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 Aug 6, 2026
First filing on the tape Mar 31, 2017 · 33 filings
SEC status approved since Apr 21, 2017
RAUM
$886M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$884M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$88.6M
derived; firm RAUM over IAPD count
Employees
14
9 advisory (5.B.1)
Offices
10
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$886M as of Aug 6, 2026
Jan 24, 2018$154M then
HNW client RAUM$831M as of Aug 6, 2026
Jan 24, 2018$147M then
State-registered IARs (5.B.3)9 as of Aug 6, 2026
Jan 24, 20184 then
Employees (5.A)14 as of Aug 6, 2026
Jan 24, 20184 then
Private funds: no history
RAUM -4.4% over the last fiscal year+15% a year over threeIARs 9 to 9offices 9 to 10
Practice profile
derived from the filing of Aug 6, 2026; every figure names its basis
- RAUM per advisor
- $88.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 23derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.5MderivedHNW RAUM over HNW clients
- Average account
- $922,033derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 0.9derived11 offices incl. principal (1.F.5)
- RAUM growth, one year
- -4.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -14%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $280M, 67 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$831M94%
- Individuals$53.3M6.0%
- Pension and profit-sharing plans$2.0M0.2%
- Individual clients
- 76reported
- HNW clients
- 151reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 961reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $280M for 67 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••••• K•••• C••••Certified Financial Planner | Dallas, Tx | Apr 21, 2017 | 13 y | 2 |
| V•••• V•••• P•••• | Dallas, Tx | Apr 21, 2017 | 11 y | 1 |
| K•••••• R•• P••••••Certified Financial Planner | Dallas, Tx | Apr 25, 2017 | 25 y | 1 |
| A•••••• O•••••• C•••••••Certified Financial Planner | Dallas, Tx | Mar 3, 2021 | 12 y | 0 |
| D•••• D••• W••••••Certified Financial Planner | Dallas, Tx | Aug 18, 2021 | 22 y | 2 |
| M••• W•••••• W•••••Chartered Financial Analyst | Dallas, Tx | Jun 8, 2022 | 14 y | 2 |
| B••••••• R•••• P••••••Certified Financial Planner | Dallas, Tx | Feb 6, 2024 | 9 y | 0 |
| A••••• E•••• S••••Certified Financial Planner | Providence Village, Tx | Feb 23, 2024 | 12 y | 0 |
| B••••• A••••• B•••• | Dallas, Tx | Aug 6, 2026 | 10 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 headcount3 left over 36 months
Left, latest
- D••••• W•••• B••••• to S••••• F••••• O••••• L••Sep 5, 2025 · RIA to RIA
- M•••• T••••• A•••• to C•••• W•••••• • A••••••••• L••Mar 10, 2025 · RIA to RIA
- D••••• S•••• T••••• to T••••••••Jan 31, 2024 · RIA to a state-registered adviser
Joined, latest
- J••••• D••••• C••••• from L••••••••• W••••• P••••••• S••••••••• L••Aug 6, 2025 · Other
- M•••• T••••• A•••• from T••• N•••• A•••••••• L••Feb 27, 2024 · RIA to RIA
- M••• W•••••• W••••• from L•• F•••••••• C••••••• L••Jun 8, 2022 · RIA to RIA
- D•••• D••• W•••••• from T••• N•••• A•••••••• L••Aug 18, 2021 · RIA to RIA
- D••••• W•••• B••••• from O•••• F•• I•••Oct 16, 2020 · Affiliated broker-dealer or bank to independent RIA
- D••••• S•••• T••••• from O•••• F•• I•••Sep 17, 2018 · Other
- K•••••• R•• P•••••• from O•••• F•• I•••Apr 25, 2017 · Other
- V•••• V•••• P•••• from O•••• F•• I•••Apr 21, 2017 · Other
