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••••• M••••••••• L••
Latest filing Aug 17, 2026
First filing on the tape Oct 4, 2024 · 12 filings
SEC status approved since Nov 14, 2024
RAUM
$228M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$226M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$20.7M
derived; firm RAUM over IAPD count
Employees
21
11 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$228M as of Aug 17, 2026
Jan 31, 2025$0 then
HNW client RAUM$211M as of Aug 17, 2026
May 14, 2025$102M then
State-registered IARs (5.B.3)11 as of Aug 17, 2026
Jan 31, 20252 then
Employees (5.A)21 as of Aug 17, 2026
Jan 31, 20256 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 5 to 11offices 3 to 5
Practice profile
derived from the filing of Aug 17, 2026; every figure names its basis
- RAUM per advisor
- $20.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 5derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.4MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 1.8derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +120%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$211M93%
- Individuals$15.2M6.7%
- Corporations and businesses$1.7M0.8%
- Individual clients
- 30reported
- HNW clients
- 25reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 168reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• A• G••••• | Fairfield, Nj | Dec 16, 2024 | 16 y | 1 |
| G•••••• R•••••• D•••••••••Chartered Financial Analyst | Rancho Santa Fe, Ca | Jan 10, 2025 | 32 y | 2 |
| S••••• A•••••• D••••• | Fairfield, Nj | Jan 30, 2025 | 30 y | 1 |
| D••• T••••• R••••••Certified Financial Planner | Parkville, Mo | Mar 12, 2025 | 41 y | 3 |
| F••• Q•••• Z•••Chartered Financial Analyst | New York, Ny | Mar 18, 2025 | 21 y | 0 |
| D•••• M•••••• C•••• | Los Angeles, Ca | May 27, 2025 | 44 y | 3 |
| W•••••• R• C•••••••Chartered Financial Analyst | Fairfield, Nj | Jul 15, 2025 | 15 y | 1 |
| P••• N••••• H•• D• | New York, Ny | Jul 19, 2025 | 11 y | 0 |
| C•••••• P••• A•••••••Chartered Financial Analyst | Hayden, Id | Oct 1, 2025 | 30 y | 2 |
| D•••• C• T•••••••• | San Mateo, Ca | Jan 7, 2026 | 39 y | 5 |
Advisor movement
0 left, 3 joined in 12 months
net +3 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
Joined, latest
- A•••• M•••••• M•••••• from O•••• W•••••• I•••Sep 2, 2026 · Affiliated broker-dealer or bank to independent RIA
- D•••• C• T•••••••• from J••• M••••• S••••••••• L••Oct 14, 2025 · Wirehouse to independent RIA
- C•••••• P••• A••••••• from R•• R•••••••• L••Oct 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- W•••••• R• C••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 15, 2025 · Wirehouse to independent RIA
- D•••• M•••••• C•••• from C•••••••• I••••••••• R••••••• A•••••••• I•••May 27, 2025 · Affiliated broker-dealer or bank to independent RIA
- D••• T••••• R•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Mar 12, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- S••••• A•••••• D••••• from R•• R•••••••• L••Jan 30, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- G•••••• R•••••• D••••••••• from S•••••••• F•••••••• A••••••• L••Jan 10, 2025 · Other
- T••••• A• G••••• from R•• R•••••••• L••Dec 16, 2024 · 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
- D••••••••• G••••••• R•••••• · Chief Executive Officer, Chief Investment Officer & Chief Financial Officercontrolsince 06/2024 · owns less than 5%
- H••••••••• K•••• A•••••••• · President, General Counsel & Chief Compliance Officercontrolsince 06/2024 · owns less than 5%
- D••••••••• G••••••• R•••••• · Managing Membercontrolsince 06/2024 · owns 50% to 75% of A•••••••• W••••• H••••••• L••
- H••••••••• K•••• A•••••••• · Managing Membercontrolsince 06/2024 · owns 25% to 50% of A•••••••• W••••• H••••••• L••
Entity owners
- A•••••••• W••••• H••••••• L•• · Managing Memberdirect · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fairfield, Nj · principal | 11 | 3 | 0 | ||
| New York, Ny | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Aug 17, 2026HNW RAUM per HNW client of $8,426,361 against a peer median of $2,404,040 (4940 comparable advisers, 99.0th percentile, 4.1 robust deviations)peers: independent wealth managers, $100M to $500M (4,940) · 99% percentile
