DFX Intelligence

RIA Intelligence

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SEC-registered adviser

S••••• F••••••••

Independent wealth managerTampa, FloridaCRD 329317SEC 801-136668website IAPD

Legal name S••••• W•••••• L••

Latest filing Aug 3, 2026

First filing on the tape Dec 15, 2023 · 9 filings

SEC status approved since Jul 6, 2026

RAUM

$130M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

89%

$116M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$65.1M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

9 filings and snapshots on the tape

RAUM$130M as of Aug 3, 2026

Mar 18, 2024$0 then

HNW client RAUM$103M as of Aug 3, 2026

Jun 15, 2026$103M then

State-registered IARs (5.B.3)1 as of Aug 3, 2026

Mar 18, 20242 then

Employees (5.A)1 as of Aug 3, 2026

Mar 18, 20242 then

Private funds: no history

RAUM n/a over the last fiscal yearIARs 2 to 1

Practice profile

derived from the filing of Aug 3, 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

RAUM per advisor: $65.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 42derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.5MderivedHNW RAUM over HNW clients
Average account: $602,460derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 4.3%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: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody: yesreportedItem 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

is an insurance broker or agent (6.A.6)
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)
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$103M79%
Individuals$13.0M10%
Corporations and businesses$8.9M6.9%
Pension and profit-sharing plans$5.6M4.3%

Individual clients: 43reported
HNW clients: 41reported
Pension plan clients: 1reported
Charitable clients: n/areported
Accounts: 216reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: $0 for 0 clientsreported
Compensation: % of AUMreported
Class basis: private_client_share=0.89 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=1.0derived

Advisors registered through the firm

2 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
M•••••• S•••• R••••••••	Tampa, Fl	May 19, 2025	11 y	3
V•••• N••••• P••••	Tampa, Fl	Apr 7, 2026	12 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

M•••••• S•••• R•••••••• from U•• F•••••••• S••••••• I•••
Mar 25, 2024 · Wirehouse to a newly registered adviser (no RAUM reported yet)

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B•••••••• J••••••• · Managing Partner And Chief Compliance Officercontrol
since 11/2023 · owns 50% to 75%
R••••••••• M••••••• S•••• · Managing Partnercontrol
since 11/2023 · owns 50% to 75%

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
Tampa, Fl · principal	2	1	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 0 to 216
Jan 21, 2025 to Jun 15, 2026
Advisory employees · 2 to 1
Jan 21, 2025 to Jun 15, 2026
Advisory activities · 3 to 5
Jan 21, 2025 to Jun 15, 2026
BD registered reps · 0 to 1
Jan 21, 2025 to Jun 15, 2026
Business name · S••••• W••••• M••••••••• to S••••• F••••••••
Jan 21, 2025 to Jun 15, 2026
Corporate clients · unset to 2.0
Jan 21, 2025 to Jun 15, 2026
HNW clients · unset to 41.0
Jan 21, 2025 to Jun 15, 2026
Individual clients · unset to 43.0
Jan 21, 2025 to Jun 15, 2026
Pension plan clients · unset to 1.0
Jan 21, 2025 to Jun 15, 2026
Employees · 2 to 1
Jan 21, 2025 to Jun 15, 2026
Financial planning clients · 0 to 1-10
Jan 21, 2025 to Jun 15, 2026
State-registered IARs · 2 to 1
Jan 21, 2025 to Jun 15, 2026
Legal name · S••••• W••••• M••••••••• LLC to S••••• W•••••• L••
Jan 21, 2025 to Jun 15, 2026
Discretionary RAUM · $0 to $130M
Jan 21, 2025 to Jun 15, 2026
HNW RAUM · unset to 102587019.0
Jan 21, 2025 to Jun 15, 2026
Individual RAUM · unset to 13026304.0
Jan 21, 2025 to Jun 15, 2026
Pension RAUM · unset to 5586064.0
Jan 21, 2025 to Jun 15, 2026
RAUM · $0 to $130M
Jan 21, 2025 to Jun 15, 2026
Related adviser · false to true
Jan 21, 2025 to Jun 15, 2026
Advisory activities · 2 to 3
May 15, 2024 to Sep 19, 2024
Assets in custody · unset to 0.0
May 15, 2024 to Sep 19, 2024
Custody of client assets · false to true
May 15, 2024 to Sep 19, 2024
Financial planning clients · unset to 0
May 15, 2024 to Sep 19, 2024
Assets in custody · 0.0 to unset
Jan 23, 2024 to Feb 28, 2024
Custody of client assets · true to false
Jan 23, 2024 to Feb 28, 2024
HQ city · unset to TAMPA
Dec 15, 2023 to Jan 23, 2024
HQ state · unset to FL
Dec 15, 2023 to Jan 23, 2024

Signals

2 dated events

S••••• W••••• M••••••••• no longer on the SEC adviser roster (last listed 2025-03-06)
May 2, 2025 · Left the SEC roster · derived
S••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)
Dec 15, 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: s•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 8132943737reportedpublic record, Form ADV, Aug 3, 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: $65.1Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026