- B•••••• K•••• C•••• from O•••• F•• I•••Apr 21, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from O•••• F•• I•••May 2, 2017 · Dallas, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••• K••••••• R•• · Chief Executive Officercontrolsince 04/2017 · owns less than 5%
- P••••• V••••• V•••• · Chief Compliance Officer And Director Of Operationscontrolsince 04/2017 · owns less than 5%
- W••••••• D••••• D••• · President And Director Of Financial P•••••••controlsince 08/2021 · owns less than 5%
- W•••••• M•••• W•••••• · Chief Investment Officercontrolsince 06/2022 · owns less than 5%
- B•••••• D•••••• W•••• · Co-Trusteecontrolsince 11/2024 · owns F of B••••• R•••••••• L••••• T••••• D•••• 1•••••••••
- B•••••• J•••••• D••••• · Co-Trusteecontrolsince 11/2021 · owns F of B••••• R•••••••• L••••• T••••• D•••• 1•••••••••
- C••••• B••••••• K•••• · Co-Trusteecontrolsince 01/2017 · owns F of C•••• R•••••••• T•••• D•••• 0•••••••••
- C••••• R••••••• A••• · Co-Trusteecontrolsince 01/2017 · owns F of C•••• R•••••••• T•••• D•••• 0•••••••••
- P••••••• K••••••• R•• · Member And Managercontrolsince 04/2017 · owns 75% or more of K•• H•••••••• L••
- P••••• V••••• S•••••••• · Co-Trusteecontrolsince 12/2012 · owns F of V•••• A•• V•••• P•••• R•••••••• L••••• T••••• D•••• 1•••••••••
- P••••• V••••• V•••• · Co-Trusteecontrolsince 12/2012 · owns F of V•••• A•• V•••• P•••• R•••••••• L••••• T••••• D•••• 1•••••••••
- W••••••• A•••• N• M••••• N••• · Membercontrolsince 12/2023 · owns 50% to 75% of A•• B•••• • B••••• H••••••• L••
- W••••••• D••••• D••• · Membercontrolsince 12/2023 · owns 50% to 75% of A•• B•••• • B••••• H••••••• L••
Entity owners
- K•• H•••••••• L•• · Memberdirect · owns 75% or more
- B••••• R•••••••• L••••• T••••• D•••• 1••••••••• · Memberindirect · owns 75% or more of B••••• S••••• H•••••••• L••
- C•••• R•••••••• T•••• D•••• 0••••••••• · Memberindirect · owns 75% or more of C••••••• L••
- V•••• A•• V•••• P•••• R•••••••• L••••• T••••• D•••• 1••••••••• · Memberindirect · owns 75% or more of O••••••••• L••
- A•• B•••• • B••••• H••••••• L•• · Memberdirect · owns 5% to 10%
- B••••• S••••• H•••••••• L•• · Memberdirect · owns 5% to 10%
- C••••••• L•• · Memberdirect · owns less than 5%
- O••••••••• L•• · Ownerdirect · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 10 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Other offices · 9 to 10Jul 16, 2026 to Aug 6, 2026
- Accounts · 1,133 to 961Nov 27, 2025 to Mar 24, 2026
- HNW clients · 191 to 151Nov 27, 2025 to Mar 24, 2026
- Individual clients · 72 to 76Nov 27, 2025 to Mar 24, 2026
- Assets in custody · $211M to $280MNov 27, 2025 to Mar 24, 2026
- Employees · 13 to 14Nov 27, 2025 to Mar 24, 2026
- Other offices · 8 to 9Nov 27, 2025 to Mar 24, 2026
- Discretionary RAUM · $927M to $886MNov 27, 2025 to Mar 24, 2026
- HNW RAUM · $907M to $831MNov 27, 2025 to Mar 24, 2026
- Individual RAUM · $18.1M to $53.3MNov 27, 2025 to Mar 24, 2026
- Pension RAUM · $1.9M to $2.0MNov 27, 2025 to Mar 24, 2026
- RAUM · $927M to $886MNov 27, 2025 to Mar 24, 2026
- Other offices · 9 to 8Jul 10, 2025 to Nov 27, 2025
- Financial planning clients · 101-250 to 101-250Jun 4, 2025 to Jul 10, 2025
- Accounts · 1,065 to 1,133Jan 6, 2025 to Mar 29, 2025
- Advisory employees · 11 to 9Jan 6, 2025 to Mar 29, 2025
- HNW clients · 178 to 191Jan 6, 2025 to Mar 29, 2025
- Individual clients · 92 to 72Jan 6, 2025 to Mar 29, 2025
- Assets in custody · $431M to $211MJan 6, 2025 to Mar 29, 2025
- Employees · 14 to 13Jan 6, 2025 to Mar 29, 2025
- State-registered IARs · 11 to 9Jan 6, 2025 to Mar 29, 2025
- Other offices · 10 to 9Jan 6, 2025 to Mar 29, 2025
