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.
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SEC-registered adviser
S••••••• W••••• M••••••••• ••• L••••••
Latest filing Apr 1, 2026
First filing on the tape Jun 30, 2017 · 19 filings
SEC status approved since Aug 1, 2017
RAUM
$1.4B
reported, Item 5.F
Discretionary
80%
of RAUM
Private clients
70%
$977M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$281M
derived; firm RAUM over IAPD count
Employees
9
5 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$1.4B as of Apr 1, 2026
Mar 29, 2018$999,740 then
HNW client RAUM$977M as of Apr 1, 2026
Mar 29, 2018$999,740 then
State-registered IARs (5.B.3)0 as of Apr 1, 2026
Mar 29, 20180 then
Employees (5.A)9 as of Apr 1, 2026
Mar 29, 20184 then
Private funds: no history
RAUM +52% over the last fiscal year+36% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 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
- RAUM per advisor
- $281MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $5.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 80%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +52%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +21%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$977M70%
- Corporations and businesses$426M30%
- Individual clients
- 0reported
- HNW clients
- 252reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 272reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.7 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E•••• C••••••• K••• | London | May 31, 2024 | 10 y | 0 |
| L••••• J••••• F•••••••Certified Financial Planner | London | Sep 30, 2024 | 11 y | 2 |
| J•••••• C•••• S•••• | London | Oct 13, 2025 | 24 y | 1 |
| M••••• J••• H•••• | London | Oct 13, 2025 | 15 y | 1 |
| M•••••• G••••••• G•••••••• | London | Nov 30, 2025 | 17 y | 1 |
Advisor movement
0 left, 3 joined in 12 months
net +3 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
- M•••••• G••••••• G•••••••• from R•••• B••• O• C••••• I••••••••• M••••••••• L••••••Nov 30, 2025 · Other
- J•••••• C•••• S•••• from R•••• B••• O• C••••• I••••••••• M••••••••• L••••••Oct 13, 2025 · Other
- M••••• J••• H•••• from R•••• B••• O• C••••• I••••••••• M••••••••• L••••••Oct 13, 2025 · Other
- L••••• J••••• F••••••• from K•••••• C••••••• L••Sep 30, 2024 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from R•••• B••• O• C••••• I••••••••• M••••••••• L••••••Jul 13, 2017 · London
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E•••••••• D••••••• P•••• C•••• · Chair - Director - Managercontrolsince 05/2023 · owns less than 5%
- F••••••••• H••••• L••••• · Chief Financial Officer - Directorcontrolsince 10/2020 · owns less than 5%
- G•••••• T•••• J•••• · Chief Executive Officer - Director - Managercontrolsince 05/2023 · owns less than 5%
- M•••••• T•• · Chief Financial Officer - Directorcontrolsince 11/2025 · owns less than 5%
- N•••• B•••••••• J••• D•••• · Chief Compliance Officersince 11/2019 · owns less than 5%
Entity owners
- S••••••• W••••• H••••••• · Parent Companydirect · owns 75% or more
- S••••••• W••••• H••••••• L•••••• · Parent Companydirect · owns 75% or more
- S••••••• A••••••••• L•••••• · Parent Companyindirect · owns 75% or more of S••••••• W••••• H••••••• L••••••
- S•••••••• P•• · Parent Companyindirect · owns 75% or more of S••••••• A••••••••• L••••••
Related persons
Schedule D 7.A
- S••••••• • C•• L••••••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Apr 1, 2026M•••••• T•• (CHIEF FINANCIAL OFFICER - DIRECTOR) appeared on Schedule A between the filings of 2023-07-20 and 2026-04-01peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Apr 1, 2026F••••••••• H••••• L••••• (CHIEF FINANCIAL OFFICER - DIRECTOR) left Schedule A between the filings of 2023-07-20 and 2026-04-01peers: independent wealth managers, $1B to $5B (1,362)
- RAUM up 50 %Change between filings · filing Apr 1, 2026RAUM (Item 5.F) moved from $922,408,209 to $1,402,597,162 (+52.0%) between the annual amendments of 2025-03-31 and 2026-04-01; the peer median change was +17.0% (1298 comparable advisers, 93.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,298) · 93% percentile
What changed
consecutive filings, newest first
- Accounts · 226 to 272Mar 31, 2025 to Apr 1, 2026
- Advisory employees · 3 to 5Mar 31, 2025 to Apr 1, 2026
- Corporate clients · 18 to 20Mar 31, 2025 to Apr 1, 2026
- HNW clients · 208 to 252Mar 31, 2025 to Apr 1, 2026
