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••••• O•• W••••• A••••••• S•••••••• L••
Latest filing Mar 2, 2026
First filing on the tape Dec 8, 2017 · 20 filings
SEC status approved since May 8, 2018
RAUM
$300M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
100%
$299M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$100.0M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$300M as of Mar 2, 2026
Mar 26, 2019$163M then
HNW client RAUM$272M as of Mar 2, 2026
Mar 26, 2019$128M then
State-registered IARs (5.B.3)3 as of Mar 2, 2026
Mar 26, 20192 then
Employees (5.A)7 as of Mar 2, 2026
Mar 26, 20195 then
Private funds: no history
RAUM +15% over the last fiscal year+17% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Mar 2, 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
- $100.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $487,744derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $155M, 118 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$272M91%
- Individuals$27.1M9.0%
- Charitable organizations$1.0M0.3%
- Individual clients
- 62reported
- HNW clients
- 80reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 615reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $155M for 118 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• N•• C••Certified Financial Planner | Los Angeles, Ca | Jan 12, 2018 | 21 y | 1 |
| L•••• R•••••Certified Financial Planner | Los Angeles, Ca | Jul 22, 2020 | 10 y | 0 |
| A••••• L••••• C••••Certified Financial Planner | Hamden, Ct | Sep 19, 2023 | 17 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount1 left over 36 months
Left, latest
- H••••• M•••• S•••••••• to P••••••• P•••••• W•••••• L••Dec 11, 2025 · RIA to RIA
Joined, latest
- H••••• M•••• S•••••••• from H•••••••• A•••••••• L••Oct 3, 2023 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••• S•••••• N•• · President & Chief Executive Officercontrolsince 12/2017 · owns 75% or more
- R•••••• L•••• · Chief Compliance Officercontrolsince 02/2023 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Los Angeles, Ca · principal | 3 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 572 to 615Mar 24, 2025 to Mar 2, 2026
- HNW clients · 74 to 80Mar 24, 2025 to Mar 2, 2026
- Individual clients · 66 to 62Mar 24, 2025 to Mar 2, 2026
- Assets in custody · $91.9M to $155MMar 24, 2025 to Mar 2, 2026
- State-registered IARs · 4 to 3Mar 24, 2025 to Mar 2, 2026
- Discretionary RAUM · $250M to $287MMar 24, 2025 to Mar 2, 2026
- HNW RAUM · $234M to $272MMar 24, 2025 to Mar 2, 2026
- Individual RAUM · $27.0M to $27.1MMar 24, 2025 to Mar 2, 2026
- Non-discretionary RAUM · $12.1M to $12.5MMar 24, 2025 to Mar 2, 2026
- RAUM · $262M to $300MMar 24, 2025 to Mar 2, 2026
- Accounts · 532 to 572Nov 8, 2024 to Mar 24, 2025
- Advisory activities · 2 to 3Nov 8, 2024 to Mar 24, 2025
- HNW clients · 70 to 74Nov 8, 2024 to Mar 24, 2025
- Individual clients · 60 to 66Nov 8, 2024 to Mar 24, 2025
- Assets in custody · $133M to $91.9MNov 8, 2024 to Mar 24, 2025
- Employees · 5 to 7Nov 8, 2024 to Mar 24, 2025
- Financial planning clients · 51-100 to 1-10Nov 8, 2024 to Mar 24, 2025
- State-registered IARs · 3 to 4Nov 8, 2024 to Mar 24, 2025
- Discretionary RAUM · $213M to $250MNov 8, 2024 to Mar 24, 2025
- HNW RAUM · $193M to $234MNov 8, 2024 to Mar 24, 2025
- Individual RAUM · $23.8M to $27.0MNov 8, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $5.0M to $12.1MNov 8, 2024 to Mar 24, 2025
- RAUM · $218M to $262MNov 8, 2024 to Mar 24, 2025
- Accounts · 478 to 532Sep 20, 2023 to Mar 26, 2024
- HNW clients · 59 to 70Sep 20, 2023 to Mar 26, 2024
- Individual clients · 65 to 60Sep 20, 2023 to Mar 26, 2024
- Assets in custody · unset to 133272743.0Sep 20, 2023 to Mar 26, 2024
- Custody of client assets · false to trueSep 20, 2023 to Mar 26, 2024
- State-registered IARs · 2 to 3Sep 20, 2023 to Mar 26, 2024
- Discretionary RAUM · $187M to $213MSep 20, 2023 to Mar 26, 2024
- HNW RAUM · $155M to $193MSep 20, 2023 to Mar 26, 2024
- Individual RAUM · $30.6M to $23.8MSep 20, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $0 to $5.0MSep 20, 2023 to Mar 26, 2024
- RAUM · $187M to $218MSep 20, 2023 to Mar 26, 2024
- Other offices · 0 to 1Sep 19, 2023 to Sep 20, 2023
- Accounts · 452 to 478Nov 3, 2022 to Mar 6, 2023
- Advisory employees · 2 to 3Nov 3, 2022 to Mar 6, 2023
- Charity clients · 1.0 to unsetNov 3, 2022 to Mar 6, 2023
- Corporate clients · 2.0 to unsetNov 3, 2022 to Mar 6, 2023
- HNW clients · 66 to 59Nov 3, 2022 to Mar 6, 2023
Signals
3 dated events
- H••••• M•••• S•••••••• left S••••• O•• W••••• A••••••• S•••••••• L•• for P••••••• P•••••• W•••••• L•• (registered 2025-05-12)Dec 11, 2025 · Advisor changed firm · fact
- L•••• R••••• (Chief Compliance Officer) appeared on Schedule A of S••••• O•• W••••• A••••••• S•••••••• L••Mar 6, 2023 · Control person joined · fact
- S••••• O•• W••••• A••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Dec 8, 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
- admin@silveroakwa.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 310-207-4800reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 310-943-0398reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- silveroakwa.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-207-4800reportedpublic record, Form ADV, Mar 2, 2026
- Contact form
- silveroakwa.com/contactreportedpublished 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
- $100.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026