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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

S•••• W••• F••••••••

Former SEC-registered adviserSan Antonio, TexasCRD 327726SEC 801-130703websiteIAPD
Legal name S•••• W••• F•••••••• G•••• L••
Latest filing Aug 22, 2025
First filing on the tape Jun 18, 2024 · 8 filings
SEC status approved since Jul 18, 2024
RAUM
$2.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$2.0M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$1.0M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$2.0M as of Aug 22, 2025
Jan 18, 2025$0 then
HNW client RAUM$2.0M as of Aug 22, 2025
Jan 18, 2025$0 then
State-registered IARs (5.B.3)1 as of Aug 22, 2025
Jan 18, 20251 then
Employees (5.A)1 as of Aug 22, 2025
Jan 18, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 22, 2025; every figure names its basis
RAUM per advisor
$1.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$500,000derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 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 assets, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, 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)
  • 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
  • High-net-worth individuals$2.0M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
4reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J••••• R• S••••••Certified Financial PlannerSan Antonio, TxOct 2, 202528 y6
R•••••• W••• H••••••Memphis, Tn Jul 31, 202631 y7
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • S••••••• J•••••• R••• · Ceo & Ccocontrol
      since 07/2023 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    San Antonio, Tx · principal220
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory activities · 1 to 3
      May 22, 2025 to Jul 27, 2025
    • Business name · S•••• W••• F•••••••• G•••• L•• to S•••• W••• F••••••••
      May 22, 2025 to Jul 27, 2025
    • Financial planning clients · unset to
      May 22, 2025 to Jul 27, 2025
    • Accounts · 0 to 4
      Jan 18, 2025 to May 22, 2025
    • Advisory activities · 2 to 1
      Jan 18, 2025 to May 22, 2025
    • Discretionary RAUM · $0 to $2.0M
      Jan 18, 2025 to May 22, 2025
    • HNW RAUM · $0 to $2.0M
      Jan 18, 2025 to May 22, 2025
    • RAUM · $0 to $2.0M
      Jan 18, 2025 to May 22, 2025
    • Accounts · 3 to 0
      Jun 18, 2024 to Aug 21, 2024
    • Individual clients · 1 to 0
      Jun 18, 2024 to Aug 21, 2024
    • Discretionary RAUM · $1.4M to $0
      Jun 18, 2024 to Aug 21, 2024
    • Individual RAUM · $1.4M to $0
      Jun 18, 2024 to Aug 21, 2024
    • RAUM · $1.4M to $0
      Jun 18, 2024 to Aug 21, 2024
    Signals
    2 dated events
    • S•••• W••• F•••••••• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $2.0M)
      Dec 20, 2025 · Left the SEC roster · derived
    • S•••• W••• F•••••••• G•••• L•• filed its initial SEC registration (Form ADV)
      Jun 18, 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
    Firm profile
    linkedin.com/company/stone-wall-financial-llcreportedpublic record, Form ADV, Sep 18, 2026
    Website
    s•••••••••.comreportedpublic record, Form ADV, Sep 18, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $1.0Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026