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••••••• W••••• • R••••••••• L••
Latest filing Aug 1, 2022
First filing on the tape Aug 30, 2019 · 19 filings
RAUM
$70.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$69.1M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$23.5M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$74.5M as of Mar 31, 2022
Jan 31, 2020$106M then
HNW client RAUM$39.7M as of Mar 31, 2022
Jan 31, 2020$59.9M then
State-registered IARs (5.B.3)3 as of Mar 31, 2022
Jan 31, 20204 then
Employees (5.A)4 as of Mar 31, 2022
Jan 31, 20205 then
Private funds: no history
RAUM -22% over the last fiscal yearIARs 4 to 3offices 0 to 3
Practice profile
derived from the filing of Aug 1, 2022; every figure names its basis
- RAUM per advisor
- $23.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $221,944derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -18%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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
- 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$41.6M59%
- Individuals$27.5M39%
- Corporations and businesses$1.2M1.6%
- Pension and profit-sharing plans$289,5700.4%
- Charitable organizations$12,5520.0%
- Individual clients
- 97reported
- HNW clients
- 35reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 318reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• W•••• S•••••••Certified Financial Planner | Tucson, Az | Nov 5, 2019 | 25 y | 2 |
| D•••• W•••• S•••••••Certified Financial Planner, Chartered Financial Consultant | Tucson, Az | Nov 5, 2019 | 40 y | 2 |
| S••••• A•• M••••• | Tucson, Az | Nov 5, 2019 | 31 y | 1 |
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
- K•••• A••••• M••••••••• to T•• W••••• A•••••••• I•••Jul 19, 2021 · RIA to RIA
Joined, latest
- D•••• W•••• S••••••• from L•• F•••••••• L••Nov 5, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
- S••••• A•• M••••• from S••••••• W••••• • R•••••••••Nov 5, 2019 · Other
- K•••• A••••• M••••••••• from S••••••• W••••• • R•••••••••Nov 5, 2019 · Other
- D•••• W•••• S••••••• from L•• F•••••••• L••Nov 5, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S••••••• W••••• • R•••••••••Mar 26, 2020 · Tucson, Az
- 2 joined from L•• F•••••••• L••Sep 26, 2019 · Tucson, Az
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• D••••• W•••• · Manager And Chief Compliance Officercontrolsince 09/2019 · owns 50% to 75%
- S•••••••• D••••• W•••• · Manager And Chief Investment Officercontrolsince 12/2019 · owns 50% to 75%
Related persons
Schedule D 7.A
- R••••••••• F•••••••• S•••••••• I•••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Tucson, Az · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 329 to 318May 4, 2022 to Jul 8, 2022
- Advisory activities · 4 to 5May 4, 2022 to Jul 8, 2022
- HNW clients · 32 to 35May 4, 2022 to Jul 8, 2022
- Individual clients · 99 to 97May 4, 2022 to Jul 8, 2022
- Employees · 4 to 3May 4, 2022 to Jul 8, 2022
- Discretionary RAUM · $74.5M to $70.6MMay 4, 2022 to Jul 8, 2022
- HNW RAUM · $39.7M to $41.6MMay 4, 2022 to Jul 8, 2022
- Individual RAUM · $32.7M to $27.5MMay 4, 2022 to Jul 8, 2022
- Pension RAUM · unset to 289570.0May 4, 2022 to Jul 8, 2022
- RAUM · $74.5M to $70.6MMay 4, 2022 to Jul 8, 2022
- Assets in custody · 116428.0 to unsetApr 7, 2022 to May 4, 2022
- Custody of client assets · true to falseApr 7, 2022 to May 4, 2022
- Accounts · 370 to 329Oct 26, 2021 to Mar 31, 2022
- Advisory employees · 4 to 3Oct 26, 2021 to Mar 31, 2022
- HNW clients · 45 to 32Oct 26, 2021 to Mar 31, 2022
- Individual clients · 91 to 99Oct 26, 2021 to Mar 31, 2022
- Assets in custody · $132,216 to $116,428Oct 26, 2021 to Mar 31, 2022
- Employees · 5 to 4Oct 26, 2021 to Mar 31, 2022
- State-registered IARs · 4 to 3Oct 26, 2021 to Mar 31, 2022
- Other offices · 0 to 3Oct 26, 2021 to Mar 31, 2022
- Discretionary RAUM · $90.5M to $74.5MOct 26, 2021 to Mar 31, 2022
- HNW RAUM · $60.0M to $39.7MOct 26, 2021 to Mar 31, 2022
- Individual RAUM · $26.3M to $32.7MOct 26, 2021 to Mar 31, 2022
- Pension RAUM · 4177815.0 to unsetOct 26, 2021 to Mar 31, 2022
- RAUM · $90.5M to $74.5MOct 26, 2021 to Mar 31, 2022
- Accounts · 356 to 370Jun 4, 2020 to Feb 24, 2021
- HNW clients · 39 to 45Jun 4, 2020 to Feb 24, 2021
- Individual clients · 102 to 91Jun 4, 2020 to Feb 24, 2021
- Assets in custody · $168,000 to $132,216Jun 4, 2020 to Feb 24, 2021
- Discretionary RAUM · $106M to $90.5MJun 4, 2020 to Feb 24, 2021
- HNW RAUM · $59.9M to $60.0MJun 4, 2020 to Feb 24, 2021
- Individual RAUM · $36.0M to $26.3MJun 4, 2020 to Feb 24, 2021
- Pension RAUM · $4.3M to $4.2MJun 4, 2020 to Feb 24, 2021
- RAUM · $106M to $90.5MJun 4, 2020 to Feb 24, 2021
- Accounts · 0 to 356Sep 27, 2019 to Jan 31, 2020
- HNW clients · unset to 39.0Sep 27, 2019 to Jan 31, 2020
- Individual clients · unset to 102.0Sep 27, 2019 to Jan 31, 2020
- Assets in custody · unset to 168000.0Sep 27, 2019 to Jan 31, 2020
- Custody of client assets · false to trueSep 27, 2019 to Jan 31, 2020
- Employees · 6 to 5Sep 27, 2019 to Jan 31, 2020
Signals
1 dated events
- S••••••• W••••• • R••••••••• L•• filed its initial SEC registration (Form ADV)Aug 30, 2019 · 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/2706895/ADMINreportedpublic record, Form ADV, Sep 18, 2026
- Website
- S•••••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $23.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026