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••••• A•••••••• L••
Latest filing Mar 20, 2026
First filing on the tape May 27, 2021 · 10 filings
SEC status approved since Jun 29, 2021
RAUM
$188M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
98%
$184M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$46.9M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$188M as of Mar 20, 2026
Mar 29, 2022$153M then
HNW client RAUM$126M as of Mar 20, 2026
Mar 29, 2022$79.8M then
State-registered IARs (5.B.3)4 as of Mar 20, 2026
Mar 29, 20223 then
Employees (5.A)6 as of Mar 20, 2026
Mar 29, 20226 then
Private funds: no history
RAUM +15% over the last fiscal year+14% a year over threeIARs 2 to 4
Practice profile
derived from the filing of Mar 20, 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
- $46.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $240,915derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $38.7M, 92 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
- 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)
- 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$126M67%
- Individuals$57.9M31%
- Corporations and businesses$1.6M0.8%
- Charitable organizations$1.5M0.8%
- Pension and profit-sharing plans$724,1650.4%
- Individual clients
- 190reported
- HNW clients
- 55reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 779reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $38.7M for 92 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• D••••• S•••••Certified Financial Planner | Tampa, Fl | Jul 23, 2020 | 25 y | 2 |
| D••••• T••••• B••••Chartered Financial Analyst | Tampa, Fl | Sep 24, 2024 | 11 y | 0 |
| E•••• E•••••••• K•••• | Tampa, Fl | Jan 30, 2025 | 16 y | 0 |
| D•••• J••• Z•••• | Tampa, Fl | Mar 24, 2025 | 22 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 headcount1 left over 36 months
Left, latest
- R••• L•• J•••• to V•••• C•••••• L••Feb 28, 2024 · RIA to a state-registered adviser
Joined, latest
- B•••• D••••• S••••• from P•••••• W••• F•••••••• C••••••••• I••Jul 23, 2020 · Other
- R••• L•• J•••• from T•• S•••••••• F•••••••• A•••••••Jul 23, 2020 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• B••••• D••••• · Managing Member/Chief Compliance Officercontrolsince 01/2020 · owns 50% to 75%
- S•••••• B••••• D••••• · Membersince 01/2020 · owns 25% to 50%
- S•••••• H••••••• L•••• · Membersince 01/2020 · owns 10% to 25%
Related persons
Schedule D 7.A
- T•• S•••••••• F•••••••• A•••••••broker-dealerinvestment advisernRAUM $382M
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Tampa, Fl · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 20, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-25, yes on the filing of 2026-03-20peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 766 to 779Mar 25, 2025 to Mar 20, 2026
- Advisory employees · 3 to 4Mar 25, 2025 to Mar 20, 2026
- Corporate clients · 2 to 1Mar 25, 2025 to Mar 20, 2026
- HNW clients · 44 to 55Mar 25, 2025 to Mar 20, 2026
- Individual clients · 210 to 190Mar 25, 2025 to Mar 20, 2026
- Pension plan clients · 1.0 to unsetMar 25, 2025 to Mar 20, 2026
- Assets in custody · unset to 38693422.0Mar 25, 2025 to Mar 20, 2026
- Custody of client assets · false to trueMar 25, 2025 to Mar 20, 2026
- Employees · 5 to 6Mar 25, 2025 to Mar 20, 2026
- Insurance-licensed employees · 1 to 0Mar 25, 2025 to Mar 20, 2026
- Financial planning clients · 1-10 to 0Mar 25, 2025 to Mar 20, 2026
- State-registered IARs · 2 to 4Mar 25, 2025 to Mar 20, 2026
- Discretionary RAUM · $149M to $174MMar 25, 2025 to Mar 20, 2026
- HNW RAUM · $96.7M to $126MMar 25, 2025 to Mar 20, 2026
- Individual RAUM · $62.7M to $57.9MMar 25, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $14.6M to $13.5MMar 25, 2025 to Mar 20, 2026
- Pension RAUM · $773,361 to $724,165Mar 25, 2025 to Mar 20, 2026
- RAUM · $163M to $188MMar 25, 2025 to Mar 20, 2026
- Accounts · 796 to 766Mar 25, 2024 to Mar 25, 2025
- BD registered reps · 3 to 2Mar 25, 2024 to Mar 25, 2025
- Corporate clients · 4 to 2Mar 25, 2024 to Mar 25, 2025
- HNW clients · 181 to 44Mar 25, 2024 to Mar 25, 2025
- Individual clients · 605 to 210Mar 25, 2024 to Mar 25, 2025
- Insurance-licensed employees · 0 to 1Mar 25, 2024 to Mar 25, 2025
- Financial planning clients · 1-10 to 1-10Mar 25, 2024 to Mar 25, 2025
- Discretionary RAUM · $139M to $149MMar 25, 2024 to Mar 25, 2025
- HNW RAUM · $74.2M to $96.7MMar 25, 2024 to Mar 25, 2025
- Individual RAUM · $70.4M to $62.7MMar 25, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $10.5M to $14.6MMar 25, 2024 to Mar 25, 2025
- Pension RAUM · $532,225 to $773,361Mar 25, 2024 to Mar 25, 2025
- RAUM · $149M to $163MMar 25, 2024 to Mar 25, 2025
- Accounts · 751 to 796Jan 16, 2024 to Mar 25, 2024
- Corporate clients · 2 to 4Jan 16, 2024 to Mar 25, 2024
- HNW clients · 167 to 181Jan 16, 2024 to Mar 25, 2024
- Individual clients · 576 to 605Jan 16, 2024 to Mar 25, 2024
- Employees · 7 to 5Jan 16, 2024 to Mar 25, 2024
- State-registered IARs · 3 to 2Jan 16, 2024 to Mar 25, 2024
- Discretionary RAUM · $125M to $139MJan 16, 2024 to Mar 25, 2024
- HNW RAUM · $58.6M to $74.2MJan 16, 2024 to Mar 25, 2024
- Individual RAUM · $65.2M to $70.4MJan 16, 2024 to Mar 25, 2024
Signals
2 dated events
- R••• L•• J•••• left S•• W••••• A•••••••• L•• for V•••• C•••••• L•• (registered 2024-01-08)Feb 28, 2024 · Advisor changed firm · fact
- S•• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)May 27, 2021 · 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
- 678-954-4000reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 813-251-1876reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 813-251-9095reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/SFGWEALTHreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (813) 251-9095reportedpublic record, Form ADV, Mar 20, 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
- $46.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026