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.
Former SEC-registered adviser
Executive Wealth Group, LLC
Latest filing Mar 7, 2024
First filing on the tape Aug 23, 2016 · 18 filings
SEC status approved since Jan 23, 2017
RAUM
$394M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$394M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$394M as of Jan 30, 2024
Mar 26, 2018$313M then
HNW client RAUM$383M as of Jan 30, 2024
Mar 26, 2018$295M then
State-registered IARs (5.B.3)1 as of Jan 30, 2024
Mar 26, 20181 then
Employees (5.A)2 as of Jan 30, 2024
Mar 26, 20182 then
Private funds: no history
RAUM +13% over the last fiscal year+0.2% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 7, 2024; every figure names its basis
- RAUM per advisor
- $394MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 86derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.5MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM 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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$383M97%
- Individuals$11.6M3.0%
- Individual clients
- 16reported
- HNW clients
- 70reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 220reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- Samuel Chapman Maxwell to Bordeaux Wealth AdvisorsJun 18, 2024 · RIA to RIA
Joined, latest
- Samuel Chapman Maxwell from Morgan StanleyApr 10, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Chapman Samuel Maxwell · Chief Compliance Officer And Managing Membercontrolsince 04/2017 · 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 |
|---|---|---|---|---|---|
| Kirkland, Wa · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 219 to 220Mar 15, 2023 to Jan 30, 2024
- HNW clients · 67 to 70Mar 15, 2023 to Jan 30, 2024
- Individual clients · 18 to 16Mar 15, 2023 to Jan 30, 2024
- Discretionary RAUM · $349M to $394MMar 15, 2023 to Jan 30, 2024
- HNW RAUM · $335M to $383MMar 15, 2023 to Jan 30, 2024
- Individual RAUM · $13.6M to $11.6MMar 15, 2023 to Jan 30, 2024
- RAUM · $349M to $394MMar 15, 2023 to Jan 30, 2024
- Accounts · 222 to 219Jan 18, 2022 to Mar 15, 2023
- HNW clients · 78 to 67Jan 18, 2022 to Mar 15, 2023
- Individual clients · 9 to 18Jan 18, 2022 to Mar 15, 2023
- Discretionary RAUM · $420M to $349MJan 18, 2022 to Mar 15, 2023
- HNW RAUM · $414M to $335MJan 18, 2022 to Mar 15, 2023
- Individual RAUM · $6.3M to $13.6MJan 18, 2022 to Mar 15, 2023
- RAUM · $420M to $349MJan 18, 2022 to Mar 15, 2023
- HNW clients · 74 to 78Jun 1, 2021 to Jan 18, 2022
- Individual clients · 15 to 9Jun 1, 2021 to Jan 18, 2022
- Discretionary RAUM · $392M to $420MJun 1, 2021 to Jan 18, 2022
- HNW RAUM · $380M to $414MJun 1, 2021 to Jan 18, 2022
- Individual RAUM · $11.7M to $6.3MJun 1, 2021 to Jan 18, 2022
- RAUM · $392M to $420MJun 1, 2021 to Jan 18, 2022
- HNW clients · 72 to 74Jun 30, 2020 to Feb 23, 2021
- Individual clients · 17 to 15Jun 30, 2020 to Feb 23, 2021
- Discretionary RAUM · $353M to $392MJun 30, 2020 to Feb 23, 2021
- HNW RAUM · $340M to $380MJun 30, 2020 to Feb 23, 2021
- Individual RAUM · $12.6M to $11.7MJun 30, 2020 to Feb 23, 2021
- RAUM · $353M to $392MJun 30, 2020 to Feb 23, 2021
- Accounts · 221 to 222Feb 15, 2019 to Feb 24, 2020
- HNW clients · 68 to 72Feb 15, 2019 to Feb 24, 2020
- Individual clients · 21 to 17Feb 15, 2019 to Feb 24, 2020
- Discretionary RAUM · $310M to $353MFeb 15, 2019 to Feb 24, 2020
- HNW RAUM · $294M to $340MFeb 15, 2019 to Feb 24, 2020
- Individual RAUM · $15.8M to $12.6MFeb 15, 2019 to Feb 24, 2020
- RAUM · $310M to $353MFeb 15, 2019 to Feb 24, 2020
- Accounts · 225 to 221Mar 26, 2018 to Feb 15, 2019
- HNW clients · 69 to 68Mar 26, 2018 to Feb 15, 2019
- Individual clients · 23 to 21Mar 26, 2018 to Feb 15, 2019
- Discretionary RAUM · $313M to $310MMar 26, 2018 to Feb 15, 2019
- HNW RAUM · $295M to $294MMar 26, 2018 to Feb 15, 2019
- Individual RAUM · $17.2M to $15.8MMar 26, 2018 to Feb 15, 2019
- RAUM · $313M to $310MMar 26, 2018 to Feb 15, 2019
Signals
3 dated events
- Executive Wealth Group, Llc no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $394.5M)May 2, 2025 · Left the SEC roster · derived
- Samuel Chapman Maxwell left Executive Wealth Group, Llc for Bordeaux Wealth Advisors (registered 2024-05-01)Jun 18, 2024 · Advisor changed firm · fact
- Luna Advisors, Llc filed its initial SEC registration (Form ADV)Aug 23, 2016 · 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026