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••••• S•••• I••••••••• M••••••••• L••
Latest filing Aug 25, 2025
First filing on the tape Mar 27, 2018 · 14 filings
SEC status approved since Apr 26, 2018
RAUM
$130M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$112M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$130M as of Aug 25, 2025
Mar 27, 2019$101M then
HNW client RAUM$82.9M as of Aug 25, 2025
Mar 27, 2019$5.2M then
State-registered IARs (5.B.3)2 as of Aug 25, 2025
Mar 27, 20192 then
Employees (5.A)3 as of Aug 25, 2025
Mar 27, 20192 then
Private funds: no history
RAUM +3.2% over the last fiscal year-6.1% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Aug 25, 2025; every figure names its basis
- RAUM per advisor
- $64.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $508,738derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -19%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$82.9M64%
- Individuals$29.5M23%
- Charitable organizations$15.8M12%
- Pension and profit-sharing plans$771,2100.6%
- State and municipal entities$499,3320.4%
- Corporations and businesses$246,7000.2%
- Individual clients
- 94reported
- HNW clients
- 26reported
- Pension plan clients
- 1reported
- Charitable clients
- 3reported
- Accounts
- 255reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $51.8M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
3 left, 0 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 days4 left over 36 months
Left, latest
- E••• S••••• T••••• to P•• A•••• M••••••••• C•••Mar 31, 2026 · RIA to RIA
- Z•••• C•••••• B••••• to P•• A•••• M••••••••• C•••Mar 31, 2026 · RIA to RIA
- G•••••• C•••••• B••••• to P•• A•••• M••••••••• C•••Mar 31, 2026 · RIA to RIA
- K••• M••••• F•••• to S••••••• F••••••••• L••• C••Feb 21, 2024 · RIA to RIA
Joined, latest
- E••• S••••• T••••• from B•• C••••••• L••Sep 24, 2021 · Other
- K••• M••••• F•••• from I••••••••• W••••• C••••••• L••Sep 24, 2021 · RIA to RIA
- Z•••• C•••••• B••••• from S••••• S•••• W••••• M•••••••••Feb 25, 2020 · Other
- G•••••• C•••••• B••••• from S••••• S•••• W••••• M•••••••••Feb 25, 2020 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for P•• A•••• M••••••••• C•••Mar 31, 2026 · Houston, Tx
- 2 joined from S••••• S•••• W••••• M•••••••••Mar 4, 2020 · Winstonsalem, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• G••••••• C•••••• · Managing Director/Chief Compliance Officer/Sr. Portfolio Managercontrolsince 01/2020 · owns less than 5%
- B•••••• Z••••• C•••••• · Presidentcontrolsince 12/2015 · owns 50% to 75%
- S•••••• J•••• R•••••• · Chairmansince 10/1982 · owns 50% to 75% of S••••• S•••• W••••• M•••••••••
Entity owners
- S••••• S•••• W••••• M••••••••• · Related Advisordirect · owns 25% to 50%
Related persons
Schedule D 7.A
- S••••• S•••• W••••• M•••••••••investment advisernRAUM $1.4B
Advisers that list S••••• S•••• I••••••••• M••••••••• L•• as a related person
- 105710 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Houston, Tx · principal | 0 | 0 | 2 | 1 | |
| Matthews, Nc | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0May 14, 2025 to Aug 25, 2025
- Accounts · 324 to 255Mar 25, 2024 to Feb 27, 2025
- Corporate clients · 3 to 1Mar 25, 2024 to Feb 27, 2025
- HNW clients · 27 to 26Mar 25, 2024 to Feb 27, 2025
- Individual clients · 121 to 94Mar 25, 2024 to Feb 27, 2025
- Financial planning clients · 11-25 to 0Mar 25, 2024 to Feb 27, 2025
- Discretionary RAUM · $126M to $130MMar 25, 2024 to Feb 27, 2025
