••• D• S••••	Westlake, Tx	Jan 5, 2023	11 y	1
M•••••• L•••••• W••••••••	San Francisco, Ca	Jan 16, 2023	22 y	3
K•••••••• C•••• T•••••••••Certified Financial Planner	Westlake, Tx	Jan 20, 2023	10 y	2
C••••••••• C••••• G•••••Certified Financial Planner	Westlake, Tx	Jan 23, 2023	33 y	6
R••• M•••••• W•••••	Westlake, Tx	Jan 23, 2023	18 y	2
W•••••• F•••••••• P•••••••	Westlake, Tx	Mar 17, 2023	23 y	3
C•••• T••••• D•••••	Westlake, Tx	Oct 17, 2023	11 y	0
B•••••• A•••••••	Clifton Park, Ny	Oct 17, 2023	10 y	0
G••••• M•••••• S••••	New York, Ny	Jun 11, 2024	13 y	1
C••••••••• J•••• D••••••Certified Financial Planner	Westlake, Tx	Jan 2, 2025	24 y	3
C••••• N••••• S•••••	Westlake, Tx	Jan 2, 2025	11 y	0
M•••• V•••••• V••••••Chartered Financial Analyst	Westlake, Tx	Jan 2, 2025	21 y	1
Z•••••• L•••	Westlake, Tx	Oct 16, 2025	12 y	1
P•••• M•••••	Westlake, Tx	Dec 5, 2025	12 y	0
R••• K••••••	Naperville, Il	Dec 16, 2025	32 y	2
T• T•••••	Westlake, Tx	Apr 6, 2026	12 y	0
D•••• O••••	Westlake, Tx	Jul 27, 2026	14 y	0

Advisor movement

2 left, 2 joined in 12 months

net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 9.1% of current headcount3 left over 36 months

Left, latest

T••••••• V•••••• to C••••••• P•••••••
Apr 27, 2026 · RIA to RIA
T••••• J•• C••••• to S••••••••• L••
Apr 14, 2026 · RIA to RIA
T•••• S••••• to D••••••
Jan 30, 2024 · RIA to RIA

Joined, latest

R••• K•••••• from F••••• I•••••••••
Dec 16, 2025 · RIA to RIA
Z•••••• L••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Oct 16, 2025 · Wirehouse to independent RIA
C••••••••• J•••• D•••••• from D••••••• S••••••••• L••
Jan 2, 2025 · RIA to RIA
G••••• M•••••• S•••• from Z••••• I••••••••• I•••
Jun 11, 2024 · Other
T••••• J•• C••••• from L•••• W••••• M•••••••••
Sep 14, 2023 · RIA to RIA
W•••••• F•••••••• P••••••• from O•••••• P•••••••
Mar 17, 2023 · Other
R••• M•••••• W••••• from P••••••••• W••••• P••••••• L••
Jan 23, 2023 · RIA to RIA
C••••••••• C••••• G••••• from M•• W•••••
Jan 23, 2023 · RIA to RIA
K•••••••• C•••• T••••••••• from J••• M••••• S••••••••• L••
Jan 20, 2023 · Wirehouse to independent RIA
M•••••• L•••••• W•••••••• from E•••••• C•••••• M••••••••• L••
Jan 16, 2023 · RIA to RIA
J•••••• D• S•••• from C••••••• S••••••••• I•••
Jan 5, 2023 · Affiliated broker-dealer or bank to independent RIA
J•••• M•••••• J••••• S•••••• from B••••••• I••••••••• S•••••••• I••• •••••
Jan 1, 2023 · Affiliated broker-dealer or bank to independent RIA
K•••••• L•• S•••••• from S••••••• I••••••••• I•••
Dec 5, 2022 · Other
T••••••• V•••••• from E•••••• C•••••• M••••••••• L••
Oct 3, 2022 · Other
J•••••• S•••••• S•••••• from L•• F•••••••• L••
Aug 22, 2022 · Affiliated broker-dealer or bank to independent RIA

Every departure Every arrival

Private funds

3 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
S•• A••••••••• I••••••••• O••••••••• F••• I•	Other Private Fund	$38.0M	0	Mar 31, 2024
S•• A••••••••• I••••••••• O••••••••• F••• 2•		$27.9M	90	Sep 9, 2026
S•• A••••••••• I••••••••• O••••••••• F••• 3•		$0	0	Sep 9, 2026

Owners and control persons

Schedule A and B, latest filing

D••••••• C••••••••• J•••• · Chief Executive Officercontrol
since 05/2022 · owns 5% to 10%
O•••••• E•••••• G•••• · Chief Operating Officercontrol
since 03/2016 · owns 5% to 10%
R•••• A•••••• G•••••• · Chief Investment Officercontrol
since 07/2021 · owns 5% to 10%
S••••••• J••••••• S•••••• · Chief Compliance Officercontrol
since 08/2022 · owns less than 5%
O•••••• E•••••• G•••• · Chief Operating Officercontrol
since 12/2020 · owns F of S••••••••• A•••• M••••••••• P••••••• •••• L••

