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•••••••• L••
Latest filing Sep 2, 2026
First filing on the tape Feb 25, 2025 · 5 filings
SEC status approved since Feb 14, 2025
RAUM
$184M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
47%
$85.9M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$92.2M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$184M as of Mar 31, 2026
Feb 25, 2025$0 then
HNW client RAUM$85.9M as of Mar 31, 2026
Jun 13, 2025$149M then
State-registered IARs (5.B.3)4 as of Mar 31, 2026
Feb 25, 20251 then
Employees (5.A)6 as of Mar 31, 2026
Feb 25, 20251 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 4offices 0 to 2
Practice profile
derived from the filing of Sep 2, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $92.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $14.3MderivedHNW RAUM over HNW clients
- Average account
- $7.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 50%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +300%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $184MreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$91.4M50%
- High-net-worth individuals$85.9M47%
- Corporations and businesses$7.2M3.9%
- Individual clients
- n/areported
- HNW clients
- 6reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 24reported
- 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=0.47 fund_share=0.0 institutional_share=0.5 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 |
|---|---|---|---|---|
| W•••••• P•••••• S••••Chartered Financial Analyst | Dallas, Tx | Feb 26, 2025 | 26 y | 0 |
| J••• D•••Chartered Financial Analyst | Dallas, Tx | Apr 1, 2025 | 10 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••• S••••• M••••• · Founder, Co-Chief Executive Officercontrolsince 02/2025 · owns less than 5%
- S••••• W••••••• P•••••• · Founder, Co-Chief Executive Officercontrolsince 02/2025 · owns less than 5%
- T••••••••• C••••••••• S••• · Founder, Chief Compliance Officercontrolsince 02/2025 · owns less than 5%
Entity owners
- S••••••• H•••••••• L•• · Managing Memberdirect · 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 |
|---|---|---|---|---|---|
| Dallas, Tx | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Sep 2, 2026institutional share of RAUM of 50% against a peer median of 0% (5676 comparable advisers, 99.0th percentile, 16.6 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 99% percentile
- business activity changedChange between filings · filing Sep 2, 2026wrap fee program participation (Item 5.I): no on the filing of 2026-03-31, yes on the filing of 2026-09-02peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Mar 31, 2026 to Sep 2, 2026
- HQ city · to unsetMar 31, 2026 to Sep 2, 2026
- HQ state · to unsetMar 31, 2026 to Sep 2, 2026
- Related adviser · false to unsetMar 31, 2026 to Sep 2, 2026
- Related bank · false to unsetMar 31, 2026 to Sep 2, 2026
- Related broker-dealer · false to unsetMar 31, 2026 to Sep 2, 2026
- Related insurance company · false to unsetMar 31, 2026 to Sep 2, 2026
- Succession · false to unsetMar 31, 2026 to Sep 2, 2026
- Wrap assets (manager) · unset to 0.0Mar 31, 2026 to Sep 2, 2026
- Wrap assets (sponsor) · unset to 0.0Mar 31, 2026 to Sep 2, 2026
- Accounts · 22 to 24Jun 13, 2025 to Mar 31, 2026
- Advisory employees · 2 to 4Jun 13, 2025 to Mar 31, 2026
- HNW clients · 7 to 6Jun 13, 2025 to Mar 31, 2026
- Employees · 5 to 6Jun 13, 2025 to Mar 31, 2026
- State-registered IARs · 2 to 4Jun 13, 2025 to Mar 31, 2026
- Other offices · 1 to 2Jun 13, 2025 to Mar 31, 2026
- Discretionary RAUM · $149M to $184MJun 13, 2025 to Mar 31, 2026
- HNW RAUM · $149M to $85.9MJun 13, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $0 to $203,600Jun 13, 2025 to Mar 31, 2026
- RAUM · $149M to $184MJun 13, 2025 to Mar 31, 2026
- Accounts · 0 to 22Apr 1, 2025 to Jun 13, 2025
- Advisory employees · 1 to 2Apr 1, 2025 to Jun 13, 2025
- HNW clients · unset to 7.0Apr 1, 2025 to Jun 13, 2025
- Employees · 1 to 5Apr 1, 2025 to Jun 13, 2025
- Insurance-licensed employees · 1 to 0Apr 1, 2025 to Jun 13, 2025
- Financial planning clients · 0 to 0Apr 1, 2025 to Jun 13, 2025
- State-registered IARs · 1 to 2Apr 1, 2025 to Jun 13, 2025
- Other offices · 0 to 1Apr 1, 2025 to Jun 13, 2025
- Discretionary RAUM · $0 to $149MApr 1, 2025 to Jun 13, 2025
- HNW RAUM · unset to 149222902.0Apr 1, 2025 to Jun 13, 2025
- RAUM · $0 to $149MApr 1, 2025 to Jun 13, 2025
Signals
No event on the tape.
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
- e•••••••@s•••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 214-434-1015reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 214-842-5200reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/storgatereportedpublic record, Form ADV, Sep 18, 2026
- Website
- s•••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (214) 434-1015reportedpublic record, Form ADV, Sep 2, 2026
- Team page
- s•••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $92.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026