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••••• P•••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Oct 2, 2019 · 17 filings
SEC status approved since Oct 30, 2019
RAUM
$263M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$263M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$263M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$263M as of Mar 18, 2026
Feb 27, 2020$109M then
HNW client RAUM$220M as of Mar 18, 2026
Feb 27, 2020$87.6M then
State-registered IARs (5.B.3)1 as of Mar 18, 2026
Feb 27, 20202 then
Employees (5.A)3 as of Mar 18, 2026
Feb 27, 20204 then
Private funds: no history
RAUM +22% over the last fiscal year+12% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $263MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 147derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $423,646derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -28%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $254MreportedItem 5.I
- Custody
- $109M, 68 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$220M84%
- Individuals$42.4M16%
- Individual clients
- 95reported
- HNW clients
- 52reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 620reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $109M for 68 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| H•••• J• S••••Certified Financial Planner | Boca Raton, Fl | Nov 27, 2019 | 17 y | 2 |
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 headcount1 left over 36 months
Left, latest
- W•••••• M• S•••••••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Mar 11, 2024 · RIA to RIA
- W•••••• M••••••• to N••••••••• M••••• I••••••••• S•••••••••Jun 9, 2021 · Other
Joined, latest
- W•••••• M• S•••••••• from M•• I•••••••• S•••••••• L••Mar 11, 2022 · Affiliated broker-dealer or bank to independent RIA
- H•••• J• S•••• from A••••••••• F•••••••• S•••••••• L••Nov 27, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
- W•••••• M••••••• from A••••••••• F•••••••• S•••••••• L••Nov 26, 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••••• H••••• J• · Manager/Chief Executive Officer/Chief Compliance Officercontrolsince 11/2019 · 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 |
|---|---|---|---|---|---|
| Malvern, Pa | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 2 employees
- Malvern, PA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 18, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $215,097,857 to $262,660,482, advisors 1 to 1, private clients 205 to 147, offices 1 to 1 (2025-03-24 to 2026-03-18)peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 616 to 620Oct 6, 2025 to Mar 18, 2026
- HNW clients · 53 to 52Oct 6, 2025 to Mar 18, 2026
- Individual clients · 152 to 95Oct 6, 2025 to Mar 18, 2026
- Assets in custody · $117M to $109MOct 6, 2025 to Mar 18, 2026
- Discretionary RAUM · $215M to $263MOct 6, 2025 to Mar 18, 2026
- HNW RAUM · $180M to $220MOct 6, 2025 to Mar 18, 2026
- Individual RAUM · $34.6M to $42.4MOct 6, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $57,076 to $0Oct 6, 2025 to Mar 18, 2026
- RAUM · $215M to $263MOct 6, 2025 to Mar 18, 2026
- BD registered reps · 1 to 0Mar 24, 2025 to Oct 6, 2025
- Employees · 4 to 3Mar 24, 2025 to Oct 6, 2025
- Accounts · 920 to 616Mar 28, 2024 to Mar 24, 2025
- HNW clients · 73 to 53Mar 28, 2024 to Mar 24, 2025
- Individual clients · 227 to 152Mar 28, 2024 to Mar 24, 2025
- Assets in custody · $99.3M to $117MMar 28, 2024 to Mar 24, 2025
- Financial planning clients · 26-50 to 26-50Mar 28, 2024 to Mar 24, 2025
- Other offices · 2 to 1Mar 28, 2024 to Mar 24, 2025
- Discretionary RAUM · $224M to $215MMar 28, 2024 to Mar 24, 2025
- HNW RAUM · $169M to $180MMar 28, 2024 to Mar 24, 2025
- Individual RAUM · $56.1M to $34.6MMar 28, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $8.9M to $57,076Mar 28, 2024 to Mar 24, 2025
- RAUM · $232M to $215MMar 28, 2024 to Mar 24, 2025
- Accounts · 887 to 920Mar 7, 2023 to Mar 28, 2024
- Advisory employees · 2 to 1Mar 7, 2023 to Mar 28, 2024
- BD registered reps · 2 to 1Mar 7, 2023 to Mar 28, 2024
- HNW clients · 70 to 73Mar 7, 2023 to Mar 28, 2024
- Individual clients · 213 to 227Mar 7, 2023 to Mar 28, 2024
- Assets in custody · $80.6M to $99.3MMar 7, 2023 to Mar 28, 2024
- Employees · 7 to 4Mar 7, 2023 to Mar 28, 2024
- State-registered IARs · 2 to 1Mar 7, 2023 to Mar 28, 2024
- Discretionary RAUM · $176M to $224MMar 7, 2023 to Mar 28, 2024
- HNW RAUM · $134M to $169MMar 7, 2023 to Mar 28, 2024
- Individual RAUM · $44.2M to $56.1MMar 7, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $9.1M to $8.9MMar 7, 2023 to Mar 28, 2024
- RAUM · $185M to $232MMar 7, 2023 to Mar 28, 2024
- Accounts · 556 to 887Mar 31, 2022 to Mar 7, 2023
- BD registered reps · 1 to 2Mar 31, 2022 to Mar 7, 2023
- HNW clients · 44 to 70Mar 31, 2022 to Mar 7, 2023
- Individual clients · 97 to 213Mar 31, 2022 to Mar 7, 2023
- Assets in custody · $126M to $80.6MMar 31, 2022 to Mar 7, 2023
Signals
4 dated events
- W•••••• M• S•••••••• left S•••• W••••• P•••••••• L•• for U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• (registered 2024-03-06)Mar 11, 2024 · Advisor changed firm · fact
- Henry Laffer (Manager/Chief Compliance Officer) no longer on Schedule A of S•••• W••••• P•••••••• L•• (listed 2019-10-02, absent 2019-11-26)Nov 26, 2019 · Control person left · inference
- J H•••• S•••• (Manager/Chief Executive Officer/Chief Compliance Officer) appeared on Schedule A of S•••• W••••• P•••••••• L••Nov 26, 2019 · Control person joined · fact
- A•••••••• W••••• P••••••• L•• filed its initial SEC registration (Form ADV)Oct 2, 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
- Business phone
- 561-465-7550reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 561-944-8829reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 610-458-8585reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S••••WP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 561-465-7550reportedpublic record, Form ADV, Mar 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $263Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026