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•••••••••
Legal name S•••• W••••• M••••••••• L••
Latest filing Feb 27, 2026
First filing on the tape Nov 19, 2024 · 9 filings
SEC status approved since Dec 19, 2024
RAUM
$545M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$477M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$182M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$545M as of Feb 27, 2026
Mar 3, 2025$0 then
HNW client RAUM$454M as of Feb 27, 2026
May 19, 2025$436M then
State-registered IARs (5.B.3)3 as of Feb 27, 2026
Mar 3, 20252 then
Employees (5.A)4 as of Feb 27, 2026
Mar 3, 20252 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Feb 27, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $182MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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 assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $225M, 81 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$454M83%
- Pension and profit-sharing plans$54.4M10.0%
- Individuals$22.6M4.1%
- Charitable organizations$13.5M2.5%
- Individual clients
- 57reported
- HNW clients
- 112reported
- Pension plan clients
- 18reported
- Charitable clients
- n/areported
- Accounts
- 480reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $225M for 81 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.12 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 |
|---|---|---|---|---|
| J••••• A••••• W••••Certified Financial Planner, Chartered Financial Analyst | Emeryville, Ca | Jan 10, 2025 | 26 y | 2 |
| R••••• J••• W••••Chartered Financial Analyst | Emeryville, Ca | Mar 5, 2025 | 33 y | 1 |
| D••••• K•••• B••••• | Emeryville, Ca | Mar 5, 2025 | 43 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
- R••••• J••• W•••• from B•••••• W••••• M•••••••••Mar 5, 2025 · RIA to a newly registered adviser
- D••••• K•••• B••••• from B•••••• W••••• M•••••••••Mar 5, 2025 · RIA to a newly registered adviser
- J••••• A••••• W•••• from B•••••• W••••• M•••••••••Jan 10, 2025 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from B•••••• W••••• M•••••••••May 16, 2025 · Oakland, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••• J•••••• A••••• · Principal, Investment Strategist, Chief Compliance Officercontrolsince 11/2024 · owns 50% to 75%
- W••••• R•••••• J••• · Principal, Investment Strategistcontrolsince 11/2024 · owns 50% to 75%
Related persons
Schedule D 7.A
- B•••••• W••••• M•••••••••investment advisernRAUM $136M
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Emeryville, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Feb 27, 2026custody of client assets (Item 9.A): no on the filing of 2025-12-17, yes on the filing of 2026-02-27peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 475 to 480Dec 17, 2025 to Feb 27, 2026
- HNW clients · 102 to 112Dec 17, 2025 to Feb 27, 2026
- Individual clients · 67 to 57Dec 17, 2025 to Feb 27, 2026
- Pension plan clients · 5 to 18Dec 17, 2025 to Feb 27, 2026
- Assets in custody · unset to 224545659.0Dec 17, 2025 to Feb 27, 2026
- Custody of client assets · false to trueDec 17, 2025 to Feb 27, 2026
- Insurance-licensed employees · 3 to 0Dec 17, 2025 to Feb 27, 2026
- Discretionary RAUM · $495M to $545MDec 17, 2025 to Feb 27, 2026
- HNW RAUM · $436M to $454MDec 17, 2025 to Feb 27, 2026
- Individual RAUM · $30.3M to $22.6MDec 17, 2025 to Feb 27, 2026
- Pension RAUM · $15.4M to $54.4MDec 17, 2025 to Feb 27, 2026
- RAUM · $495M to $545MDec 17, 2025 to Feb 27, 2026
- Financial planning clients · 0 to 0May 19, 2025 to Nov 7, 2025
- Accounts · 0 to 475Apr 30, 2025 to May 19, 2025
- Advisory activities · 2 to 3Apr 30, 2025 to May 19, 2025
- Charity clients · 0.0 to unsetApr 30, 2025 to May 19, 2025
- Corporate clients · 0.0 to unsetApr 30, 2025 to May 19, 2025
- HNW clients · 0 to 102Apr 30, 2025 to May 19, 2025
- Individual clients · 0 to 67Apr 30, 2025 to May 19, 2025
- Pension plan clients · 0 to 5Apr 30, 2025 to May 19, 2025
- Pooled vehicle clients · 0.0 to unsetApr 30, 2025 to May 19, 2025
- Employees · 3 to 4Apr 30, 2025 to May 19, 2025
- HQ city · to EMERYVILLEApr 30, 2025 to May 19, 2025
- HQ state · to CAApr 30, 2025 to May 19, 2025
- Discretionary RAUM · $0 to $495MApr 30, 2025 to May 19, 2025
- HNW RAUM · unset to 436386026.0Apr 30, 2025 to May 19, 2025
- Individual RAUM · unset to 30282482.0Apr 30, 2025 to May 19, 2025
- Pension RAUM · unset to 15399172.0Apr 30, 2025 to May 19, 2025
- RAUM · $0 to $495MApr 30, 2025 to May 19, 2025
- Related adviser · true to falseApr 30, 2025 to May 19, 2025
- Advisory employees · 2 to 3Mar 3, 2025 to Apr 30, 2025
- Employees · 2 to 3Mar 3, 2025 to Apr 30, 2025
- Insurance-licensed employees · 2 to 3Mar 3, 2025 to Apr 30, 2025
- State-registered IARs · 2 to 3Mar 3, 2025 to Apr 30, 2025
- HQ city · unset to Dec 3, 2024 to Mar 3, 2025
- HQ state · unset to Dec 3, 2024 to Mar 3, 2025
- Related adviser · false to trueNov 19, 2024 to Dec 2, 2024
Signals
2 dated events
- 3 advisors left B•••••• W••••• M••••••••• (Oakland, CA) for S•••• W••••• M••••••••• on the same dayMay 16, 2025 · Team lift-out · derived
- S•••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Nov 19, 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
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-857-9670reportedpublic record, Form ADV, Feb 27, 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
- $182Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026