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••••• • R••••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Apr 28, 2022 · 6 filings
SEC status approved since May 27, 2022
RAUM
$181M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$181M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$181M
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
6 filings and snapshots on the tape
RAUM$181M as of Mar 23, 2026
Mar 16, 2023$101M then
HNW client RAUM$136M as of Mar 23, 2026
Mar 16, 2023$50.9M then
State-registered IARs (5.B.3)1 as of Mar 23, 2026
Mar 16, 20231 then
Employees (5.A)2 as of Mar 23, 2026
Mar 16, 20231 then
Private funds: no history
RAUM +8.4% over the last fiscal year+22% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 23, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $181MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 133derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $641,126derivedRAUM 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
- +8.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $1.5M, 32 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$136M75%
- Individuals$45.9M25%
- Individual clients
- 76reported
- HNW clients
- 57reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 283reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.5M for 32 clientsreported
- Compensation
- % of AUMreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••• R••••• S••••Certified Financial Planner | Scottsdale, Az | Dec 6, 2016 | 28 y | 3 |
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
- K••• R••••• S•••• from T••••• R••••••••• P•••••••• L••Dec 6, 2016 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• K•••• R••••• · Managing Member, Chief Compliance Officercontrolsince 10/2016 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 271 to 283Mar 26, 2025 to Mar 23, 2026
- HNW clients · 48 to 57Mar 26, 2025 to Mar 23, 2026
- Individual clients · 72 to 76Mar 26, 2025 to Mar 23, 2026
- Assets in custody · $58.1M to $1.5MMar 26, 2025 to Mar 23, 2026
- Discretionary RAUM · $167M to $181MMar 26, 2025 to Mar 23, 2026
- HNW RAUM · $114M to $136MMar 26, 2025 to Mar 23, 2026
- Individual RAUM · $53.5M to $45.9MMar 26, 2025 to Mar 23, 2026
- RAUM · $167M to $181MMar 26, 2025 to Mar 23, 2026
- Accounts · 242 to 271Mar 28, 2024 to Mar 26, 2025
- HNW clients · 40 to 48Mar 28, 2024 to Mar 26, 2025
- Individual clients · 60 to 72Mar 28, 2024 to Mar 26, 2025
- Assets in custody · $44.4M to $58.1MMar 28, 2024 to Mar 26, 2025
- Financial planning clients · 11-25 to 1-10Mar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $127M to $167MMar 28, 2024 to Mar 26, 2025
- HNW RAUM · $84.8M to $114MMar 28, 2024 to Mar 26, 2025
- Individual RAUM · $42.5M to $53.5MMar 28, 2024 to Mar 26, 2025
- RAUM · $127M to $167MMar 28, 2024 to Mar 26, 2025
- Accounts · 220 to 242Mar 16, 2023 to Mar 28, 2024
- HNW clients · 28 to 40Mar 16, 2023 to Mar 28, 2024
- Individual clients · 62 to 60Mar 16, 2023 to Mar 28, 2024
- Assets in custody · $40.2M to $44.4MMar 16, 2023 to Mar 28, 2024
- Employees · 1 to 2Mar 16, 2023 to Mar 28, 2024
- Financial planning clients · 0 to 11-25Mar 16, 2023 to Mar 28, 2024
- Discretionary RAUM · $101M to $127MMar 16, 2023 to Mar 28, 2024
- HNW RAUM · $50.9M to $84.8MMar 16, 2023 to Mar 28, 2024
- Individual RAUM · $50.0M to $42.5MMar 16, 2023 to Mar 28, 2024
- RAUM · $101M to $127MMar 16, 2023 to Mar 28, 2024
- Accounts · 211 to 220Jun 18, 2022 to Mar 16, 2023
- Advisory activities · 2 to 1Jun 18, 2022 to Mar 16, 2023
- HNW clients · 50 to 28Jun 18, 2022 to Mar 16, 2023
- Individual clients · 70 to 62Jun 18, 2022 to Mar 16, 2023
- Assets in custody · $47.3M to $40.2MJun 18, 2022 to Mar 16, 2023
- Discretionary RAUM · $117M to $101MJun 18, 2022 to Mar 16, 2023
- HNW RAUM · $74.2M to $50.9MJun 18, 2022 to Mar 16, 2023
- Individual RAUM · $42.8M to $50.0MJun 18, 2022 to Mar 16, 2023
- RAUM · $117M to $101MJun 18, 2022 to Mar 16, 2023
Signals
1 dated events
- S•••• W••••• • R••••••••• L•• filed its initial SEC registration (Form ADV)Apr 28, 2022 · 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
- 602-730-6114reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- S••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 602-730-6114reportedpublic record, Form ADV, Mar 23, 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
- $181Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026