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••••• A•••••••
Latest filing Dec 5, 2024
First filing on the tape Jul 1, 2024 · 4 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
n/a
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
4 filings and snapshots on the tape
RAUM$0 as of Dec 5, 2024
Jul 1, 2024$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Dec 5, 2024
Jul 1, 20242 then
Employees (5.A)3 as of Dec 5, 2024
Jul 1, 20242 then
Private funds: no history
Practice profile
derived from the filing of Dec 5, 2024; every figure names its basis
- RAUM per advisor
- $0derivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.3derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 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, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 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
- 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••• L••••• K••••••••• | Boca Raton, Fl | Mar 19, 2025 | 18 y | 0 |
| G••• T••••• G•••••••• | Boca Raton, Fl | May 6, 2025 | 21 y | 2 |
| R•••• R••• | Boca Raton, Fl | Jun 20, 2025 | 11 y | 2 |
| J••• S••••• W•••••• | Manalapan, Nj | Dec 3, 2025 | 12 y | 1 |
| J••••••• T•••••• | Boca Raton, Fl | Feb 17, 2026 | 12 y | 1 |
| B•••• J• B•••••••• | Manalapan, Nj | Mar 4, 2026 | 13 y | 5 |
| R••••• A•••••• J••••• | Longs, Sc | Apr 1, 2026 | 33 y | 1 |
| S••••• R•••• | Manalapan, Nj | Apr 6, 2026 | 16 y | 5 |
| B••• H•••• | Boca Raton, Fl | Jul 15, 2026 | 14 y | 2 |
Advisor movement
5 left, 7 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 56% of current headcount6 left over 36 months
Left, latest
- T•••• S••••• to E•••••• A••••••• G••••• L••Apr 16, 2026 · Other
- J•••• L••••••• to R•••••• J•••• • A••••••••• I•••Mar 23, 2026 · Other
- O••• K• A•••••• to T•• A•••• P•••••••• L••Nov 14, 2025 · Other
- B••••• R•••••• B•••••••• to T•• A•••• P•••••••• L••Nov 3, 2025 · Other
- P•••••• W• F••••• to T•• A•••• P•••••••• L••Oct 30, 2025 · Other
- J••••• W•••••• F••••• to C••••• • A••••••••• I•••Sep 5, 2025 · Other
Joined, latest
- B••• H•••• from M•• I•••••••• S•••••••• L••Jul 15, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- S••••• R•••• from W•••• F•••• A•••••••Apr 6, 2026 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- R••••• A•••••• J••••• from C•••••• A•••••••Apr 1, 2026 · Other
- B•••• J• B•••••••• from O•••• W•••••• I•••Mar 4, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- J••••••• T•••••• from E•••• S••••••••• L••Feb 17, 2026 · Other
- T•••• S••••• from S•• I••••••••• L••Jan 19, 2026 · Other
- J••• S••••• W•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 3, 2025 · Other
- O••• K• A•••••• from P•••• S••••••••• L••Jul 1, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- R•••• R••• from F••••••• P••••••• A•• W•••••••• A•••••••Jun 20, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- J••••• W•••••• F••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 13, 2025 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- G••• T••••• G•••••••• from M••••• S••••••May 6, 2025 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J•••• L••••••• from J••• H•••••• P••••••• F•••••••• S•••••••• L••Mar 19, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- P•••••• W• F••••• from C•••••• A•••••••Nov 21, 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
- K••••••••• W••••• L••••• · Chief Executive Officercontrolsince 06/2024 · owns 10% to 25%
- C••••••• G•••••• · Chief Compliance Officersince 06/2024 · owns less than 5%
- K••••••••• N••••• A• · Shareholdersince 06/2024 · owns 10% to 25%
- R••••••••• A•••••• L• · Shareholdersince 06/2024 · owns 10% to 25%
- R••••••••• K•••••• R•••• · Shareholdersince 06/2024 · owns 10% to 25%
- R••••••••• N•••••• A• · Shareholdersince 06/2024 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Boca Raton, Fl · principal | 9 | 6 | 0 | ||
| Manalapan, Nj | 5 | 4 | 3 | 1 | |
| Rochester, Mi | 0 | 0 | 1 | ||
| Colorado Springs, Co | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Business name · M••• W••••• A••••••• to S••• W••••• A•••••••Sep 11, 2024 to Dec 5, 2024
- Employees · 2 to 3Sep 11, 2024 to Dec 5, 2024
- Legal name · M••• W••••• A••••••• to S••• W••••• A•••••••Sep 11, 2024 to Dec 5, 2024
- Organization form · Limited Liability Partnership to Limited Liability CompanyJul 8, 2024 to Sep 11, 2024
Signals
7 dated events
- T•••• S••••• left S••• W••••• A••••••• for E•••••• A••••••• G••••• L•• (registered 2026-06-16)Apr 16, 2026 · Advisor changed firm · fact
- J•••• L••••••• left S••• W••••• A••••••• for R•••••• J•••• • A••••••••• I••• (registered 2026-04-17)Mar 23, 2026 · Advisor changed firm · fact
- O••• K• A•••••• left S••• W••••• A••••••• for T•• A•••• P•••••••• L•• (registered 2026-01-14)Nov 14, 2025 · Advisor changed firm · fact
- B••••• R•••••• B•••••••• left S••• W••••• A••••••• for T•• A•••• P•••••••• L•• (registered 2025-11-13)Nov 3, 2025 · Advisor changed firm · fact
- P•••••• W• F••••• left S••• W••••• A••••••• for T•• A•••• P•••••••• L•• (registered 2025-11-11)Oct 30, 2025 · Advisor changed firm · fact
- J••••• W•••••• F••••• left S••• W••••• A••••••• for C••••• • A••••••••• I••• (registered 2025-09-15)Sep 5, 2025 · Advisor changed firm · fact
- M••• W••••• A••••••• 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
- Website
- starwa.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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026