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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Former SEC-registered adviser

S•••• V••• W••••• A•••••••• L••

Former SEC-registered adviserSavannah, GeorgiaCRD 291457SEC 801-112221IAPD
Latest filing Mar 19, 2019
First filing on the tape Nov 24, 2017 · 5 filings
RAUM
$676M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$659M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$676M as of Mar 19, 2019
Nov 24, 2017$0 then
HNW client RAUM$571M as of Mar 19, 2019
Nov 24, 2017$0 then
State-registered IARs (5.B.3)5 as of Mar 19, 2019
Nov 24, 20170 then
Employees (5.A)11 as of Mar 19, 2019
Nov 24, 20171 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 19, 2019; every figure names its basis
RAUM per advisor
$135MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
150derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$355,701derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.2derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 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$571M84%
  • Individuals$88.1M13%
  • Pension and profit-sharing plans$10.0M1.5%
  • Charitable organizations$4.0M0.6%
  • Corporations and businesses$3.0M0.4%
Individual clients
400reported
HNW clients
350reported
Pension plan clients
4reported
Charitable clients
4reported
Accounts
1,900reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • A••••••• E•••••• F•••••• · Partnercontrol
      since 03/2018 · owns less than 5%
    • B••••••••• K••••• L•• · Senior Partnercontrol
      since 03/2018 · owns less than 5%
    • B••••••••• M••••••• K• · Chief Compliance Officer And Managing Partnercontrol
      since 03/2018 · owns less than 5%
    • H••• O••••• E•••••• · Senior Partnercontrol
      since 03/2018 · owns less than 5%
    • B••••••••• K••••• L•• · Owner/Senior Partnercontrol
      since 03/2018 · owns 25% to 50% of S•••• V••• W••••• H•••••••• L••
    • H••• O••••• E•••••• · Owner/Senior Partnercontrol
      since 03/2018 · owns 25% to 50% of S•••• V••• W••••• H•••••••• L••
    Entity owners
    • S•••• V••• W••••• H•••••••• L•• · Managing Member
      direct · 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
    • Employees · 5 to 11
      Jan 11, 2019 to Mar 19, 2019
    • State-registered IARs · 0 to 5
      Jan 11, 2019 to Mar 19, 2019
    • Accounts · 737 to 1,900
      May 3, 2018 to Jan 11, 2019
    • Charity clients · 0 to 4
      May 3, 2018 to Jan 11, 2019
    • Corporate clients · 0 to 25
      May 3, 2018 to Jan 11, 2019
    • HNW clients · 0 to 350
      May 3, 2018 to Jan 11, 2019
    • Individual clients · 0 to 400
      May 3, 2018 to Jan 11, 2019
    • Pension plan clients · 0 to 4
      May 3, 2018 to Jan 11, 2019
    • Financial planning clients · 0 to 101-250
      May 3, 2018 to Jan 11, 2019
    • Discretionary RAUM · $237M to $676M
      May 3, 2018 to Jan 11, 2019
    • HNW RAUM · $0 to $571M
      May 3, 2018 to Jan 11, 2019
    • Individual RAUM · $0 to $88.1M
      May 3, 2018 to Jan 11, 2019
    • Pension RAUM · $0 to $10.0M
      May 3, 2018 to Jan 11, 2019
    • RAUM · $237M to $676M
      May 3, 2018 to Jan 11, 2019
    • Accounts · 0 to 737
      Mar 23, 2018 to May 3, 2018
    • Discretionary RAUM · $0 to $237M
      Mar 23, 2018 to May 3, 2018
    • RAUM · $0 to $237M
      Mar 23, 2018 to May 3, 2018
    • Advisory employees · 1 to 5
      Nov 24, 2017 to Mar 23, 2018
    • BD registered reps · 0 to 1
      Nov 24, 2017 to Mar 23, 2018
    • Employees · 1 to 5
      Nov 24, 2017 to Mar 23, 2018
    • HQ city · unset to SAVANNAH
      Nov 24, 2017 to Mar 23, 2018
    • HQ state · unset to GA
      Nov 24, 2017 to Mar 23, 2018
    • Other offices · 1 to 0
      Nov 24, 2017 to Mar 23, 2018
    • Wrap assets (manager) · 0.0 to unset
      Nov 24, 2017 to Mar 23, 2018
    • Wrap assets (sponsor) · 0.0 to unset
      Nov 24, 2017 to Mar 23, 2018
    Signals
    2 dated events
    • S•••• V••• W••••• A•••••••• L•• reported RAUM $675.8M, up 185% from $237.1M (2018-05-03 to 2019-01-11)
      Jan 11, 2019 · RAUM change · derived
    • S•••• V••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
      Nov 24, 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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026