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••••• C••••••
Legal name S•••••••• W••••• C••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Apr 4, 2023 · 11 filings
SEC status approved since May 4, 2023
RAUM
$238M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$233M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$119M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$238M as of Mar 31, 2026
Mar 28, 2024$179M then
HNW client RAUM$154M as of Mar 31, 2026
Mar 28, 2024$158M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 28, 20240 then
Employees (5.A)5 as of Mar 31, 2026
Mar 28, 20245 then
Private funds: no history
RAUM +15% over the last fiscal yearIARs 0 to 2
Practice profile
derived from the filing of Mar 31, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $119MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $11.0MderivedHNW RAUM over HNW clients
- Average account
- $644,313derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Wrap fee program
- $238MreportedItem 5.I
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$154M65%
- Individuals$78.6M33%
- Corporations and businesses$5.9M2.5%
- Individual clients
- 51reported
- HNW clients
- 14reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 370reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $238M sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••••• S•••••• Y•••••Certified Financial Planner | San Francisco, Ca | May 25, 2023 | 27 y | 3 |
| A•••••••• L•••• M••••••• | San Francisco, Ca | Jun 5, 2023 | 13 y | 2 |
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 headcount1 left over 36 months
Left, latest
- M•••• A••• E•••••• to L•• F•••••••• L••Mar 18, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- M•••• A••• E•••••• from L•• F•••••••• L••Aug 15, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- A•••••••• L•••• M••••••• from S•••••••• A•••••••• L••Jun 5, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- A••••••• S•••••• Y••••• from S•••••••• A•••••••• L••May 25, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••• J••••••• M•••• · Ccocontrolsince 03/2023 · owns less than 5%
- Y•••••• A•••••••• S•••••• · Managing Directorcontrolsince 09/2019 · owns 75% or more
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Francisco, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 97.0% to 65.0% between the annual amendments of 2025-03-27 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 303 to 370Jan 26, 2026 to Mar 31, 2026
- Advisory employees · 1 to 2Jan 26, 2026 to Mar 31, 2026
- Advisory activities · 2 to 3Jan 26, 2026 to Mar 31, 2026
- Corporate clients · 2 to 1Jan 26, 2026 to Mar 31, 2026
- HNW clients · 36 to 14Jan 26, 2026 to Mar 31, 2026
- Individual clients · 24 to 51Jan 26, 2026 to Mar 31, 2026
- Employees · 4 to 5Jan 26, 2026 to Mar 31, 2026
- State-registered IARs · 0 to 2Jan 26, 2026 to Mar 31, 2026
- Discretionary RAUM · $206M to $238MJan 26, 2026 to Mar 31, 2026
- HNW RAUM · $200M to $154MJan 26, 2026 to Mar 31, 2026
- Individual RAUM · $5.0M to $78.6MJan 26, 2026 to Mar 31, 2026
- RAUM · $206M to $238MJan 26, 2026 to Mar 31, 2026
- Wrap assets (sponsor) · $206M to $238MJan 26, 2026 to Mar 31, 2026
- Accounts · 289 to 303Jan 22, 2025 to Mar 27, 2025
- Corporate clients · 1 to 2Jan 22, 2025 to Mar 27, 2025
- HNW clients · 27 to 36Jan 22, 2025 to Mar 27, 2025
- Individual clients · 25 to 24Jan 22, 2025 to Mar 27, 2025
- Employees · 5 to 4Jan 22, 2025 to Mar 27, 2025
- Financial planning clients · 26-50 to 51-100Jan 22, 2025 to Mar 27, 2025
- Discretionary RAUM · $179M to $206MJan 22, 2025 to Mar 27, 2025
- HNW RAUM · $158M to $200MJan 22, 2025 to Mar 27, 2025
- Individual RAUM · $20.0M to $5.0MJan 22, 2025 to Mar 27, 2025
- RAUM · $179M to $206MJan 22, 2025 to Mar 27, 2025
- Wrap assets (sponsor) · $179M to $206MJan 22, 2025 to Mar 27, 2025
- Accounts · 282 to 289Sep 29, 2023 to Mar 28, 2024
- Advisory employees · 2 to 1Sep 29, 2023 to Mar 28, 2024
- Corporate clients · 0 to 1Sep 29, 2023 to Mar 28, 2024
- Individual clients · 20 to 25Sep 29, 2023 to Mar 28, 2024
- Financial planning clients · 1-10 to 26-50Sep 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $172M to $179MSep 29, 2023 to Mar 28, 2024
- HNW RAUM · $155M to $158MSep 29, 2023 to Mar 28, 2024
- Individual RAUM · $16.6M to $20.0MSep 29, 2023 to Mar 28, 2024
- RAUM · $172M to $179MSep 29, 2023 to Mar 28, 2024
- Wrap assets (sponsor) · $172M to $179MSep 29, 2023 to Mar 28, 2024
- Accounts · 0 to 282Aug 15, 2023 to Sep 11, 2023
- Advisory employees · 1 to 2Aug 15, 2023 to Sep 11, 2023
- HNW clients · 0 to 27Aug 15, 2023 to Sep 11, 2023
- Individual clients · 0 to 20Aug 15, 2023 to Sep 11, 2023
- Employees · 2 to 5Aug 15, 2023 to Sep 11, 2023
- Financial planning clients · 0 to 1-10Aug 15, 2023 to Sep 11, 2023
Signals
2 dated events
- M•••• A••• E•••••• left S•••••••• W••••• C•••••• for L•• F•••••••• L•• (registered 2024-03-19)Mar 18, 2024 · Advisor changed firm · fact
- S•••••••• W••••• C•••••• filed its initial SEC registration (Form ADV)Apr 4, 2023 · 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
- Website
- strategicwealthcapital.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-780-7022reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- strategicwealthcapital.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- strategicwealthcapital.com/our-teamreportedpublished 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
- $119Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026