DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S••••••••• C•••••• M•••••••••
Legal name S••••••••• C•••••• M••••••••• C•••
Latest filing Jul 21, 2026
First filing on the tape Mar 3, 2021 · 9 filings
SEC status approved since Jul 17, 2026
RAUM
$102M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$96.0M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$34.2M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$102M as of Jul 21, 2026
Mar 16, 2022$2.2M then
HNW client RAUM$45.0M as of Jul 21, 2026
Mar 16, 2022$315,000 then
State-registered IARs (5.B.3)3 as of Jul 21, 2026
Mar 16, 20221 then
Employees (5.A)3 as of Jul 21, 2026
Mar 16, 20221 then
Private funds: no history
RAUM +4557% over the last fiscal yearIARs 1 to 3offices 0 to 1
Practice profile
derived from the filing of Jul 21, 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
- RAUM per advisor
- $34.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $813,201derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.3%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
- +180%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +45%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$51.0M50%
- High-net-worth individuals$45.0M44%
- Charitable organizations$3.8M3.7%
- Pension and profit-sharing plans$2.6M2.6%
- Individual clients
- 77reported
- HNW clients
- 39reported
- Pension plan clients
- 8reported
- Charitable clients
- 2reported
- Accounts
- 126reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 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 |
|---|---|---|---|---|
| D•••• M•••• R•••• | Carmel-By-The-Sea, Ca | Apr 5, 2021 | 11 y | 1 |
| K••• R••• S••••Certified Financial Planner | Carmel-By-The-Sea, Ca | Aug 29, 2023 | 12 y | 1 |
| D••• J•••••• C•••••• | Carmel-By-The-Sea, Ca | Jul 24, 2024 | 11 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
- K••• R••• S•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 29, 2023 · Wirehouse to independent RIA
- D•••• M•••• R•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 5, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••• D••••• M•••• · Managing Member & Chief Compliance Officercontrolsince 04/2021 · 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 |
|---|---|---|---|---|---|
| Carmelbythesea, Ca | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Carmel-By-The-Sea, CA1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Jul 21, 2026financial planning (Item 5.G.1): no on the filing of 2023-03-27, yes on the filing of 2026-07-21peers: independent wealth managers, $100M to $500M (5,678)
- custody status changedChange between filings · filing Jul 21, 2026custody of client assets (Item 9.A): yes on the filing of 2023-03-27, no on the filing of 2026-07-21peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 33 to 126Mar 27, 2023 to Jul 21, 2026
- Advisory employees · 1 to 2Mar 27, 2023 to Jul 21, 2026
- Advisory activities · 3 to 4Mar 27, 2023 to Jul 21, 2026
- Charity clients · 0 to 2Mar 27, 2023 to Jul 21, 2026
- HNW clients · 9 to 39Mar 27, 2023 to Jul 21, 2026
- Individual clients · 20 to 77Mar 27, 2023 to Jul 21, 2026
- Pension plan clients · 4 to 8Mar 27, 2023 to Jul 21, 2026
- Assets in custody · 6000000.0 to unsetMar 27, 2023 to Jul 21, 2026
- Custody of client assets · true to falseMar 27, 2023 to Jul 21, 2026
- Employees · 1 to 3Mar 27, 2023 to Jul 21, 2026
- Financial planning clients · 0 to 0Mar 27, 2023 to Jul 21, 2026
- State-registered IARs · 1 to 3Mar 27, 2023 to Jul 21, 2026
- Legal name · S••••••••• C•••••• M•••••••••, LLC to S••••••••• C•••••• M••••••••• C•••Mar 27, 2023 to Jul 21, 2026
- Organization form · Limited Liability Company to CorporationMar 27, 2023 to Jul 21, 2026
- Discretionary RAUM · $6.0M to $102MMar 27, 2023 to Jul 21, 2026
- HNW RAUM · $3.9M to $45.0MMar 27, 2023 to Jul 21, 2026
- Individual RAUM · $1.9M to $51.0MMar 27, 2023 to Jul 21, 2026
- Non-discretionary RAUM · $150,000 to $0Mar 27, 2023 to Jul 21, 2026
- Pension RAUM · $350,000 to $2.6MMar 27, 2023 to Jul 21, 2026
- RAUM · $6.2M to $102MMar 27, 2023 to Jul 21, 2026
- HQ city · CARMEL to CARMEL-BY-THE-SEAMar 1, 2023 to Mar 27, 2023
- Other offices · 0 to 1Mar 1, 2023 to Mar 27, 2023
- Accounts · 34 to 33Mar 16, 2022 to Mar 1, 2023
- HNW clients · 3 to 9Mar 16, 2022 to Mar 1, 2023
- Individual clients · 17 to 20Mar 16, 2022 to Mar 1, 2023
- Assets in custody · $2.2M to $6.0MMar 16, 2022 to Mar 1, 2023
- Discretionary RAUM · $2.2M to $6.0MMar 16, 2022 to Mar 1, 2023
- HNW RAUM · $315,000 to $3.9MMar 16, 2022 to Mar 1, 2023
- Individual RAUM · $1.6M to $1.9MMar 16, 2022 to Mar 1, 2023
- Non-discretionary RAUM · $0 to $150,000Mar 16, 2022 to Mar 1, 2023
- Pension RAUM · $238,000 to $350,000Mar 16, 2022 to Mar 1, 2023
- RAUM · $2.2M to $6.2MMar 16, 2022 to Mar 1, 2023
- Accounts · 5 to 34Sep 10, 2021 to Mar 16, 2022
- Charity clients · unset to 0.0Sep 10, 2021 to Mar 16, 2022
- Corporate clients · unset to 0.0Sep 10, 2021 to Mar 16, 2022
- HNW clients · unset to 3.0Sep 10, 2021 to Mar 16, 2022
- Individual clients · 5 to 17Sep 10, 2021 to Mar 16, 2022
- Pension plan clients · unset to 4.0Sep 10, 2021 to Mar 16, 2022
- Pooled vehicle clients · unset to 0.0Sep 10, 2021 to Mar 16, 2022
- Assets in custody · $1.6M to $2.2MSep 10, 2021 to Mar 16, 2022
Signals
1 dated events
- S••••••••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)Mar 3, 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
- 831-877-1095reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/stillwater-capital-managementreportedpublic record, Form ADV, Sep 21, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 831-877-1095reportedpublic record, Form ADV, Jul 21, 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
- $34.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026