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••••• S••••• W••••• M••••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Apr 17, 2024 · 3 filings
SEC status approved since May 16, 2024
RAUM
$150M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$150M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$150M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$150M as of Mar 25, 2026
Mar 24, 2025$122M then
HNW client RAUM$148M as of Mar 25, 2026
Mar 24, 2025$120M then
State-registered IARs (5.B.3)1 as of Mar 25, 2026
Mar 24, 20251 then
Employees (5.A)1 as of Mar 25, 2026
Mar 24, 20251 then
Private funds: no history
RAUM +22% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $150MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $907,037derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%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
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%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 assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $44.7M, 26 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$148M99%
- Individuals$1.3M0.9%
- Individual clients
- 6reported
- HNW clients
- 32reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 165reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $44.7M for 26 clientsreported
- Compensation
- % of AUMreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• F•••••• L•••••Certified Financial Planner | San Francisco, Ca | Nov 29, 2022 | 24 y | 3 |
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
- S•••••• F•••••• L••••• from F••• P•••• C•••••• P••••••• L••Nov 29, 2022 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••• S••••••• F•••••• · Managing Member & Chief Compliance Officercontrolsince 09/2022 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- San F••••••Co, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 151 to 165Mar 24, 2025 to Mar 25, 2026
- HNW clients · 30 to 32Mar 24, 2025 to Mar 25, 2026
- Individual clients · 8 to 6Mar 24, 2025 to Mar 25, 2026
- Assets in custody · $50.6M to $44.7MMar 24, 2025 to Mar 25, 2026
- Discretionary RAUM · $122M to $148MMar 24, 2025 to Mar 25, 2026
- HNW RAUM · $120M to $148MMar 24, 2025 to Mar 25, 2026
- Individual RAUM · $2.0M to $1.3MMar 24, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $0 to $2.1MMar 24, 2025 to Mar 25, 2026
- RAUM · $122M to $150MMar 24, 2025 to Mar 25, 2026
- Accounts · 135 to 151Apr 17, 2024 to Mar 24, 2025
- HNW clients · 28 to 30Apr 17, 2024 to Mar 24, 2025
- Assets in custody · unset to 50580121.0Apr 17, 2024 to Mar 24, 2025
- Custody of client assets · false to trueApr 17, 2024 to Mar 24, 2025
- Financial planning clients · 26-50 to 26-50Apr 17, 2024 to Mar 24, 2025
- HQ city · unset to Apr 17, 2024 to Mar 24, 2025
- HQ state · unset to Apr 17, 2024 to Mar 24, 2025
- Discretionary RAUM · $105M to $122MApr 17, 2024 to Mar 24, 2025
- HNW RAUM · $103M to $120MApr 17, 2024 to Mar 24, 2025
- Individual RAUM · $1.9M to $2.0MApr 17, 2024 to Mar 24, 2025
- RAUM · $105M to $122MApr 17, 2024 to Mar 24, 2025
Signals
1 dated events
- S••••• S••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 17, 2024 · 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
- 415-275-2442reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- secondsummit.usreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (415)-275-2442reportedpublic record, Form ADV, Mar 25, 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
- $150Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026