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••••• P•••••• W•••••• L••
Latest filing Jun 10, 2026
First filing on the tape Dec 6, 2024 · 3 filings
SEC status approved since Jan 6, 2025
RAUM
$29.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$29.9M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$6.0M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$29.9M as of Jun 10, 2026
Mar 12, 2026$29.9M then
HNW client RAUM$21.3M as of Jun 10, 2026
Mar 12, 2026$21.3M then
State-registered IARs (5.B.3)5 as of Jun 10, 2026
Mar 12, 20265 then
Employees (5.A)5 as of Jun 10, 2026
Mar 12, 20265 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 10, 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
- RAUM per advisor
- $6.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 7derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $563,454derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 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, hourly, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$21.3M71%
- Individuals$8.6M29%
- Individual clients
- 33reported
- HNW clients
- 4reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 53reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••• S•••••• F••••• | Los Angeles, Ca | Apr 3, 2025 | 12 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
- K••• S•••••• F••••• from L•• F•••••••• L••Apr 3, 2025 · 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
- M••••••• B••••• G•••••• · Partner/Chief Compliance Officercontrolsince 12/2024 · owns less than 5%
- F•••••• K•••• S•••••• · Membercontrolsince 12/2024 · owns 75% or more of F••••• F•••••••• L••
- F•••••• M••••••• C••• · Membercontrolsince 12/2024 · owns 75% or more of M• A•••• L•••••
- M••••••• B••••• G•••••• · Membercontrolsince 05/2024 · owns 50% to 75% of B• A•••• L••••• I•••
- R••••••••• M•••• M• · Grantor/Trusteecontrolsince 05/2024 · owns 50% to 75% of R•••••••• F••••• T•••• U• D•• 0•••••••••
- M••••••• S••••••• · Membersince 05/2024 · owns 50% to 75% of B• A•••• L••••• I•••
Entity owners
- B• A•••• L••••• I••• · Memberdirect · owns 10% to 25%
- F••••• F•••••••• L•• · Memberdirect · owns 25% to 50%
- M• A•••• L••••• · Memberdirect · owns 10% to 25%
- M• A•••• L•••••• I••• · Memberdirect · owns 10% to 25%
- R•••••••• F••••• T•••• U• D•• 0••••••••• · Memberindirect · owns 75% or more of M• A•••• L•••••• I•••
Related persons
Schedule D 7.A
- A•••• L••••• A••••••• L••investment advisernRAUM $715M
Advisers that list S••••• P•••••• W•••••• L•• as a related person
- 329888 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Los Angeles, Ca · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · unset to 53.0Dec 6, 2024 to Mar 12, 2026
- Advisory employees · 4 to 5Dec 6, 2024 to Mar 12, 2026
- HNW clients · unset to 4.0Dec 6, 2024 to Mar 12, 2026
- Individual clients · unset to 33.0Dec 6, 2024 to Mar 12, 2026
- Employees · 4 to 5Dec 6, 2024 to Mar 12, 2026
- Financial planning clients · unset to 0Dec 6, 2024 to Mar 12, 2026
- State-registered IARs · 4 to 5Dec 6, 2024 to Mar 12, 2026
- Discretionary RAUM · unset to 29863050.0Dec 6, 2024 to Mar 12, 2026
- HNW RAUM · unset to 21279088.0Dec 6, 2024 to Mar 12, 2026
- Individual RAUM · unset to 8583962.0Dec 6, 2024 to Mar 12, 2026
- Non-discretionary RAUM · unset to 0.0Dec 6, 2024 to Mar 12, 2026
- RAUM · unset to 29863050.0Dec 6, 2024 to Mar 12, 2026
Signals
1 dated events
- S••••• P•••••• W•••••• 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
- Website
- s•••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-984-1347reportedpublic record, Form ADV, Jun 10, 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
- $6.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026