- Discretionary RAUM · $777M to $927MJan 6, 2025 to Mar 29, 2025
- HNW RAUM · $771M to $907MJan 6, 2025 to Mar 29, 2025
- Individual RAUM · $23.3M to $18.1MJan 6, 2025 to Mar 29, 2025
- Non-discretionary RAUM · $18.2M to $0Jan 6, 2025 to Mar 29, 2025
- Pension RAUM · $1.7M to $1.9MJan 6, 2025 to Mar 29, 2025
- RAUM · $795M to $927MJan 6, 2025 to Mar 29, 2025
- BD registered reps · 2 to 0Oct 10, 2024 to Dec 24, 2024
- Other offices · 0 to 10Oct 10, 2024 to Dec 24, 2024
- Related insurance company · true to falseApr 12, 2024 to Apr 26, 2024
- Accounts · 1,012 to 1,065Sep 25, 2023 to Mar 28, 2024
- Advisory employees · 10 to 11Sep 25, 2023 to Mar 28, 2024
- BD registered reps · 3 to 2Sep 25, 2023 to Mar 28, 2024
- HNW clients · 150 to 178Sep 25, 2023 to Mar 28, 2024
- Individual clients · 108 to 92Sep 25, 2023 to Mar 28, 2024
- Pension plan clients · 1.0 to unsetSep 25, 2023 to Mar 28, 2024
- Assets in custody · $349M to $431MSep 25, 2023 to Mar 28, 2024
- Employees · 10 to 14Sep 25, 2023 to Mar 28, 2024
- State-registered IARs · 10 to 11Sep 25, 2023 to Mar 28, 2024
Signals
14 dated events
- D••••• W•••• B••••• left S••••• W••••• A•••••••• L•• for S••••• F••••• O••••• L•• (registered 2025-08-29)Sep 5, 2025 · Advisor changed firm · fact
- M•••• T••••• A•••• left S••••• W••••• A•••••••• L•• for C•••• W•••••• • A••••••••• L•• (registered 2025-03-28)Mar 10, 2025 · Advisor changed firm · fact
- S••••• W••••• A•••••••• L•• reported 10 offices beyond its principal office, up from 0 (2024-10-10 to 2024-12-24)Dec 24, 2024 · Office count change · derived
- S••••• W••••• A•••••••• L•• reported RAUM $795.5M, up 38% from $576.2M (2023-09-25 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Wendall Mark Whidby (Chief Investment Officer) appeared on Schedule A of S••••• W••••• A•••••••• L••Mar 28, 2024 · Control person joined · fact
- Anne Rebekah Cumba (Co-Trustee) appeared on Schedule A of S••••• W••••• A•••••••• L••Mar 28, 2024 · Control person joined · fact
- Dennis Jaclyn Becker (Co-Trustee) appeared on Schedule A of S••••• W••••• A•••••••• L••Mar 28, 2024 · Control person joined · fact
- Shantilal Vipul Patel (Co-Trustee) appeared on Schedule A of S••••• W••••• A•••••••• L••Mar 28, 2024 · Control person joined · fact
- No Middle Name Adam Wallace (Member) appeared on Schedule A of S••••• W••••• A•••••••• L••Mar 28, 2024 · Control person joined · fact
- D••••• S•••• T••••• left S••••• W••••• A•••••••• L•• for Texwealth (registered 2024-01-25)Jan 31, 2024 · Advisor changed firm · fact
- Wayne D••••• Becker (Managing Member) appeared on Schedule A of S••••• W••••• A•••••••• L••Mar 28, 2023 · Control person joined · fact
- S••••• W••••• A•••••••• L•• reported RAUM $569.4M, up 25% from $455.3M (2021-03-15 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- S••••• W••••• A•••••••• L•• reported RAUM $455.3M, up 83% from $249.3M (2020-10-16 to 2021-03-15)Mar 15, 2021 · RAUM change · derived
- K••• L•• filed its initial SEC registration (Form ADV)Mar 31, 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
- i•••@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 214-420-7030reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 214-420-7020reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/strata-wealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- S•••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (214) 420-7020reportedpublic record, Form ADV, Aug 6, 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
- $88.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026