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••••••• F•••••••• P•••••••• L••
Latest filing Apr 30, 2026
First filing on the tape Jan 4, 2022 · 18 filings
SEC status approved since Feb 9, 2022
RAUM
$294M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$256M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$97.9M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$294M as of Apr 30, 2026
Mar 21, 2022$127M then
HNW client RAUM$236M as of Apr 30, 2026
Mar 21, 2022$98.1M then
State-registered IARs (5.B.3)3 as of Apr 30, 2026
Mar 21, 20223 then
Employees (5.A)6 as of Apr 30, 2026
Mar 21, 20225 then
Private funds: no history
RAUM +14% over the last fiscal year+37% a year over threeIARs 3 to 3offices 1 to 2
Practice profile
derived from the filing of Apr 30, 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
- $97.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.1MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.1%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Custody
- $228M, 52 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$236M80%
- Charitable organizations$37.4M13%
- Individuals$20.2M6.9%
- Individual clients
- 48reported
- HNW clients
- 39reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 207reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $228M for 52 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.13 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•••••• G•••• D••••Certified Financial Planner | Westlake Village, Ca | May 14, 2019 | 14 y | 2 |
| H••••• E•••••••• O••• B•••••Certified Financial Planner, Chartered Financial Analyst | Westlake Village, Ca | Jul 2, 2019 | 12 y | 2 |
| Y••••• A•• T• D••••Certified Financial Planner | Westlake Village, Ca | Oct 19, 2021 | 10 y | 0 |
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
- H••••• E•••••••• O••• B••••• from C••••••••• A•••••••Jul 2, 2019 · RIA to RIA
- M•••••• G•••• D•••• from C••••••••• A•••••••May 14, 2019 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• H•••••• E•••••••• O••• · Managing Membercontrolsince 01/2021 · owns 10% to 25%
- D••••• M••••••• G•••• · Manager And Chief Compliance Officercontrolsince 02/2019 · owns 75% or more
Related persons
Schedule D 7.A
- V•••••• E••• C•••••••n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Westlake Village, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Employees · 8 to 6Mar 12, 2026 to Apr 30, 2026
- Other offices · 1 to 2Mar 12, 2026 to Apr 30, 2026
- Accounts · 194 to 207Mar 24, 2025 to Mar 12, 2026
- HNW clients · 32 to 39Mar 24, 2025 to Mar 12, 2026
- Individual clients · 50 to 48Mar 24, 2025 to Mar 12, 2026
- Assets in custody · $191M to $228MMar 24, 2025 to Mar 12, 2026
- Discretionary RAUM · $258M to $294MMar 24, 2025 to Mar 12, 2026
- HNW RAUM · $205M to $236MMar 24, 2025 to Mar 12, 2026
- Individual RAUM · $18.2M to $20.2MMar 24, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $69,040 to $63,904Mar 24, 2025 to Mar 12, 2026
- RAUM · $258M to $294MMar 24, 2025 to Mar 12, 2026
- Accounts · 173 to 194Nov 15, 2024 to Mar 24, 2025
- HNW clients · 29 to 32Nov 15, 2024 to Mar 24, 2025
- Individual clients · 42 to 50Nov 15, 2024 to Mar 24, 2025
- Assets in custody · $175M to $191MNov 15, 2024 to Mar 24, 2025
- Financial planning clients · 51-100 to 51-100Nov 15, 2024 to Mar 24, 2025
- Discretionary RAUM · $292M to $258MNov 15, 2024 to Mar 24, 2025
- HNW RAUM · $244M to $205MNov 15, 2024 to Mar 24, 2025
- Individual RAUM · $15.0M to $18.2MNov 15, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $9,807 to $69,040Nov 15, 2024 to Mar 24, 2025
- RAUM · $292M to $258MNov 15, 2024 to Mar 24, 2025
- Assets in custody · $71.5M to $175MApr 26, 2024 to Nov 14, 2024
- Other offices · 2 to 1Apr 26, 2024 to Nov 14, 2024
- Employees · 5 to 8Mar 21, 2024 to Apr 22, 2024
- Accounts · 160 to 173Feb 27, 2023 to Mar 21, 2024
- HNW clients · 23 to 29Feb 27, 2023 to Mar 21, 2024
- Individual clients · 46 to 42Feb 27, 2023 to Mar 21, 2024
- Assets in custody · $26.7M to $71.5MFeb 27, 2023 to Mar 21, 2024
- Discretionary RAUM · $113M to $292MFeb 27, 2023 to Mar 21, 2024
- HNW RAUM · $82.1M to $244MFeb 27, 2023 to Mar 21, 2024
- Individual RAUM · $17.1M to $15.0MFeb 27, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $9,641 to $9,807Feb 27, 2023 to Mar 21, 2024
- RAUM · $113M to $292MFeb 27, 2023 to Mar 21, 2024
- Accounts · 113 to 160Jan 13, 2023 to Feb 27, 2023
- HNW clients · 27 to 23Jan 13, 2023 to Feb 27, 2023
- Individual clients · 36 to 46Jan 13, 2023 to Feb 27, 2023
- Assets in custody · $39.0M to $26.7MJan 13, 2023 to Feb 27, 2023
- Employees · 4 to 5Jan 13, 2023 to Feb 27, 2023
- Discretionary RAUM · $126M to $113MJan 13, 2023 to Feb 27, 2023
- HNW RAUM · $98.1M to $82.1MJan 13, 2023 to Feb 27, 2023
Signals
2 dated events
- S••••••• F•••••••• P•••••••• L•• reported RAUM $291.6M, up 157% from $113.4M (2023-02-27 to 2024-03-21)Mar 21, 2024 · RAUM change · derived
- S••••••• F•••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Jan 4, 2022 · 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
- info@sherwoodfp.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 805-870-5591reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/40707771reportedpublic record, Form ADV, Sep 18, 2026
- Website
- sherwoodfp.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 805.870.5591reportedpublic record, Form ADV, Apr 30, 2026
- Contact form
- sherwoodfp.com/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- $97.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026