- Employees · 6 to 9Mar 31, 2025 to Apr 1, 2026
- Discretionary RAUM · $673M to $1.1BMar 31, 2025 to Apr 1, 2026
- HNW RAUM · $595M to $977MMar 31, 2025 to Apr 1, 2026
- Non-discretionary RAUM · $249M to $287MMar 31, 2025 to Apr 1, 2026
- RAUM · $922M to $1.4BMar 31, 2025 to Apr 1, 2026
- Accounts · 179 to 226Mar 28, 2024 to Mar 31, 2025
- Corporate clients · 15 to 18Mar 28, 2024 to Mar 31, 2025
- HNW clients · 163 to 208Mar 28, 2024 to Mar 31, 2025
- Employees · 4 to 6Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- HQ state · unset to Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $515M to $673MMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $485M to $595MMar 28, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $275M to $249MMar 28, 2024 to Mar 31, 2025
- RAUM · $790M to $922MMar 28, 2024 to Mar 31, 2025
- Accounts · 138 to 179Jul 20, 2023 to Mar 28, 2024
- Corporate clients · 14 to 15Jul 20, 2023 to Mar 28, 2024
- HNW clients · 108 to 163Jul 20, 2023 to Mar 28, 2024
- Discretionary RAUM · $317M to $515MJul 20, 2023 to Mar 28, 2024
- HNW RAUM · $291M to $485MJul 20, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $240M to $275MJul 20, 2023 to Mar 28, 2024
- RAUM · $557M to $790MJul 20, 2023 to Mar 28, 2024
- Accounts · 103 to 138Oct 31, 2022 to Mar 31, 2023
- HNW clients · 88 to 108Oct 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $317M to $317MOct 31, 2022 to Mar 31, 2023
- HNW RAUM · $354M to $291MOct 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $350M to $240MOct 31, 2022 to Mar 31, 2023
- RAUM · $667M to $557MOct 31, 2022 to Mar 31, 2023
- Accounts · 80 to 103Mar 31, 2021 to Mar 17, 2022
- Corporate clients · 13 to 14Mar 31, 2021 to Mar 17, 2022
- HNW clients · 54 to 88Mar 31, 2021 to Mar 17, 2022
- Individual clients · 13 to 0Mar 31, 2021 to Mar 17, 2022
- Discretionary RAUM · $206M to $317MMar 31, 2021 to Mar 17, 2022
- HNW RAUM · $199M to $354MMar 31, 2021 to Mar 17, 2022
- Individual RAUM · 10080984.0 to unsetMar 31, 2021 to Mar 17, 2022
- Non-discretionary RAUM · $261M to $350MMar 31, 2021 to Mar 17, 2022
Signals
11 dated events
- S••••••• W••••• M••••••••• ••• L•••••• reported RAUM $1.4B, up 52% from $922.4M (2025-03-31 to 2026-04-01)Apr 1, 2026 · RAUM change · derived
- S••••••• W••••• M••••••••• ••• L•••••• reported RAUM $790.1M, up 42% from $557.0M (2023-07-20 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Mary-Anne Daly (Chair - Director - Manager) no longer on Schedule A of S••••••• W••••• M••••••••• ••• L•••••• (listed 2023-03-31, absent 2023-07-20)Jul 20, 2023 · Control person left · inference
- J•••• T••• G••••• (Chief Executive Officer - Director - Manager) appeared on Schedule A of S••••••• W••••• M••••••••• ••• L••••••Jul 20, 2023 · Control person joined · fact
- S••••••• W••••• M••••••••• ••• L•••••• reported RAUM $667.3M, up 43% from $467.0M (2021-03-31 to 2022-03-17)Mar 17, 2022 · RAUM change · derived
- S••••••• W••••• M••••••••• ••• L•••••• reported RAUM $467.0M, up 41% from $332.0M (2020-06-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Louise Helen Fitzgerald (Chief Financial Officer - Director) appeared on Schedule A of S••••••• W••••• M••••••••• ••• L••••••Mar 31, 2021 · Control person joined · fact
- Carolyn Sims (Chief Financial Officer - Director - Manager) no longer on Schedule A of S••••••• W••••• M••••••••• ••• L•••••• (listed 2020-04-01, absent 2020-06-02)Jun 2, 2020 · Control person left · inference
- William John Jeremy Turnbull (Chief Compliance Officer - Director - Manager) no longer on Schedule A of S••••••• W••••• M••••••••• ••• L•••••• (listed 2019-09-20, absent 2020-04-01)Apr 1, 2020 · Control person left · inference
- John Shirley Andrew Ross (Chairman - Director - Manager) no longer on Schedule A of S••••••• W••••• M••••••••• ••• L•••••• (listed 2018-03-29, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
- S••••••• W••••• M••••••••• ••• L•••••• filed its initial SEC registration (Form ADV)Jun 30, 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
- a•••••••••@s••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Website
- S••••••••.COM/EN/US/WEALTH-MANAGEMENTreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 00 44 (0)20 7658 6000reportedpublic record, Form ADV, Apr 1, 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
- $281Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026