- advisor count surgeChange between filings · filing Apr 27, 2026advisory representatives (Item 5.B.3) moved from 5.0 to 11.0 (+120.0%) between the annual amendments of 2025-03-28 and 2026-04-27; the peer median change was 0.0% (965 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 100% percentile
- employee count surgeChange between filings · filing Apr 27, 2026employees (Item 5.A) moved from 10.0 to 21.0 (+110.0%) between the annual amendments of 2025-03-28 and 2026-04-27; the peer median change was 0.0% (507 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $100M to $500M (507) · 100% percentile
- office count surgeChange between filings · filing Apr 27, 2026offices other than the principal office (Item 1.F.5) moved from 3.0 to 5.0 (+67.0%) between the annual amendments of 2025-03-28 and 2026-04-27; the peer median change was 0.0% (450 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (450) · 97% percentile
What changed
consecutive filings, newest first
- HNW clients · 24 to 25Apr 27, 2026 to May 15, 2026
- Pooled vehicle clients · 1.0 to unsetApr 27, 2026 to May 15, 2026
- HNW RAUM · $142M to $211MApr 27, 2026 to May 15, 2026
- Pooled vehicle RAUM · 68259109.0 to unsetApr 27, 2026 to May 15, 2026
- Accounts · 70 to 168Nov 4, 2025 to Mar 30, 2026
- Advisory employees · 5 to 11Nov 4, 2025 to Mar 30, 2026
- HNW clients · 49 to 24Nov 4, 2025 to Mar 30, 2026
- Individual clients · unset to 30.0Nov 4, 2025 to Mar 30, 2026
- Pooled vehicle clients · unset to 1.0Nov 4, 2025 to Mar 30, 2026
- Employees · 12 to 21Nov 4, 2025 to Mar 30, 2026
- State-registered IARs · 5 to 11Nov 4, 2025 to Mar 30, 2026
- Other offices · 4 to 5Nov 4, 2025 to Mar 30, 2026
- Discretionary RAUM · $102M to $228MNov 4, 2025 to Mar 30, 2026
- HNW RAUM · $102M to $142MNov 4, 2025 to Mar 30, 2026
- Individual RAUM · unset to 15192581.0Nov 4, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · unset to 68259109.0Nov 4, 2025 to Mar 30, 2026
- RAUM · $102M to $228MNov 4, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 0May 14, 2025 to Nov 4, 2025
- Other offices · 3 to 4May 14, 2025 to Nov 4, 2025
- Accounts · 0 to 70Mar 28, 2025 to May 14, 2025
- HNW clients · unset to 49.0Mar 28, 2025 to May 14, 2025
- Employees · 10 to 12Mar 28, 2025 to May 14, 2025
- Discretionary RAUM · $0 to $102MMar 28, 2025 to May 14, 2025
- HNW RAUM · unset to 101714133.0Mar 28, 2025 to May 14, 2025
- RAUM · $0 to $102MMar 28, 2025 to May 14, 2025
- Advisory employees · 2 to 5Jan 31, 2025 to Mar 28, 2025
- Business name · A•••••••• W••••• M••••••••• L•• to S••••• W••••• M••••••••• L••Jan 31, 2025 to Mar 28, 2025
- Employees · 6 to 10Jan 31, 2025 to Mar 28, 2025
- State-registered IARs · 2 to 5Jan 31, 2025 to Mar 28, 2025
- Legal name · A•••••••• W••••• M••••••••• L•• to S••••• W••••• M••••••••• L••Jan 31, 2025 to Mar 28, 2025
- Other offices · 2 to 3Jan 31, 2025 to Mar 28, 2025
- Accounts · unset to 0.0Dec 13, 2024 to Jan 31, 2025
- Advisory employees · 0 to 2Dec 13, 2024 to Jan 31, 2025
- Employees · 0 to 6Dec 13, 2024 to Jan 31, 2025
- HQ city · unset to FAIRFIELDDec 13, 2024 to Jan 31, 2025
- HQ state · unset to NJDec 13, 2024 to Jan 31, 2025
- State-registered IARs · 0 to 2Dec 13, 2024 to Jan 31, 2025
- Other offices · 0 to 2Dec 13, 2024 to Jan 31, 2025
- Discretionary RAUM · unset to 0.0Dec 13, 2024 to Jan 31, 2025
- Non-discretionary RAUM · unset to 0.0Dec 13, 2024 to Jan 31, 2025
Signals
2 dated events
- S••••• W••••• M••••••••• L•• reported RAUM $227.6M, up 124% from $101.7M (2025-11-04 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- A•••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Oct 4, 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/sandrowealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- sandrowealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 2016613416reportedpublic record, Form ADV, Aug 17, 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
- $20.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026