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••••• A•••••••• I•••
Latest filing Mar 17, 2026
First filing on the tape Sep 26, 2017 · 16 filings
SEC status approved since Oct 31, 2017
RAUM
$212M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$198M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$70.8M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$212M as of Mar 17, 2026
Feb 23, 2018$0 then
HNW client RAUM$119M as of Mar 17, 2026
Mar 19, 2019$31.4M then
State-registered IARs (5.B.3)5 as of Mar 17, 2026
Feb 23, 20182 then
Employees (5.A)5 as of Mar 17, 2026
Feb 23, 20182 then
Private funds: no history
RAUM +17% over the last fiscal year+17% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Mar 17, 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
- $70.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 147derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $221,353derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $59.2M, 112 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)
- 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$119M56%
- Individuals$78.5M37%
- Corporations and businesses$7.1M3.4%
- Pension and profit-sharing plans$6.3M3.0%
- Charitable organizations$1.3M0.6%
- Individual clients
- 381reported
- HNW clients
- 59reported
- Pension plan clients
- 2reported
- Charitable clients
- 1reported
- Accounts
- 959reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $59.2M for 112 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• J•••• S•••••• | Brea, Ca | Oct 31, 2017 | 38 y | 2 |
| G••••• A•••• | Brea, Ca | Aug 10, 2021 | 12 y | 0 |
| S•••• J•••• S•••••• | Brea, Ca | Jan 1, 2025 | 20 y | 2 |
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
- S••••• T•••• M••••••• to C••••• M••••••Jul 2, 2021 · RIA to RIA
Joined, latest
- S•••• J•••• S•••••• from I••••••••• F•••••••• G••••• L••Jan 1, 2025 · Other
- S••••• T•••• M••••••• from C•••••• S••••• • C••• I•••Sep 14, 2020 · Affiliated broker-dealer or bank to independent RIA
- M•••••• J•••• S•••••• from I••••••••• F•••••••• G••••• L••Oct 31, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from I••••••••• F•••••••• G••••• L••Nov 1, 2017 · Brea, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• S••••• J•••• · Vice President & Chief Compliance Officercontrolsince 10/2017 · owns 10% to 25%
- S••••••• M••••••• J•••• · Trusteecontrolsince 02/2002 · owns 75% or more of S•••••• F••••• T••••
Entity owners
- S•••••• F••••• T•••• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Brea, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 906 to 959Mar 28, 2025 to Mar 17, 2026
- Advisory employees · 4 to 5Mar 28, 2025 to Mar 17, 2026
- Charity clients · unset to 1.0Mar 28, 2025 to Mar 17, 2026
- Corporate clients · unset to 9.0Mar 28, 2025 to Mar 17, 2026
- HNW clients · 44 to 59Mar 28, 2025 to Mar 17, 2026
- Pension plan clients · unset to 2.0Mar 28, 2025 to Mar 17, 2026
- Assets in custody · $76.4M to $59.2MMar 28, 2025 to Mar 17, 2026
- Employees · 4 to 5Mar 28, 2025 to Mar 17, 2026
- State-registered IARs · 4 to 5Mar 28, 2025 to Mar 17, 2026
- Discretionary RAUM · $181M to $212MMar 28, 2025 to Mar 17, 2026
- HNW RAUM · $90.3M to $119MMar 28, 2025 to Mar 17, 2026
- Individual RAUM · $83.6M to $78.5MMar 28, 2025 to Mar 17, 2026
- Pension RAUM · unset to 6288346.0Mar 28, 2025 to Mar 17, 2026
- RAUM · $181M to $212MMar 28, 2025 to Mar 17, 2026
- Accounts · 417 to 906Aug 12, 2024 to Mar 28, 2025
- Corporate clients · 2.0 to unsetAug 12, 2024 to Mar 28, 2025
- HNW clients · 48 to 44Aug 12, 2024 to Mar 28, 2025
- Individual clients · 366 to 381Aug 12, 2024 to Mar 28, 2025
- Assets in custody · $42.2M to $76.4MAug 12, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Aug 12, 2024 to Mar 28, 2025
- Discretionary RAUM · $153M to $181MAug 12, 2024 to Mar 28, 2025
- HNW RAUM · $78.0M to $90.3MAug 12, 2024 to Mar 28, 2025
- Individual RAUM · $68.8M to $83.6MAug 12, 2024 to Mar 28, 2025
- RAUM · $153M to $181MAug 12, 2024 to Mar 28, 2025
- Accounts · 886 to 417Mar 23, 2023 to Mar 29, 2024
- Corporate clients · unset to 2.0Mar 23, 2023 to Mar 29, 2024
- HNW clients · 36 to 48Mar 23, 2023 to Mar 29, 2024
- Individual clients · 380 to 366Mar 23, 2023 to Mar 29, 2024
- Assets in custody · $54.7M to $42.2MMar 23, 2023 to Mar 29, 2024
- Discretionary RAUM · $133M to $153MMar 23, 2023 to Mar 29, 2024
- HNW RAUM · $55.2M to $78.0MMar 23, 2023 to Mar 29, 2024
- Individual RAUM · $77.0M to $68.8MMar 23, 2023 to Mar 29, 2024
- RAUM · $133M to $153MMar 23, 2023 to Mar 29, 2024
- Related insurance company · false to trueMar 23, 2023 to Mar 29, 2024
- Accounts · 415 to 886Oct 27, 2022 to Mar 23, 2023
- Advisory employees · 3 to 4Oct 27, 2022 to Mar 23, 2023
- HNW clients · 34 to 36Oct 27, 2022 to Mar 23, 2023
- Individual clients · 370 to 380Oct 27, 2022 to Mar 23, 2023
- Pension plan clients · 10.0 to unsetOct 27, 2022 to Mar 23, 2023
- Assets in custody · $29.9M to $54.7MOct 27, 2022 to Mar 23, 2023
Signals
1 dated events
- S•••••• W••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Sep 26, 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 email
- j•••••••@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 714-671-9330reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S••••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (714) 671-9330reportedpublic record, Form ADV, Mar 17, 2026
- Contact form
- s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- 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
- $70.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026