DFX Intelligence

RIA Intelligence

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SEC-registered adviser

S•••••• W••••• M••••••••• G••••

Independent wealth managerCRD 311268SEC 801-119942website IAPD

Legal name S•••••• W••••• M••••••••• G•••• L••

Latest filing Mar 13, 2026

First filing on the tape Nov 6, 2020 · 11 filings

SEC status approved since Dec 8, 2020

RAUM

$238M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$238M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$119M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

11 filings and snapshots on the tape

RAUM$238M as of Mar 13, 2026

Mar 7, 2021$105M then

HNW client RAUM$226M as of Mar 13, 2026

Mar 7, 2021$75.8M then

State-registered IARs (5.B.3)1 as of Mar 13, 2026

Mar 7, 20211 then

Employees (5.A)3 as of Mar 13, 2026

Mar 7, 20213 then

Private funds: no history

RAUM -1.0% over the last fiscal year-4.8% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 13, 2026; every figure names its basis

Archetypes, each a printed rule

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
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $119MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 45derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.9MderivedHNW RAUM over HNW clients
Average account: $728,934derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: -1.0%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +0.0%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 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$226M95%
Individuals$12.3M5.1%
Charitable organizations$220,2000.1%

Individual clients: 31reported
HNW clients: 58reported
Pension plan clients: n/areported
Charitable clients: 1reported
Accounts: 327reported
Financial planning clients: 101-250reported
Wrap fee programs: noreported
Custody of client assets: noreported
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

2 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
M•••••• J•••• S••••••	Gardnerville, Nv	Feb 18, 2021	29 y	2
C••• J•••• S••••••	Gardnerville, Nv	Aug 31, 2026	10 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•••••• J•••• S•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Feb 18, 2021 · Affiliated broker-dealer or bank to independent RIA

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

S••••••• M••••••• J•••• · Managing Partner, Chief Compliance Officercontrol
since 09/2020 · 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
Gardnerville, Nv	2	1	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 332 to 327
Mar 20, 2025 to Mar 13, 2026
HNW clients · 48 to 58
Mar 20, 2025 to Mar 13, 2026
Individual clients · 41 to 31
Mar 20, 2025 to Mar 13, 2026
Discretionary RAUM · $241M to $238M
Mar 20, 2025 to Mar 13, 2026
HNW RAUM · $212M to $226M
Mar 20, 2025 to Mar 13, 2026
Individual RAUM · $26.9M to $12.3M
Mar 20, 2025 to Mar 13, 2026
RAUM · $241M to $238M
Mar 20, 2025 to Mar 13, 2026
Accounts · 342 to 332
Aug 9, 2024 to Mar 20, 2025
Charity clients · unset to 1.0
Aug 9, 2024 to Mar 20, 2025
HNW clients · 46 to 48
Aug 9, 2024 to Mar 20, 2025
Individual clients · 55 to 41
Aug 9, 2024 to Mar 20, 2025
Financial planning clients · 101-250 to 101-250
Aug 9, 2024 to Mar 20, 2025
HQ city · unset to
Aug 9, 2024 to Mar 20, 2025
HQ state · unset to
Aug 9, 2024 to Mar 20, 2025
Discretionary RAUM · $248M to $241M
Aug 9, 2024 to Mar 20, 2025
HNW RAUM · $211M to $212M
Aug 9, 2024 to Mar 20, 2025
Individual RAUM · $34.8M to $26.9M
Aug 9, 2024 to Mar 20, 2025
RAUM · $248M to $241M
Aug 9, 2024 to Mar 20, 2025
Accounts · 310 to 342
Feb 25, 2023 to Apr 18, 2024
HNW clients · 47 to 46
Feb 25, 2023 to Apr 18, 2024
Individual clients · 52 to 55
Feb 25, 2023 to Apr 18, 2024
Discretionary RAUM · $277M to $248M
Feb 25, 2023 to Apr 18, 2024
HNW RAUM · $240M to $211M
Feb 25, 2023 to Apr 18, 2024
Individual RAUM · $34.5M to $34.8M
Feb 25, 2023 to Apr 18, 2024
RAUM · $277M to $248M
Feb 25, 2023 to Apr 18, 2024
BD registered reps · 1 to 0
Nov 1, 2022 to Feb 25, 2023
HNW clients · 31 to 47
Nov 1, 2022 to Feb 25, 2023
Individual clients · 66 to 52
Nov 1, 2022 to Feb 25, 2023
Discretionary RAUM · $114M to $277M
Nov 1, 2022 to Feb 25, 2023
HNW RAUM · $84.2M to $240M
Nov 1, 2022 to Feb 25, 2023
Individual RAUM · $29.8M to $34.5M
Nov 1, 2022 to Feb 25, 2023
RAUM · $114M to $277M
Nov 1, 2022 to Feb 25, 2023
Succession · true to false
Nov 1, 2022 to Feb 25, 2023
HQ city · PETALUMA to unset
Jan 20, 2022 to Nov 1, 2022
HQ state · CA to unset
Jan 20, 2022 to Nov 1, 2022
Succession · false to true
Jan 20, 2022 to Nov 1, 2022
Accounts · 314 to 310
Mar 7, 2021 to Jan 20, 2022
HNW clients · 28 to 31
Mar 7, 2021 to Jan 20, 2022
Individual clients · 73 to 66
Mar 7, 2021 to Jan 20, 2022
Discretionary RAUM · $105M to $114M
Mar 7, 2021 to Jan 20, 2022

Signals

3 dated events

S•••••• W••••• M••••••••• G•••• reported RAUM $276.7M, up 143% from $114.0M (2022-11-01 to 2023-02-25)
Feb 25, 2023 · RAUM change · derived
S•••••• W••••• M••••••••• G•••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Nov 1, 2022 · Succession (Item 4) · fact
S•••••• W••••• M••••••••• G•••• filed its initial SEC registration (Form ADV)
Nov 6, 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: 707-763-8600reportedpublished by the firm, firm site, Sep 16, 2026
Website: sequoiawmg.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 707-763-8600reportedpublic 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: $119Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026