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.
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SEC-registered adviser
S••••••••• W••••• A••••••• L••
Latest filing May 4, 2026
First filing on the tape Oct 27, 2025 · 4 filings
SEC status approved since Nov 25, 2025
RAUM
$286M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$286M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$95.4M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$286M as of May 4, 2026
Oct 27, 2025$164M then
HNW client RAUM$286M as of May 4, 2026
Oct 27, 2025$161M then
State-registered IARs (5.B.3)3 as of May 4, 2026
Oct 27, 20253 then
Employees (5.A)3 as of May 4, 2026
Oct 27, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 4, 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
- $95.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $2.2MderivedRAUM 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
- 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
- hourly, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$286M100%
- Individual clients
- 0reported
- HNW clients
- 61reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 132reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• M•••••• S••••••Chartered Financial Analyst | San Diego, Ca | Jan 7, 2022 | 13 y | 0 |
| W••••• R•• C••• | Los Angeles, Ca | Mar 31, 2025 | 11 y | 0 |
| J••• H••••• A••••••••Certified Financial Planner | Solvang, Ca | Dec 16, 2025 | 10 y | 4 |
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
- J••• H••••• A•••••••• from T••••••• P•••••••Dec 16, 2025 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• S••••• M•••••• · Principal, Chief Compliance Officer, Membercontrolsince 10/2021 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Advisers that list S••••••••• W••••• A••••••• L•• as a related person
- 327155 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Solvang, Ca | 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
- affiliate changedChange between filings · filing May 4, 2026insurance affiliate (Item 7.A.10): yes on the filing of 2026-02-23, no on the filing of 2026-05-04peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Advisory employees · 4 to 3Feb 23, 2026 to May 4, 2026
- Employees · 4 to 3Feb 23, 2026 to May 4, 2026
- State-registered IARs · 4 to 3Feb 23, 2026 to May 4, 2026
- Related insurance company · true to falseFeb 23, 2026 to May 4, 2026
- Accounts · 85 to 132Dec 10, 2025 to Feb 23, 2026
- HNW clients · 39 to 61Dec 10, 2025 to Feb 23, 2026
- Individual clients · 2 to 0Dec 10, 2025 to Feb 23, 2026
- Discretionary RAUM · $164M to $286MDec 10, 2025 to Feb 23, 2026
- HNW RAUM · $161M to $286MDec 10, 2025 to Feb 23, 2026
- Individual RAUM · $3.1M to $0Dec 10, 2025 to Feb 23, 2026
- RAUM · $164M to $286MDec 10, 2025 to Feb 23, 2026
- Advisory employees · 3 to 4Oct 27, 2025 to Dec 10, 2025
- Employees · 3 to 4Oct 27, 2025 to Dec 10, 2025
- State-registered IARs · 3 to 4Oct 27, 2025 to Dec 10, 2025
- Other offices · 0 to 1Oct 27, 2025 to Dec 10, 2025
Signals
1 dated events
- S••••••••• W••••• A••••••• L•• reported RAUM $286.1M, up 75% from $163.6M (2025-12-10 to 2026-02-23)Feb 23, 2026 · RAUM change · derived
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
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (805) 697-5430reportedpublic record, Form ADV, May 4, 2026
- Contact form
- 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
- $95.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026