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••••• W•••••
Legal name S••••• W•••••• L••
Latest filing Feb 18, 2026
First filing on the tape May 21, 2019 · 28 filings
SEC status approved since Jun 21, 2019
RAUM
$392M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
95%
$373M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$78.5M
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$392M as of Feb 18, 2026
Mar 27, 2020$171M then
HNW client RAUM$222M as of Feb 18, 2026
Mar 27, 2020$61.3M then
State-registered IARs (5.B.3)5 as of Feb 18, 2026
Mar 27, 20203 then
Employees (5.A)9 as of Feb 18, 2026
Mar 27, 20203 then
Private funds: no history
RAUM +6.7% over the last fiscal year+17% a year over threeIARs 6 to 5
Practice profile
derived from the filing of Feb 18, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $78.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 142derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $278,519derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 5.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 1.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -16%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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$222M56%
- Individuals$151M38%
- Pension and profit-sharing plans$19.5M5.0%
- State and municipal entities$457,5450.1%
- Individual clients
- 614reported
- HNW clients
- 98reported
- Pension plan clients
- 8reported
- Charitable clients
- 0reported
- Accounts
- 1,409reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• S••••• | Englewood, Fl | Jun 28, 2019 | 39 y | 4 |
| F••••••• A••••• B•••••Certified Financial Planner, Chartered Financial Consultant | Englewood, Fl | Jan 26, 2023 | 40 y | 1 |
| V•••••• T••••• W••••• | Englewood, Fl | Jan 9, 2025 | 22 y | 0 |
| E••• N••••• S•••••• | Sheridan, Ar | Jul 16, 2025 | 12 y | 4 |
| R••• J•••••• G••••••••Chartered Financial Analyst | Englewood, Fl | Jul 22, 2026 | 32 y | 4 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- D••••• R••••• M•••••• to R•••• I••••••••• A••••••• L••Jun 20, 2025 · RIA to affiliated broker-dealer or bank
- D•••••• J•• E•••• to E•••• F•••••••• G••••Dec 16, 2021 · RIA to a newly registered adviser
- I•• G••• S•••• to O•••••• W•••••Jun 1, 2020 · RIA to a newly registered adviser
Joined, latest
- R••• J•••••• G•••••••• from C•••••••• C•••••• L••Jul 22, 2026 · Other
- E••• N••••• S•••••• from C•••••••• C•••••• L••Nov 3, 2023 · RIA to RIA
- F••••••• A••••• B••••• from C•••••• G•••• • C• I••Jan 26, 2023 · Affiliated broker-dealer or bank to independent RIA
- D•••••• J•• E•••• from F•••• A••••• A••••••• S•••••••• I•••Sep 24, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
- I•• G••• S•••• from F•••• A••••• A••••••• S•••••••• I•••Jul 24, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
- D••••• R••••• M•••••• from S••••••• P•••••• F••••••••• L••Jul 5, 2019 · Other
- T••••• S••••• from F•••• A••••• A••••••• S•••••••• I•••Jun 28, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• T••••• · Principal And Ccocontrolsince 05/2019 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Englewood, Fl · principal | 5 | 1 | 0 | ||
| Wesley Chapel, Fl | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Wesley Chapel, FL1 employees
- West Chester, PA1 employees
What changed
consecutive filings, newest first
- Accounts · 1,620 to 1,409Jul 15, 2025 to Feb 18, 2026
- Advisory employees · 8 to 5Jul 15, 2025 to Feb 18, 2026