- HNW RAUM · $38.1M to $82.9MMar 25, 2024 to Feb 27, 2025
- Individual RAUM · $31.0M to $29.5MMar 25, 2024 to Feb 27, 2025
- Pension RAUM · $661,897 to $771,210Mar 25, 2024 to Feb 27, 2025
- RAUM · $126M to $130MMar 25, 2024 to Feb 27, 2025
- Wrap assets (manager) · $88.3M to $51.8MMar 25, 2024 to Feb 27, 2025
- Accounts · 310 to 324Mar 29, 2023 to Mar 25, 2024
- Advisory employees · 3 to 2Mar 29, 2023 to Mar 25, 2024
- Charity clients · 12 to 3Mar 29, 2023 to Mar 25, 2024
- Corporate clients · 1 to 3Mar 29, 2023 to Mar 25, 2024
- HNW clients · 75 to 27Mar 29, 2023 to Mar 25, 2024
- Individual clients · 219 to 121Mar 29, 2023 to Mar 25, 2024
- Pension plan clients · 2 to 1Mar 29, 2023 to Mar 25, 2024
- Employees · 4 to 3Mar 29, 2023 to Mar 25, 2024
- Financial planning clients · 1-10 to 11-25Mar 29, 2023 to Mar 25, 2024
- State-registered IARs · 3 to 2Mar 29, 2023 to Mar 25, 2024
- Discretionary RAUM · $121M to $126MMar 29, 2023 to Mar 25, 2024
- HNW RAUM · $74.2M to $38.1MMar 29, 2023 to Mar 25, 2024
- Individual RAUM · $31.9M to $31.0MMar 29, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $41,619 to $0Mar 29, 2023 to Mar 25, 2024
- Pension RAUM · $620,217 to $661,897Mar 29, 2023 to Mar 25, 2024
- RAUM · $121M to $126MMar 29, 2023 to Mar 25, 2024
- Wrap assets (manager) · $97.9M to $88.3MMar 29, 2023 to Mar 25, 2024
- Accounts · 283 to 310May 25, 2022 to Mar 29, 2023
- BD registered reps · 1 to 0May 25, 2022 to Mar 29, 2023
- Charity clients · 3 to 12May 25, 2022 to Mar 29, 2023
- Corporate clients · 2 to 1May 25, 2022 to Mar 29, 2023
- HNW clients · 23 to 75May 25, 2022 to Mar 29, 2023
- Individual clients · 122 to 219May 25, 2022 to Mar 29, 2023
- Pension plan clients · unset to 2.0May 25, 2022 to Mar 29, 2023
- State-registered IARs · 4 to 3May 25, 2022 to Mar 29, 2023
- Discretionary RAUM · $157M to $121MMay 25, 2022 to Mar 29, 2023
- HNW RAUM · $98.8M to $74.2MMay 25, 2022 to Mar 29, 2023
- Individual RAUM · $43.3M to $31.9MMay 25, 2022 to Mar 29, 2023
Signals
9 dated events
- S••••• S•••• I••••••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $129.7M)Apr 1, 2026 · Left the SEC roster · derived
- E••• S••••• T••••• left S••••• S•••• I••••••••• M••••••••• L•• for P•• A•••• M••••••••• C••• (registered 2026-05-06)Mar 31, 2026 · Advisor changed firm · fact
- Z•••• C•••••• B••••• left S••••• S•••• I••••••••• M••••••••• L•• for P•• A•••• M••••••••• C••• (registered 2026-03-31)Mar 31, 2026 · Advisor changed firm · fact
- G•••••• C•••••• B••••• left S••••• S•••• I••••••••• M••••••••• L•• for P•• A•••• M••••••••• C••• (registered 2025-01-08)Mar 31, 2026 · Advisor changed firm · fact
- 2 advisors left S••••• S•••• I••••••••• M••••••••• L•• (Houston, TX) for P•• A•••• M••••••••• C••• on the same dayMar 31, 2026 · Team lift-out · derived
- K••• M••••• F•••• left S••••• S•••• I••••••••• M••••••••• L•• for S••••••• F••••••••• L••• C•• (registered 2024-02-15)Feb 21, 2024 · Advisor changed firm · fact
- H••••• A•••••• H••••• (Chief Compliance Officer) no longer on Schedule A of S••••• S•••• I••••••••• M••••••••• L•• (listed 2019-03-27, absent 2020-03-24)Mar 24, 2020 · Control person left · inference
- C•••••• G•••••• B••••• (Chief Compliance Officer) appeared on Schedule A of S••••• S•••• I••••••••• M••••••••• L••Mar 24, 2020 · Control person joined · fact
- S••••• S•••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 27, 2018 · 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