DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

SEC-registered adviser

S••••••• W••••• M••••••••• L••

Independent wealth managerSan Diego, CaliforniaCRD 312805SEC 801-134640website IAPD

Latest filing Mar 27, 2026

First filing on the tape May 18, 2021 · 7 filings

SEC status approved since Nov 13, 2025

RAUM

$140M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

99%

$138M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$46.5M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

7 filings and snapshots on the tape

RAUM$140M as of Mar 27, 2026

Nov 18, 2025$103M then

HNW client RAUM$79.6M as of Mar 27, 2026

Nov 18, 2025$50.2M then

State-registered IARs (5.B.3)3 as of Mar 27, 2026

Nov 18, 20252 then

Employees (5.A)3 as of Mar 27, 2026

Nov 18, 20252 then

Private funds: no history

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Mar 27, 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: $46.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 76derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.2MderivedHNW RAUM over HNW clients
Average account: $216,746derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Custody: $14.5M, 32 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

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)
has custody of client cash or bank accounts (9.A.1.a)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$79.6M57%
Individuals$58.7M42%
Charitable organizations$1.4M1.0%

Individual clients: 190reported
HNW clients: 37reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 644reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $14.5M for 32 clientsreported
Compensation: % of AUMreported
Class basis: private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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•••• D••• S•••••••	San Diego, Ca	Jun 18, 2021	11 y	1
A••• M•••••• Z••••	San Diego, Ca	Apr 15, 2025	14 y	1
K••• M•••••• K••••	San Diego, Ca	Jan 13, 2026	11 y	2

Advisor movement

0 left, 1 joined in 12 months

net +1 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

K••• M•••••• K•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Jan 13, 2026 · Wirehouse to independent RIA
A••• M•••••• Z•••• from E••••• J••••
Apr 15, 2025 · Affiliated broker-dealer or bank to independent RIA
J•••• D••• S••••••• from E••••• J••••
Jun 18, 2021 · Affiliated broker-dealer or bank to a newly registered adviser

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

S•••••••• J••••• D••• · Managing Member & Chief Compliance Officercontrol
since 06/2021 · 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 Diego, Ca · principal	3	1	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

business activity changedChange between filings · filing Mar 27, 2026
selection of other advisers (Item 5.G.7): yes on the filing of 2025-11-18, no on the filing of 2026-03-27
peers: independent wealth managers, $100M to $500M (5,679)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 544 to 644
Nov 18, 2025 to Mar 27, 2026
Advisory employees · 2 to 3
Nov 18, 2025 to Mar 27, 2026
Advisory activities · 5 to 4
Nov 18, 2025 to Mar 27, 2026
HNW clients · 19 to 37
Nov 18, 2025 to Mar 27, 2026
Individual clients · 148 to 190
Nov 18, 2025 to Mar 27, 2026
Assets in custody · $10.6M to $14.5M
Nov 18, 2025 to Mar 27, 2026
Employees · 2 to 3
Nov 18, 2025 to Mar 27, 2026
State-registered IARs · 2 to 3
Nov 18, 2025 to Mar 27, 2026
Other offices · 0 to 1
Nov 18, 2025 to Mar 27, 2026
Discretionary RAUM · $103M to $140M
Nov 18, 2025 to Mar 27, 2026
HNW RAUM · $50.2M to $79.6M
Nov 18, 2025 to Mar 27, 2026
Individual RAUM · $51.6M to $58.7M
Nov 18, 2025 to Mar 27, 2026
RAUM · $103M to $140M
Nov 18, 2025 to Mar 27, 2026
Accounts · 210 to 544
Nov 16, 2021 to Nov 18, 2025
Advisory employees · 1 to 2
Nov 16, 2021 to Nov 18, 2025
Advisory activities · 3 to 5
Nov 16, 2021 to Nov 18, 2025
Charity clients · 1.0 to unset
Nov 16, 2021 to Nov 18, 2025
HNW clients · 12 to 19
Nov 16, 2021 to Nov 18, 2025
Individual clients · 77 to 148
Nov 16, 2021 to Nov 18, 2025
Assets in custody · unset to 10560468.0
Nov 16, 2021 to Nov 18, 2025
Custody of client assets · false to true
Nov 16, 2021 to Nov 18, 2025
Employees · 1 to 2
Nov 16, 2021 to Nov 18, 2025
Financial planning clients · 0 to 0
Nov 16, 2021 to Nov 18, 2025
State-registered IARs · 1 to 2
Nov 16, 2021 to Nov 18, 2025
Discretionary RAUM · $40.8M to $103M
Nov 16, 2021 to Nov 18, 2025
HNW RAUM · $17.5M to $50.2M
Nov 16, 2021 to Nov 18, 2025
Individual RAUM · $23.6M to $51.6M
Nov 16, 2021 to Nov 18, 2025
Non-discretionary RAUM · $1.3M to $0
Nov 16, 2021 to Nov 18, 2025
RAUM · $42.1M to $103M
Nov 16, 2021 to Nov 18, 2025
Accounts · 0 to 210
Jun 28, 2021 to Sep 30, 2021
Charity clients · unset to 1.0
Jun 28, 2021 to Sep 30, 2021
HNW clients · unset to 12.0
Jun 28, 2021 to Sep 30, 2021
Individual clients · unset to 77.0
Jun 28, 2021 to Sep 30, 2021
Discretionary RAUM · $0 to $40.8M
Jun 28, 2021 to Sep 30, 2021
HNW RAUM · unset to 17500000.0
Jun 28, 2021 to Sep 30, 2021
Individual RAUM · unset to 23600000.0
Jun 28, 2021 to Sep 30, 2021
Non-discretionary RAUM · $0 to $1.3M
Jun 28, 2021 to Sep 30, 2021
RAUM · $0 to $42.1M
Jun 28, 2021 to Sep 30, 2021

Signals

1 dated events

S••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
May 18, 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: 609-254-0405reportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 619-363-6007reportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 858-226-3335reportedpublished by the firm, firm site, Sep 16, 2026
Website: s•••••••••.comreportedpublic record, Form ADV, Mar 27, 2026
Principal office phone: 619-363-6007reportedpublic record, Form ADV, Mar 27, 2026
Contact form: s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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: $46.5Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026