DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S•••••• W••••• M••••••••• L••
Latest filing Jan 14, 2026
First filing on the tape Jan 4, 2017 · 19 filings
SEC status approved since Jan 25, 2017
RAUM
$131M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$131M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$65.7M
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
19 filings and snapshots on the tape
RAUM$131M as of Jan 14, 2026
Mar 22, 2018$103M then
HNW client RAUM$118M as of Jan 14, 2026
Mar 22, 2018$30.0M then
State-registered IARs (5.B.3)2 as of Jan 14, 2026
Mar 22, 20182 then
Employees (5.A)2 as of Jan 14, 2026
Mar 22, 20183 then
Private funds: no history
RAUM +10% over the last fiscal year+11% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 14, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $65.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $443,587derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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$118M90%
- Individuals$13.0M9.9%
- Individual clients
- 49reported
- HNW clients
- 51reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 296reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• A••••• J•••••• | S••••••, Wa | Aug 24, 2017 | 22 y | 6 |
| D•• D•• Y•••• U•• | S••••••, Wa | Dec 7, 2022 | 22 y | 8 |
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
- D•• D•• Y•••• U•• to A••••••• I••••••••• A•••••• L••Dec 31, 2020 · Other
Joined, latest
- D•• D•• Y•••• U•• from A••••••• I••••••••• A•••••• L••Dec 7, 2022 · Other
- E••• A••••• J•••••• from C••••••••• F•••••••• N••••••Aug 24, 2017 · Other
- D•• D•• Y•••• U•• from C••••••••• F•••••••• N••••••Aug 23, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C••••••••• F•••••••• N••••••Mar 7, 2017 · S••••••, Wa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••••• E•••• A••••• · Financial Planner And Wealth Manager; Chief Compliance Officercontrolsince 01/2021 · owns 50% to 75%
- U••• D••• D•• Y•••• · General Managercontrolsince 01/2021 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list S•••••• W••••• M••••••••• L•• as a related person
- 286660 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| S••••••, Wa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Jan 14, 2026HNW share of RAUM moved from 75.0% to 90.0% between the annual amendments of 2025-02-24 and 2026-01-14peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 299 to 296Feb 24, 2025 to Jan 14, 2026
- HNW clients · 39 to 51Feb 24, 2025 to Jan 14, 2026
- Individual clients · 56 to 49Feb 24, 2025 to Jan 14, 2026
- Financial planning clients · 11-25 to 0Feb 24, 2025 to Jan 14, 2026
- Discretionary RAUM · $119M to $131MFeb 24, 2025 to Jan 14, 2026
- HNW RAUM · $89.0M to $118MFeb 24, 2025 to Jan 14, 2026
- Individual RAUM · $30.0M to $13.0MFeb 24, 2025 to Jan 14, 2026
- RAUM · $119M to $131MFeb 24, 2025 to Jan 14, 2026
- Accounts · 309 to 299Oct 9, 2024 to Feb 24, 2025
- Advisory employees · 2 to 1Oct 9, 2024 to Feb 24, 2025
- HNW clients · 29 to 39Oct 9, 2024 to Feb 24, 2025
- Individual clients · 52 to 56Oct 9, 2024 to Feb 24, 2025
- Financial planning clients · 0 to 11-25Oct 9, 2024 to Feb 24, 2025
- Discretionary RAUM · $101M to $119MOct 9, 2024 to Feb 24, 2025
- HNW RAUM · $55.8M to $89.0MOct 9, 2024 to Feb 24, 2025
- Individual RAUM · $45.2M to $30.0MOct 9, 2024 to Feb 24, 2025
- RAUM · $101M to $119MOct 9, 2024 to Feb 24, 2025
- Accounts · 305 to 309Mar 31, 2023 to Mar 29, 2024
- Advisory activities · 4 to 3Mar 31, 2023 to Mar 29, 2024
- HNW clients · 37 to 29Mar 31, 2023 to Mar 29, 2024
- Individual clients · 63 to 52Mar 31, 2023 to Mar 29, 2024
- Pooled vehicle clients · 6.0 to unsetMar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $95.0M to $101MMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $61.0M to $55.8MMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $16.0M to $45.2MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · 18000000.0 to unsetMar 31, 2023 to Mar 29, 2024
- RAUM · $95.0M to $101MMar 31, 2023 to Mar 29, 2024
- Accounts · 350 to 305Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 1 to 2Mar 31, 2022 to Mar 31, 2023
- HNW clients · 48 to 37Mar 31, 2022 to Mar 31, 2023
- Individual clients · 60 to 63Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 1 to 6Mar 31, 2022 to Mar 31, 2023
- State-registered IARs · 1 to 2Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $110M to $95.0MMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $55.0M to $61.0MMar 31, 2022 to Mar 31, 2023
- Individual RAUM · $30.0M to $16.0MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $25.0M to $18.0MMar 31, 2022 to Mar 31, 2023
- RAUM · $110M to $95.0MMar 31, 2022 to Mar 31, 2023
- Accounts · 328 to 350Feb 15, 2021 to Mar 31, 2022
- HNW clients · 23 to 48Feb 15, 2021 to Mar 31, 2022
Signals
1 dated events
- S•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 4, 2017 · 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 email
- d••@s••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S••••••WM.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 206-858-6973reportedpublic record, Form ADV, Jan 14, 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
- $65.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026