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•• L••• W••••• A•••••••
Legal name S•••• L••
Latest filing Mar 13, 2026
First filing on the tape Jun 8, 2020 · 18 filings
SEC status approved since Jul 13, 2020
RAUM
$760M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
75%
$570M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$109M
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
18 filings and snapshots on the tape
RAUM$760M as of Mar 13, 2026
Mar 12, 2021$289M then
HNW client RAUM$502M as of Mar 13, 2026
Mar 12, 2021$201M then
State-registered IARs (5.B.3)4 as of Mar 13, 2026
Mar 12, 20212 then
Employees (5.A)6 as of Mar 13, 2026
Mar 12, 20213 then
Private funds: no history
RAUM +7.7% over the last fiscal year+15% a year over threeIARs 4 to 4offices 1 to 0
Practice profile
derived from the filing of Mar 13, 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
- 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
- $109MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $12.0MderivedHNW RAUM over HNW clients
- Average account
- $590,542derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -46%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$502M66%
- Corporations and businesses$163M21%
- Individuals$68.2M9.0%
- Pension and profit-sharing plans$26.6M3.5%
- Charitable organizations$54,1590.0%
- Individual clients
- 181reported
- HNW clients
- 42reported
- Pension plan clients
- 63reported
- Charitable clients
- 2reported
- Accounts
- 1,287reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.75 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••• D•••• K••••••••Certified Financial Planner | San L••• Obispo, Ca | May 7, 2021 | 13 y | 2 |
| B•••••• J••••• G•••••• | San L••• Obispo, Ca | May 10, 2021 | 31 y | 3 |
| R•••••• L•••••• B••••Certified Financial Planner | San L••• Obispo, Ca | Apr 4, 2024 | 14 y | 2 |
| J••• D••••• A••••Certified Financial Planner | San L••• Obispo, Ca | Mar 24, 2025 | 12 y | 1 |
| J••••••• L••• C••••••Certified Financial Planner | San L••• Obispo, Ca | Sep 2, 2025 | 21 y | 7 |
| M••••••• K••••• C•••••• | San L••• Obispo, Ca | Sep 3, 2025 | 12 y | 3 |
| G•••• W•••••• B••••••• | San L••• Obispo, Ca | Dec 1, 2025 | 14 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
- M••••••• K••••• C•••••• from C•••• P•••••• W••••• A•••••••• L••Sep 3, 2025 · RIA to RIA
- J••••••• L••• C•••••• from C•••• P•••••• W••••• A•••••••• L••Sep 2, 2025 · RIA to RIA
- R•••••• L•••••• B•••• from F••••••• P••••••• A•• W•••••••• A•••••••Apr 4, 2024 · Affiliated broker-dealer or bank to independent RIA
- B•••••• J••••• G•••••• from W•••• F•••• A•••••••May 10, 2021 · Wirehouse to independent RIA
- L••• D•••• K•••••••• from W•••• F•••• A•••••••May 7, 2021 · Wirehouse to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C•••• P•••••• W••••• A•••••••• L••Oct 3, 2025 · San L••• Obispo, Ca
- 2 joined from W•••• F•••• A•••••••Jul 24, 2020 · San L••• Obispo, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• B••••••• J••••• · Founding Partnercontrolsince 06/2020 · owns 10% to 25%
- K••••••••• L•••• D•••• · Chief Executive Officer/Chief Compliance Officercontrolsince 06/2020 · 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 |
|---|---|---|---|---|---|
| San L••• Obispo, Ca · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Bakersfield, CA1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 13, 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 $705,518,005 to $760,027,436, advisors 4 to 4, private clients 416 to 223, offices 1 to 0 (2025-03-28 to 2026-03-13)peers: independent wealth managers, $500M to $1B (1,482)
- client count collapseChange between filings · filing Mar 13, 2026individual and HNW clients (Item 5.D) moved from 416.0 to 223.0 (-46.0%) between the annual amendments of 2025-03-28 and 2026-03-13; the peer median change was +5.0% (1216 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,216) · 1.7% percentile