- HNW clients · 91 to 98Jul 15, 2025 to Feb 18, 2026
- Individual clients · 761 to 614Jul 15, 2025 to Feb 18, 2026
- Pension plan clients · 3 to 8Jul 15, 2025 to Feb 18, 2026
- Employees · 12 to 9Jul 15, 2025 to Feb 18, 2026
- Financial planning clients · 101-250 to 51-100Jul 15, 2025 to Feb 18, 2026
- State-registered IARs · 6 to 5Jul 15, 2025 to Feb 18, 2026
- Discretionary RAUM · $326M to $347MJul 15, 2025 to Feb 18, 2026
- HNW RAUM · $189M to $222MJul 15, 2025 to Feb 18, 2026
- Individual RAUM · $170M to $151MJul 15, 2025 to Feb 18, 2026
- Non-discretionary RAUM · $41.7M to $45.8MJul 15, 2025 to Feb 18, 2026
- Pension RAUM · $7.8M to $19.5MJul 15, 2025 to Feb 18, 2026
- RAUM · $368M to $392MJul 15, 2025 to Feb 18, 2026
- Financial planning clients · 101-250 to 101-250Mar 17, 2025 to Jul 15, 2025
- Accounts · 1,472 to 1,620Aug 27, 2024 to Mar 17, 2025
- Advisory employees · 5 to 8Aug 27, 2024 to Mar 17, 2025
- HNW clients · 68 to 91Aug 27, 2024 to Mar 17, 2025
- Individual clients · 771 to 761Aug 27, 2024 to Mar 17, 2025
- Pension plan clients · 4 to 3Aug 27, 2024 to Mar 17, 2025
- Employees · 8 to 12Aug 27, 2024 to Mar 17, 2025
- State-registered IARs · 5 to 6Aug 27, 2024 to Mar 17, 2025
- Legal name · F•••••••• P•••••••• L•• to S••••• W•••••• L••Aug 27, 2024 to Mar 17, 2025
- Other offices · 2 to 3Aug 27, 2024 to Mar 17, 2025
- Discretionary RAUM · $261M to $326MAug 27, 2024 to Mar 17, 2025
- HNW RAUM · $124M to $189MAug 27, 2024 to Mar 17, 2025
- Individual RAUM · $153M to $170MAug 27, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $29.1M to $41.7MAug 27, 2024 to Mar 17, 2025
- Pension RAUM · $12.5M to $7.8MAug 27, 2024 to Mar 17, 2025
- RAUM · $290M to $368MAug 27, 2024 to Mar 17, 2025
- Business name · F•••••••• P•••••••• L•• to S••••• W•••••Mar 21, 2024 to Apr 15, 2024
- Accounts · 2,049 to 1,472Mar 24, 2023 to Mar 21, 2024
- Advisory employees · 4 to 5Mar 24, 2023 to Mar 21, 2024
- Advisory activities · 2 to 3Mar 24, 2023 to Mar 21, 2024
- BD registered reps · 1 to 0Mar 24, 2023 to Mar 21, 2024
- HNW clients · 170 to 68Mar 24, 2023 to Mar 21, 2024
- Individual clients · 1,149 to 771Mar 24, 2023 to Mar 21, 2024
- Pension plan clients · 0 to 4Mar 24, 2023 to Mar 21, 2024
- State-registered IARs · 4 to 5Mar 24, 2023 to Mar 21, 2024
- Discretionary RAUM · $219M to $261MMar 24, 2023 to Mar 21, 2024
Signals
4 dated events
- D••••• R••••• M•••••• left S••••• W••••• for R•••• I••••••••• A••••••• L•• (registered 2025-07-09)Jun 20, 2025 · Advisor changed firm · fact
- Jay D•••••• E•••• (Principal And Cio) no longer on Schedule A of S••••• W••••• (listed 2021-11-23, absent 2021-12-16)Dec 16, 2021 · Control person left · inference
- Jay D•••••• E•••• (Principal And Cio) appeared on Schedule A of S••••• W•••••Sep 26, 2019 · Control person joined · fact
- F•••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)May 21, 2019 · ria f•••• adv filing · fact
Across DFX
shared identifiers only, never a name match
- Fiduciary Planning LLC · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business phone
- 610-399-1500reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- s•••••.netreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 610 399-1500reportedpublic record, Form ADV, Feb 18, 2026
- Team page
- s•••••.netreportedpublished by the firm, firm site, Sep 15, 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
- $78.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026