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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S••••• W••••• A•••••••
Legal name S••••• W••••• A•••••••• L•••
Latest filing Jan 30, 2026
First filing on the tape Jun 19, 2020 · 24 filings
SEC status approved since Jul 23, 2020
RAUM
$68.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$68.4M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$22.8M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$68.4M as of Jan 30, 2026
Feb 5, 2021$31.7M then
HNW client RAUM$33.7M as of Jan 30, 2026
Feb 5, 2021$8.2M then
State-registered IARs (5.B.3)2 as of Jan 30, 2026
Feb 5, 20212 then
Employees (5.A)3 as of Jan 30, 2026
Feb 5, 20213 then
Private funds: no history
RAUM +13% over the last fiscal year+14% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $22.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $222,691derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.9%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$34.7M51%
- High-net-worth individuals$33.7M49%
- Individual clients
- 86reported
- HNW clients
- 23reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 307reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• W•••••• H•••••••• | W••••••Sville, Ny | Nov 18, 2020 | 22 y | 2 |
| D••• M• R••••••• | W••••••Sville, Ny | Nov 18, 2020 | 13 y | 1 |
| B•••••• J• T••••• | Williamsville, Ny | Feb 22, 2022 | 12 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
- J••• W•••••• H•••••••• from I••••••••• S•••••••• W••••• M••••••••• L••Nov 18, 2020 · RIA to RIA
- D••• M• R••••••• from I••••••••• S•••••••• W••••• M••••••••• L••Nov 18, 2020 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from I••••••••• S•••••••• W••••• M••••••••• L••Sep 14, 2020 · W••••••Sville, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••••• J•••• W•••••• · Presidentcontrolsince 06/2020 · owns 75% or more
- R•••••••• D•••• M• · Chief Compliance Officercontrolsince 06/2020 · owns less than 5%
Related persons
Schedule D 7.A
- D••• R•••••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| W••••••Sville, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 268 to 307Feb 12, 2025 to Jan 30, 2026
- HNW clients · 17 to 23Feb 12, 2025 to Jan 30, 2026
- Individual clients · 90 to 86Feb 12, 2025 to Jan 30, 2026
- Discretionary RAUM · $60.7M to $68.4MFeb 12, 2025 to Jan 30, 2026
- HNW RAUM · $25.4M to $33.7MFeb 12, 2025 to Jan 30, 2026
- Individual RAUM · $35.3M to $34.7MFeb 12, 2025 to Jan 30, 2026
- RAUM · $60.7M to $68.4MFeb 12, 2025 to Jan 30, 2026
- Financial planning clients · 101-250 to 101-250Jan 31, 2025 to Feb 12, 2025
- HNW clients · 13 to 17Feb 2, 2024 to Jan 31, 2025
- Individual clients · 96 to 90Feb 2, 2024 to Jan 31, 2025
- Discretionary RAUM · $50.9M to $60.7MFeb 2, 2024 to Jan 31, 2025
- HNW RAUM · $17.8M to $25.4MFeb 2, 2024 to Jan 31, 2025
- Individual RAUM · $33.0M to $35.3MFeb 2, 2024 to Jan 31, 2025
- RAUM · $50.9M to $60.7MFeb 2, 2024 to Jan 31, 2025
- Accounts · 227 to 268May 11, 2023 to Feb 1, 2024
- HNW clients · 9 to 13May 11, 2023 to Feb 1, 2024
- Individual clients · 85 to 96May 11, 2023 to Feb 1, 2024
- Financial planning clients · 51-100 to 101-250May 11, 2023 to Feb 1, 2024
- Discretionary RAUM · $45.7M to $50.9MMay 11, 2023 to Feb 1, 2024
- HNW RAUM · $12.7M to $17.8MMay 11, 2023 to Feb 1, 2024
- Individual RAUM · $33.0M to $33.0MMay 11, 2023 to Feb 1, 2024
- RAUM · $45.7M to $50.9MMay 11, 2023 to Feb 1, 2024
- Accounts · 205 to 227Jan 26, 2022 to Jan 23, 2023
- HNW clients · 10 to 9Jan 26, 2022 to Jan 23, 2023
- Individual clients · 84 to 85Jan 26, 2022 to Jan 23, 2023
- Employees · 4 to 3Jan 26, 2022 to Jan 23, 2023
- Discretionary RAUM · $40.0M to $45.7MJan 26, 2022 to Jan 23, 2023
- HNW RAUM · $13.9M to $12.7MJan 26, 2022 to Jan 23, 2023
- Individual RAUM · $26.1M to $33.0MJan 26, 2022 to Jan 23, 2023
- RAUM · $40.0M to $45.7MJan 26, 2022 to Jan 23, 2023
- Accounts · 186 to 205Oct 19, 2021 to Jan 25, 2022
- HNW clients · 6 to 10Oct 19, 2021 to Jan 25, 2022
- Individual clients · 89 to 84Oct 19, 2021 to Jan 25, 2022
- Employees · 3 to 4Oct 19, 2021 to Jan 25, 2022
- Discretionary RAUM · $31.7M to $40.0MOct 19, 2021 to Jan 25, 2022
- HNW RAUM · $8.2M to $13.9MOct 19, 2021 to Jan 25, 2022
- Individual RAUM · $23.4M to $26.1MOct 19, 2021 to Jan 25, 2022
- RAUM · $31.7M to $40.0MOct 19, 2021 to Jan 25, 2022
- Accounts · 175 to 186Nov 18, 2020 to Feb 5, 2021
- HNW clients · 4 to 6Nov 18, 2020 to Feb 5, 2021
Signals
1 dated events
- S••••• W••••• A••••••• filed its initial SEC registration (Form ADV)Jun 19, 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 email
- a••••@s••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 716-221-8060reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 833-457-1040reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- S•••••457.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 833-457-1040reportedpublic record, Form ADV, Jan 30, 2026
- Contact form
- s••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $22.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026