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••••••••• G••••
Legal name S••••• W••••• M••••••••• G••••• I•••
Latest filing Sep 14, 2026
First filing on the tape Jul 1, 2024 · 6 filings
SEC status approved since Jul 31, 2024
RAUM
$425M
reported, Item 5.F
Discretionary
73%
of RAUM
Private clients
73%
$308M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$212M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$425M as of Mar 11, 2026
Mar 11, 2025$404M then
HNW client RAUM$274M as of Mar 11, 2026
Mar 11, 2025$244M then
State-registered IARs (5.B.3)2 as of Mar 11, 2026
Mar 11, 20252 then
Employees (5.A)3 as of Mar 11, 2026
Mar 11, 20253 then
Private funds: no history
RAUM +5.1% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Sep 14, 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
- $212MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 69derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $729,504derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 73%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -15%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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
- 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 testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$274M65%
- Corporations and businesses$108M25%
- Individuals$33.7M7.9%
- Pension and profit-sharing plans$8.6M2.0%
- Individual clients
- 79reported
- HNW clients
- 58reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 582reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.73 fund_share=0.0 institutional_share=0.02 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••••• J••• P••••• | La Jolla, Ca | Oct 21, 2024 | 19 y | 2 |
| G•••••• A••••• S•••••Certified Financial Planner | La Jolla, Ca | Oct 21, 2024 | 33 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- G•••••• A••••• S••••• from W•••• F•••• A•••••••Oct 21, 2024 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- B•••••• J••• P••••• from W•••• F•••• A•••••••Oct 21, 2024 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W•••• F•••• A•••••••Nov 13, 2024 · La Jolla, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• K•••••••• A•• · Chief Compliance Officercontrolsince 10/2024 · owns less than 5%
- S•••••• G••••••• A••••• · Managing Directorcontrolsince 06/2024 · 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 |
|---|---|---|---|---|---|
| La Jolla, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Mar 11, 2026 to Sep 14, 2026
- Related adviser · false to unsetMar 11, 2026 to Sep 14, 2026
- Related bank · false to unsetMar 11, 2026 to Sep 14, 2026
- Related broker-dealer · false to unsetMar 11, 2026 to Sep 14, 2026
- Related insurance company · false to unsetMar 11, 2026 to Sep 14, 2026
- Succession · false to unsetMar 11, 2026 to Sep 14, 2026
- Accounts · 797 to 582Nov 21, 2025 to Mar 11, 2026
- Corporate clients · 11 to 8Nov 21, 2025 to Mar 11, 2026
- HNW clients · 75 to 58Nov 21, 2025 to Mar 11, 2026
- Individual clients · 87 to 79Nov 21, 2025 to Mar 11, 2026
- Discretionary RAUM · $242M to $310MNov 21, 2025 to Mar 11, 2026
- HNW RAUM · $244M to $274MNov 21, 2025 to Mar 11, 2026
- Individual RAUM · $35.1M to $33.7MNov 21, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $162M to $114MNov 21, 2025 to Mar 11, 2026
- Pension RAUM · $14.0M to $8.6MNov 21, 2025 to Mar 11, 2026
- RAUM · $404M to $425MNov 21, 2025 to Mar 11, 2026
- Financial planning clients · 0 to 0Mar 11, 2025 to Nov 21, 2025
- Accounts · 776 to 797Nov 21, 2024 to Mar 11, 2025
- Corporate clients · 10 to 11Nov 21, 2024 to Mar 11, 2025
- HNW clients · 81 to 75Nov 21, 2024 to Mar 11, 2025
- Individual clients · 79 to 87Nov 21, 2024 to Mar 11, 2025
- Pension plan clients · 5.0 to unsetNov 21, 2024 to Mar 11, 2025
- Discretionary RAUM · $234M to $242MNov 21, 2024 to Mar 11, 2025
- HNW RAUM · $244M to $244MNov 21, 2024 to Mar 11, 2025
- Individual RAUM · $31.2M to $35.1MNov 21, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $164M to $162MNov 21, 2024 to Mar 11, 2025
- Pension RAUM · $16.4M to $14.0MNov 21, 2024 to Mar 11, 2025
- RAUM · $398M to $404MNov 21, 2024 to Mar 11, 2025
- Accounts · unset to 776.0Jul 1, 2024 to Nov 21, 2024
- BD registered reps · 2 to 0Jul 1, 2024 to Nov 21, 2024
- Corporate clients · 0 to 10Jul 1, 2024 to Nov 21, 2024
- HNW clients · 0 to 81Jul 1, 2024 to Nov 21, 2024
- Individual clients · 0 to 79Jul 1, 2024 to Nov 21, 2024
- Pension plan clients · 0 to 5Jul 1, 2024 to Nov 21, 2024
- Employees · 2 to 3Jul 1, 2024 to Nov 21, 2024
- Insurance-licensed employees · 2 to 0Jul 1, 2024 to Nov 21, 2024
- Discretionary RAUM · unset to 234366829.0Jul 1, 2024 to Nov 21, 2024
- HNW RAUM · $0 to $244MJul 1, 2024 to Nov 21, 2024
- Individual RAUM · $0 to $31.2MJul 1, 2024 to Nov 21, 2024
- Non-discretionary RAUM · unset to 163978271.0Jul 1, 2024 to Nov 21, 2024
Signals
4 dated events
- Jean Beverly Patton (Chief Compliance Officer) no longer on Schedule A of S••••• W••••• M••••••••• G•••• (listed 2024-07-01, absent 2024-11-21)Nov 21, 2024 · Control person left · inference
- Ann Kimberly Roberts (Chief Compliance Officer) appeared on Schedule A of S••••• W••••• M••••••••• G••••Nov 21, 2024 · Control person joined · fact
- 2 advisors left W•••• F•••• A••••••• (LA Jolla, CA) for S••••• W••••• M••••••••• G•••• on the same dayNov 13, 2024 · Team lift-out · derived
- S••••• W••••• M••••••••• G•••• filed its initial SEC registration (Form ADV)Jul 1, 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 email
- i•••@s••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- b••@s••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- k••@s••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- s••••@s••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 858-333-6217reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 858-333-6151reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 858-333-6218reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- s••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 858-333-6151reportedpublic record, Form ADV, Sep 14, 2026
- Contact form
- s••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- s••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $212Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026