Data quality: RAUM $495,028,123 then $97,201,536 then $705,518,005 on consecutive annual amendments (2024-03-29, 2025-03-28); the middle value is likely a filing error
What changed
consecutive filings, newest first
- Accounts · 1,364 to 1,287Mar 28, 2025 to Mar 13, 2026
- Charity clients · 5 to 2Mar 28, 2025 to Mar 13, 2026
- Corporate clients · 27 to 175Mar 28, 2025 to Mar 13, 2026
- HNW clients · 141 to 42Mar 28, 2025 to Mar 13, 2026
- Individual clients · 275 to 181Mar 28, 2025 to Mar 13, 2026
- Pension plan clients · unset to 63.0Mar 28, 2025 to Mar 13, 2026
- Assets in custody · unset to 0.0Mar 28, 2025 to Mar 13, 2026
- Financial planning clients · 101-250 to 251-500Mar 28, 2025 to Mar 13, 2026
- Other offices · 1 to 0Mar 28, 2025 to Mar 13, 2026
- Discretionary RAUM · $706M to $760MMar 28, 2025 to Mar 13, 2026
- HNW RAUM · $521M to $502MMar 28, 2025 to Mar 13, 2026
- Individual RAUM · $83.9M to $68.2MMar 28, 2025 to Mar 13, 2026
- Pension RAUM · unset to 26616117.0Mar 28, 2025 to Mar 13, 2026
- RAUM · $706M to $760MMar 28, 2025 to Mar 13, 2026
- Accounts · 1,254 to 1,364Apr 23, 2024 to Mar 28, 2025
- Charity clients · unset to 5.0Apr 23, 2024 to Mar 28, 2025
- HNW clients · 124 to 141Apr 23, 2024 to Mar 28, 2025
- Individual clients · 259 to 275Apr 23, 2024 to Mar 28, 2025
- Employees · 7 to 6Apr 23, 2024 to Mar 28, 2025
- Financial planning clients · 26-50 to 101-250Apr 23, 2024 to Mar 28, 2025
- Discretionary RAUM · $561M to $706MApr 23, 2024 to Mar 28, 2025
- HNW RAUM · $386M to $521MApr 23, 2024 to Mar 28, 2025
- Individual RAUM · $64.7M to $83.9MApr 23, 2024 to Mar 28, 2025
- RAUM · $561M to $706MApr 23, 2024 to Mar 28, 2025
- Accounts · 641 to 1,254Mar 29, 2024 to Apr 23, 2024
- Corporate clients · unset to 27.0Mar 29, 2024 to Apr 23, 2024
- HNW clients · 16 to 124Mar 29, 2024 to Apr 23, 2024
- Individual clients · 274 to 259Mar 29, 2024 to Apr 23, 2024
- Discretionary RAUM · $97.2M to $561MMar 29, 2024 to Apr 23, 2024
- HNW RAUM · $29.8M to $386MMar 29, 2024 to Apr 23, 2024
- RAUM · $97.2M to $561MMar 29, 2024 to Apr 23, 2024
- Accounts · 1,068 to 641Oct 12, 2023 to Mar 29, 2024
- Corporate clients · 49.0 to unsetOct 12, 2023 to Mar 29, 2024
- HNW clients · 95 to 16Oct 12, 2023 to Mar 29, 2024
- Individual clients · 244 to 274Oct 12, 2023 to Mar 29, 2024
- Pension plan clients · 16.0 to unsetOct 12, 2023 to Mar 29, 2024
- Discretionary RAUM · $495M to $97.2MOct 12, 2023 to Mar 29, 2024
- HNW RAUM · $283M to $29.8MOct 12, 2023 to Mar 29, 2024
- Individual RAUM · $64.3M to $64.7MOct 12, 2023 to Mar 29, 2024
- Pension RAUM · 24938094.0 to unsetOct 12, 2023 to Mar 29, 2024
Signals
6 dated events
- 2 advisors left C•••• P•••••• W••••• A•••••••• L•• (San L••• Obispo, CA) for S•• L••• W••••• A••••••• on the same dayOct 3, 2025 · Team lift-out · derived
- S•• L••• W••••• A••••••• reported RAUM $705.5M, up 26% from $561.1M (2024-04-23 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- S•• L••• W••••• A••••••• reported RAUM $561.1M, up 477% from $97.2M (2024-03-29 to 2024-04-23)Apr 23, 2024 · RAUM change · derived
- S•• L••• W••••• A••••••• reported RAUM $97.2M, down 80% from $495.0M (2023-10-12 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- S•• L••• W••••• A••••••• reported RAUM $395.3M, up 37% from $288.7M (2021-03-12 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- S•• L••• W••••• A••••••• filed its initial SEC registration (Form ADV)Jun 8, 2020 · 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
- 805-810-0002reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/slwallcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- sanluiswealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 805-810-0002reportedpublic record, Form ADV, Mar 13, 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
- $109Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026