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•••••••• I••••••••• P•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Nov 26, 2020 · 15 filings
SEC status approved since Jan 4, 2021
RAUM
$1.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
65%
$850M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$650M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$1.3B as of Mar 27, 2026
Mar 9, 2022$425M then
HNW client RAUM$850M as of Mar 27, 2026
Mar 9, 2022$425M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Mar 9, 20222 then
Employees (5.A)3 as of Mar 27, 2026
Mar 9, 20222 then
Private funds: no history
RAUM +64% over the last fiscal year+21% a year over threeIARs 2 to 2offices 0 to 2
Practice profile
derived from the filing of Mar 27, 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $650MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $15.5MderivedHNW RAUM over HNW clients
- Average account
- $7.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +64%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
- compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$850M65%
- Corporations and businesses$450M35%
- Individual clients
- n/areported
- HNW clients
- 55reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 185reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.65 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B••••••• R•••••• O•••• | Fairfield, Ct | Jan 19, 2021 | 33 y | 2 |
| V••••• M•••••• F••••• | Chappaqua, Ny | Jun 11, 2021 | 19 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
- B••••••• R•••••• O•••• from B•• I••••••••• C••••• I•••Jan 19, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• V•••••• M•••••• · Managing Membercontrolsince 04/2021 · owns 10% to 25%
- O••••• B•••••••• R•••••• · Managing Member, Principal, And Chief Compliance Officercontrolsince 11/2020 · owns 75% or more
Entity owners
- S•••••••• H•••••••• L•• · Memberdirect · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Fairfield, Ct | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- wealth to institutional shiftCombination · filing Mar 27, 2026peers: independent wealth managers, $1B to $5B (1,362)
- client mix shiftChange between filings · filing Mar 27, 2026private-client share of RAUM moved from 100.0% to 65.0% between the annual amendments of 2025-03-21 and 2026-03-27peers: independent wealth managers, $1B to $5B (1,362)
- HNW share shiftChange between filings · filing Mar 27, 2026HNW share of RAUM moved from 100.0% to 65.0% between the annual amendments of 2025-03-21 and 2026-03-27peers: independent wealth managers, $1B to $5B (1,362)
- institutional asset share shiftChange between filings · filing Mar 27, 2026institutional share of RAUM moved from 0.0% to 35.0% between the annual amendments of 2025-03-21 and 2026-03-27peers: independent wealth managers, $1B to $5B (1,362)
- RAUM up 50 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $795,000,000 to $1,300,000,000 (+64.0%) between the annual amendments of 2025-03-21 and 2026-03-27; the peer median change was +17.0% (1298 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,298) · 95% percentile
What changed
consecutive filings, newest first
- Accounts · 129 to 185Nov 18, 2025 to Mar 27, 2026
- HNW clients · 44 to 55Nov 18, 2025 to Mar 27, 2026
- Financial planning clients · 1-10 to 11-25Nov 18, 2025 to Mar 27, 2026
- Discretionary RAUM · $795M to $1.3BNov 18, 2025 to Mar 27, 2026
- HNW RAUM · $795M to $850MNov 18, 2025 to Mar 27, 2026
- RAUM · $795M to $1.3BNov 18, 2025 to Mar 27, 2026
- Advisory activities · 2 to 3Mar 21, 2025 to Nov 18, 2025
- Other offices · 0 to 2Mar 21, 2025 to Nov 18, 2025
- Accounts · 35 to 129Mar 1, 2024 to Mar 21, 2025
- Corporate clients · 5.0 to unsetMar 1, 2024 to Mar 21, 2025
- HNW clients · 5 to 44Mar 1, 2024 to Mar 21, 2025
- Individual clients · 5.0 to unsetMar 1, 2024 to Mar 21, 2025
- Employees · 2 to 3Mar 1, 2024 to Mar 21, 2025
- Financial planning clients · 0 to 1-10Mar 1, 2024 to Mar 21, 2025
- HQ city · unset to Mar 1, 2024 to Mar 21, 2025
- HQ state · unset to Mar 1, 2024 to Mar 21, 2025
- Discretionary RAUM · $750M to $795MMar 1, 2024 to Mar 21, 2025
- HNW RAUM · $515M to $795MMar 1, 2024 to Mar 21, 2025
- Individual RAUM · 35029000.0 to unsetMar 1, 2024 to Mar 21, 2025
- RAUM · $750M to $795MMar 1, 2024 to Mar 21, 2025
- Accounts · 21 to 35Jan 24, 2023 to Mar 1, 2024
- Corporate clients · unset to 5.0Jan 24, 2023 to Mar 1, 2024
- HNW clients · 12 to 5Jan 24, 2023 to Mar 1, 2024
- Individual clients · unset to 5.0Jan 24, 2023 to Mar 1, 2024
- Discretionary RAUM · $735M to $750MJan 24, 2023 to Mar 1, 2024
- HNW RAUM · $735M to $515MJan 24, 2023 to Mar 1, 2024
- Individual RAUM · unset to 35029000.0Jan 24, 2023 to Mar 1, 2024
- RAUM · $735M to $750MJan 24, 2023 to Mar 1, 2024
- Accounts · 30 to 21Mar 9, 2022 to Jan 18, 2023
- Advisory activities · 1 to 2Mar 9, 2022 to Jan 18, 2023
- HNW clients · 10 to 12Mar 9, 2022 to Jan 18, 2023
- Financial planning clients · unset to 0Mar 9, 2022 to Jan 18, 2023
- Discretionary RAUM · $425M to $735MMar 9, 2022 to Jan 18, 2023
- HNW RAUM · $425M to $735MMar 9, 2022 to Jan 18, 2023
- RAUM · $425M to $735MMar 9, 2022 to Jan 18, 2023
- Accounts · 9 to 30Jan 19, 2022 to Mar 9, 2022
- HNW clients · 3 to 10Jan 19, 2022 to Mar 9, 2022
- Discretionary RAUM · $333M to $425MJan 19, 2022 to Mar 9, 2022
- HNW RAUM · $333M to $425MJan 19, 2022 to Mar 9, 2022
- RAUM · $333M to $425MJan 19, 2022 to Mar 9, 2022
Signals
4 dated events
- S•••••••• I••••••••• P•••••••• L•• reported RAUM $1.3B, up 64% from $795.0M (2025-11-18 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- S•••••••• I••••••••• P•••••••• L•• reported RAUM $735.0M, up 73% from $425.0M (2022-03-09 to 2023-01-18)Jan 18, 2023 · RAUM change · derived
- Michael Victor Flores (Managing Member) appeared on Schedule A of S•••••••• I••••••••• P•••••••• L••Nov 1, 2021 · Control person joined · fact
- S•••••••• I••••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Nov 26, 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
- b•••@s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 203-997-6670reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/snowwaterinvestments/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (203) 997-6670reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $650Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026