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 Feb 19, 2026
First filing on the tape Dec 6, 2024 · 5 filings
SEC status approved since Jan 6, 2025
RAUM
$391M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$391M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$130M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$391M as of Feb 19, 2026
Jan 6, 2025$0 then
HNW client RAUM$370M as of Feb 19, 2026
Jan 6, 2025$0 then
State-registered IARs (5.B.3)3 as of Feb 19, 2026
Jan 6, 20253 then
Employees (5.A)5 as of Feb 19, 2026
Jan 6, 20255 then
Private funds: no history
RAUM +21% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Feb 19, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $130MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $971,638derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $151M, 77 clientsreportedItem 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$370M95%
- Individuals$20.3M5.2%
- Individual clients
- 49reported
- HNW clients
- 109reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 402reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $151M for 77 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Z•••••• L•••• S••••• | Los Angeles, Ca | Jan 7, 2025 | 23 y | 1 |
| L•••••• S••••• B•••••••Certified Financial Planner | Los Angeles, Ca | Jan 7, 2025 | 20 y | 1 |
| H• S••••• S••••• | Los Angeles, Ca | Jan 7, 2025 | 42 y | 1 |
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
- Z•••••• L•••• S••••• from L•• F•••••••• L••Jan 7, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- L•••••• S••••• B••••••• from L•• F•••••••• L••Jan 7, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- H• S••••• S••••• from L•• F•••••••• L••Jan 7, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from L•• F•••••••• L••Jan 9, 2025 · Beverly Hills, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• L••••••• S••••• · Partner, Director Of Financial Planning, And Chief Compliance Officercontrolsince 01/2025 · owns 25% to 50%
- S•••••• Z••••••• L•••• · Managing Principal And Chief Executive Officercontrolsince 01/2025 · 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 |
|---|---|---|---|---|---|
| Los Angeles, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 364 to 402May 23, 2025 to Feb 19, 2026
- HNW clients · 107 to 109May 23, 2025 to Feb 19, 2026
- Individual clients · 38 to 49May 23, 2025 to Feb 19, 2026
- Assets in custody · $103M to $151MMay 23, 2025 to Feb 19, 2026
- Financial planning clients · 0 to 1-10May 23, 2025 to Feb 19, 2026
- Discretionary RAUM · $323M to $391MMay 23, 2025 to Feb 19, 2026
- HNW RAUM · $309M to $370MMay 23, 2025 to Feb 19, 2026
- Individual RAUM · $14.1M to $20.3MMay 23, 2025 to Feb 19, 2026
- RAUM · $323M to $391MMay 23, 2025 to Feb 19, 2026
- Financial planning clients · 0 to 0Apr 23, 2025 to May 23, 2025
- Accounts · 0 to 364Jan 6, 2025 to Apr 23, 2025
- Advisory activities · 4 to 3Jan 6, 2025 to Apr 23, 2025
- Charity clients · 0.0 to unsetJan 6, 2025 to Apr 23, 2025
- Corporate clients · 0.0 to unsetJan 6, 2025 to Apr 23, 2025
- HNW clients · 0 to 107Jan 6, 2025 to Apr 23, 2025
- Individual clients · 0 to 38Jan 6, 2025 to Apr 23, 2025
- Pension plan clients · 0.0 to unsetJan 6, 2025 to Apr 23, 2025
- Pooled vehicle clients · 0.0 to unsetJan 6, 2025 to Apr 23, 2025
- Assets in custody · unset to 102772512.0Jan 6, 2025 to Apr 23, 2025
- Custody of client assets · false to trueJan 6, 2025 to Apr 23, 2025
- Other offices · 0 to 1Jan 6, 2025 to Apr 23, 2025
- Discretionary RAUM · $0 to $323MJan 6, 2025 to Apr 23, 2025
- HNW RAUM · $0 to $309MJan 6, 2025 to Apr 23, 2025
- Individual RAUM · $0 to $14.1MJan 6, 2025 to Apr 23, 2025
- Pension RAUM · 0.0 to unsetJan 6, 2025 to Apr 23, 2025
- Pooled vehicle RAUM · 0.0 to unsetJan 6, 2025 to Apr 23, 2025
- RAUM · $0 to $323MJan 6, 2025 to Apr 23, 2025
Signals
2 dated events
- 2 advisors left L•• F•••••••• L•• (Beverly Hills, CA) for S••••• W••••• M••••••••• L•• on the same dayJan 9, 2025 · Team lift-out · derived
- S••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Dec 6, 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
- a•••••@s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- s••••@s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- v••••••@s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 888-744-4343reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 310-201-0200reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- S•••••WEALTH.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 310-201-0200reportedpublic record, Form ADV, Feb 19, 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
- $130Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026