Entity owners

M•••••••• W••••• P•••••••• L• · Managing Member
direct · owns 75% or more
S••••••••• A•••• M••••••••• P•••••••• L• · Managing Member
direct · owns 75% or more
S••••••••• A•••• M••••••••• P••••••• •••• L•• · General Partner
indirect · owns F of S••••••••• A•••• M••••••••• P•••••••• L•

Related persons

Schedule D 7.A

No related person reported.

Advisers that list S••••••••• A•••• M••••••••• L•• as a related person

302042 n
332918 n

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left
Westlake, Tx · principal	21	5	2
Clifton Park, Ny	3	0	0
New York, Ny	2	0	0
San Francisco, Ca	2	0	0
San Mateo, Ca	0	0	0

Offices

Schedule D 1.F, the 25 largest

New York, NY1 employees
, 1 employees
Clifton Park, NY

ADV anomalies

1 against comparable advisers; where to look, not conclusions

business activity changedChange between filings · filing Sep 9, 2026
portfolio management for pooled vehicles (Item 5.G.4): no on the filing of 2026-06-03, yes on the filing of 2026-09-09
peers: independent wealth managers, $1B to $5B (1,362)

How anomalies are measured

What changed

consecutive filings, newest first

Advisory employees · 13 to 14
Jun 3, 2026 to Sep 9, 2026
Advisory activities · 3 to 5
Jun 3, 2026 to Sep 9, 2026
Business name · S••••••••• A•••• M••••••••• L•• to M•••••••• W•••••• L••
Jun 3, 2026 to Sep 9, 2026
Financial planning clients · 251-500 to 251-500
Jun 3, 2026 to Sep 9, 2026
State-registered IARs · 18 to 22
Jun 3, 2026 to Sep 9, 2026
Legal name · S••••••••• A•••• M••••••••• L•• to M•••••••• W•••••• L••
Jun 3, 2026 to Sep 9, 2026
Private funds · 3 to unset
Jun 3, 2026 to Sep 9, 2026
Related adviser · false to unset
Jun 3, 2026 to Sep 9, 2026
Related bank · false to unset
Jun 3, 2026 to Sep 9, 2026
Related broker-dealer · false to unset
Jun 3, 2026 to Sep 9, 2026
Related insurance company · false to unset
Jun 3, 2026 to Sep 9, 2026
Succession · false to unset
Jun 3, 2026 to Sep 9, 2026
Other offices · 3 to 4
Mar 31, 2026 to Jun 3, 2026
Private funds · 2 to 3
Mar 31, 2026 to Jun 3, 2026
Accounts · 3,164 to 3,714
Mar 28, 2025 to Mar 31, 2026
Charity clients · 4 to 7
Mar 28, 2025 to Mar 31, 2026
HNW clients · 527 to 579
Mar 28, 2025 to Mar 31, 2026
Individual clients · 401 to 396
Mar 28, 2025 to Mar 31, 2026
Pension plan clients · 12 to 11
Mar 28, 2025 to Mar 31, 2026
Assets in custody · $322M to $292M
Mar 28, 2025 to Mar 31, 2026
Employees · 38 to 34
Mar 28, 2025 to Mar 31, 2026
State-registered IARs · 20 to 18
Mar 28, 2025 to Mar 31, 2026
Private funds · 1 to 2
Mar 28, 2025 to Mar 31, 2026
Discretionary RAUM · $1.0B to $1.3B
Mar 28, 2025 to Mar 31, 2026
HNW RAUM · $798M to $1.0B
Mar 28, 2025 to Mar 31, 2026
Individual RAUM · $235M to $245M
Mar 28, 2025 to Mar 31, 2026
Pension RAUM · $12.4M to $14.1M
Mar 28, 2025 to Mar 31, 2026
RAUM · $1.0B to $1.3B
Mar 28, 2025 to Mar 31, 2026
Accounts · 2,636 to 3,164
Jun 2, 2024 to Mar 28, 2025
Advisory employees · 6 to 13
Jun 2, 2024 to Mar 28, 2025
Charity clients · 1 to 4
Jun 2, 2024 to Mar 28, 2025
Corporate clients · 4 to 3
Jun 2, 2024 to Mar 28, 2025
HNW clients · 1,521 to 527
Jun 2, 2024 to Mar 28, 2025
Individual clients · 1,061 to 401
Jun 2, 2024 to Mar 28, 2025
Pension plan clients · 49 to 12
Jun 2, 2024 to Mar 28, 2025
Assets in custody · $264M to $322M
Jun 2, 2024 to Mar 28, 2025
Employees · 36 to 38
Jun 2, 2024 to Mar 28, 2025
Financial planning clients · 101-250 to 251-500
Jun 2, 2024 to Mar 28, 2025
Discretionary RAUM · $876M to $1.0B
Jun 2, 2024 to Mar 28, 2025
HNW RAUM · $634M to $798M
Jun 2, 2024 to Mar 28, 2025

