DFX Intelligence
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SEC-registered adviser
S••••• M••••• W••••• M••••••••• L••
Latest filing Feb 3, 2026
First filing on the tape Apr 30, 2018 · 17 filings
SEC status approved since Jun 1, 2018
RAUM
$283M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
96%
$272M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$142M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$283M as of Feb 3, 2026
Mar 1, 2019$143M then
HNW client RAUM$247M as of Feb 3, 2026
Mar 1, 2019$113M then
State-registered IARs (5.B.3)2 as of Feb 3, 2026
Mar 1, 20192 then
Employees (5.A)2 as of Feb 3, 2026
Mar 1, 20193 then
Private funds: no history
RAUM +9.7% over the last fiscal year+9.3% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 3, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $142MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $793,922derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 4.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $2.7M, 48 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)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$247M87%
- Individuals$25.0M8.8%
- Charitable organizations$10.5M3.7%
- Pension and profit-sharing plans$850,2840.3%
- Corporations and businesses$9,9530.0%
- Individual clients
- 51reported
- HNW clients
- 59reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 357reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.7M for 48 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••••• G•••• S•••••Certified Financial Planner | San Diego, Ca | Jun 4, 2018 | 13 y | 1 |
| W•••••• G•••••• M•••••Certified Financial Planner | San Diego, Ca | Oct 1, 2018 | 37 y | 3 |
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
none on the tape
Joined, latest
- W•••••• G•••••• M••••• from M••••• S••••••Oct 1, 2018 · Wirehouse to independent RIA
- B•••••• G•••• S••••• from M••••• S••••••Jun 4, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from M••••• S••••••Jun 4, 2018 · San Diego, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• W••••••• G•••••• · Managing Partnercontrolsince 04/2018 · owns 50% to 75%
- S•••••• B••••••• G•••• · Managing Partner And Chief Compliance Officercontrolsince 04/2018 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| San Diego, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 363 to 357Sep 15, 2025 to Feb 3, 2026
- HNW clients · 60 to 59Sep 15, 2025 to Feb 3, 2026
- Individual clients · 56 to 51Sep 15, 2025 to Feb 3, 2026
- Assets in custody · $5.6M to $2.7MSep 15, 2025 to Feb 3, 2026
- Discretionary RAUM · $254M to $279MSep 15, 2025 to Feb 3, 2026
- HNW RAUM · $220M to $247MSep 15, 2025 to Feb 3, 2026
- Individual RAUM · $26.6M to $25.0MSep 15, 2025 to Feb 3, 2026
- Non-discretionary RAUM · $4.6M to $4.6MSep 15, 2025 to Feb 3, 2026
- Pension RAUM · $2.4M to $850,284Sep 15, 2025 to Feb 3, 2026
- RAUM · $258M to $283MSep 15, 2025 to Feb 3, 2026
- Accounts · 344 to 363Feb 15, 2024 to Feb 26, 2025
- HNW clients · 55 to 60Feb 15, 2024 to Feb 26, 2025
- Individual clients · 54 to 56Feb 15, 2024 to Feb 26, 2025
- Assets in custody · $3.9M to $5.6MFeb 15, 2024 to Feb 26, 2025
- Employees · 3 to 2Feb 15, 2024 to Feb 26, 2025
- Financial planning clients · 51-100 to 51-100Feb 15, 2024 to Feb 26, 2025
- Discretionary RAUM · $225M to $254MFeb 15, 2024 to Feb 26, 2025
- HNW RAUM · $191M to $220MFeb 15, 2024 to Feb 26, 2025
- Individual RAUM · $28.4M to $26.6MFeb 15, 2024 to Feb 26, 2025
- Non-discretionary RAUM · $2.5M to $4.6MFeb 15, 2024 to Feb 26, 2025
- Pension RAUM · $2.5M to $2.4MFeb 15, 2024 to Feb 26, 2025
- RAUM · $228M to $258MFeb 15, 2024 to Feb 26, 2025
- Accounts · 334 to 344Aug 24, 2023 to Feb 15, 2024
- Individual clients · 53 to 54Aug 24, 2023 to Feb 15, 2024
- Assets in custody · $1.4M to $3.9MAug 24, 2023 to Feb 15, 2024
- Discretionary RAUM · $215M to $225MAug 24, 2023 to Feb 15, 2024
- HNW RAUM · $188M to $191MAug 24, 2023 to Feb 15, 2024
- Individual RAUM · $20.6M to $28.4MAug 24, 2023 to Feb 15, 2024
- Non-discretionary RAUM · $2.1M to $2.5MAug 24, 2023 to Feb 15, 2024
- Pension RAUM · $2.3M to $2.5MAug 24, 2023 to Feb 15, 2024
- RAUM · $217M to $228MAug 24, 2023 to Feb 15, 2024
- Accounts · 339 to 334Jun 13, 2022 to Feb 23, 2023
- BD registered reps · 1 to 0Jun 13, 2022 to Feb 23, 2023
- Charity clients · 3.0 to unsetJun 13, 2022 to Feb 23, 2023
- Corporate clients · 1.0 to unsetJun 13, 2022 to Feb 23, 2023
- HNW clients · 59 to 55Jun 13, 2022 to Feb 23, 2023
- Individual clients · 51 to 53Jun 13, 2022 to Feb 23, 2023
- Pension plan clients · 2.0 to unsetJun 13, 2022 to Feb 23, 2023
- Assets in custody · $3.3M to $1.4MJun 13, 2022 to Feb 23, 2023
- Discretionary RAUM · $233M to $215MJun 13, 2022 to Feb 23, 2023
Signals
1 dated events
- ••• LockedApr 30, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/S•••••-M•••••-WEALTH-MANAGEMENT/?VIEWASreportedpublic record, Form ADV, Feb 3, 2026
- Website
- S•••••M•••••.COMreportedpublic record, Form ADV, Feb 3, 2026
- Principal office phone
- (619) 637-9920reportedpublic record, Form ADV, Feb 3, 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
- $142Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026