Signals

19 dated events

T••••••• V•••••• left S••••••••• A•••• M••••••••• L•• for C••••••• P••••••• (registered 2026-04-13)
Apr 27, 2026 · Advisor changed firm · fact
T••••• J•• C••••• left S••••••••• A•••• M••••••••• L•• for S••••••••• L•• (registered 2026-01-23)
Apr 14, 2026 · Advisor changed firm · fact
S••••••••• A•••• M••••••••• L•• reported RAUM $875.5M, up 29% from $678.0M (2023-03-30 to 2024-03-31)
Mar 31, 2024 · RAUM change · derived
S••••••••• A•••• M••••••••• L•• reported 20 state-registered advisory representatives, up from 0 (2023-03-30 to 2024-03-31)
Mar 31, 2024 · Advisor headcount change · derived
T•••• S••••• left S••••••••• A•••• M••••••••• L•• for Dynamic (registered 2024-04-01)
Jan 30, 2024 · Advisor changed firm · fact
Robert William Bonner (Trustee) no longer on Schedule A of S••••••••• A•••• M••••••••• L•• (listed 2023-03-29, absent 2023-03-30)
Mar 30, 2023 · Control person left · inference
Rambo Jean Hankey (Trustee) no longer on Schedule A of S••••••••• A•••• M••••••••• L•• (listed 2023-03-29, absent 2023-03-30)
Mar 30, 2023 · Control person left · inference
Herschel Myles Norin (Manager) no longer on Schedule A of S••••••••• A•••• M••••••••• L•• (listed 2023-03-29, absent 2023-03-30)
Mar 30, 2023 · Control person left · inference
Gregory Austin Root (Chief Investment Officer) appeared on Schedule A of S••••••••• A•••• M••••••••• L••
Mar 29, 2023 · Control person joined · fact
Vincent Dolce (Chief Compliance Officer) no longer on Schedule A of S••••••••• A•••• M••••••••• L•• (listed 2022-06-09, absent 2022-08-26)
Aug 26, 2022 · Control person left · inference
Spencer J•••••• Sargent (Chief Compliance Officer) appeared on Schedule A of S••••••••• A•••• M••••••••• L••
Aug 26, 2022 · Control person joined · fact
James Christopher Delaura (Chief Executive Officer) appeared on Schedule A of S••••••••• A•••• M••••••••• L••
Jun 9, 2022 · Control person joined · fact
S••••••••• A•••• M••••••••• L•• reported RAUM $671.5M, up 27% from $529.8M (2021-07-01 to 2022-03-31)
Mar 31, 2022 · RAUM change · derived
Kathleen Molly Lienesch (President) no longer on Schedule A of S••••••••• A•••• M••••••••• L•• (listed 2021-03-31, absent 2021-07-01)
Jul 1, 2021 · Control person left · inference
S••••••••• A•••• M••••••••• L•• reported RAUM $529.8M, up 26% from $422.0M (2021-01-29 to 2021-03-31)
Mar 31, 2021 · RAUM change · derived
Charnes Erez Kalir (Chief Executive Officer) no longer on Schedule A of S••••••••• A•••• M••••••••• L•• (listed 2020-07-30, absent 2021-01-29)
Jan 29, 2021 · Control person left · inference
Vincent Dolce (Chief Compliance Officer) appeared on Schedule A of S••••••••• A•••• M••••••••• L••
Jan 29, 2021 · Control person joined · fact
T••••• John Formichella (Chief Compliance Officer) no longer on Schedule A of S••••••••• A•••• M••••••••• L•• (listed 2020-06-30, absent 2020-07-30)
Jul 30, 2020 · Control person left · inference
S••••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Dec 10, 2015 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

S••••••••• A•••• M••••••••• L•• · Independent Sponsors
shared crd · capital_provider

How to reach

public business contact points only, each with its source

Business phone: 646-854-4370reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 972-910-2750reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile: LINKEDIN.COM/COMPANY/10654485reportedpublic record, Form ADV, Sep 21, 2026
Website: M••••••••.COMreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 646-854-4370reportedpublic record, Form ADV, Sep 9, 2026
Team page: m••••••••.comreportedpublished by the firm, firm site, Sep 15, 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: $58.7Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026