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SEC-registered adviser

S••••••• F••••• O•••••

Independent wealth managerCoronado, CaliforniaCRD 335152SEC 801-132433websiteIAPD
Legal name S••••••• W••••• M••••••••• L••
Latest filing Aug 19, 2026
First filing on the tape Apr 25, 2025 · 6 filings
SEC status approved since Apr 28, 2025
RAUM
$434M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$431M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$217M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$434M as of Aug 19, 2026
Apr 25, 2025$0 then
HNW client RAUM$426M as of Aug 19, 2026
Aug 28, 2025$346M then
State-registered IARs (5.B.3)0 as of Aug 19, 2026
Apr 25, 20250 then
Employees (5.A)4 as of Aug 19, 2026
Apr 25, 20254 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 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
  • Multi-family-office-like · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, average HNW client assets at least $25M, fewer than 200 HNW clients, and business name contains 'family office' or private funds are reported
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
  • UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
RAUM per advisor
$217MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
7derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$47.3MderivedHNW RAUM over HNW clients
Average account
$27.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, 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$426M98%
  • Individuals$4.9M1.1%
  • Corporations and businesses$3.3M0.8%
Individual clients
5reported
HNW clients
9reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
16reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
B••••••• W•••••• W••••Coronado, CaNov 23, 202517 y0
D••••• J••••• W••••Certified Financial PlannerCoronado, CaNov 24, 202528 y3
Advisor movement
0 left, 1 joined in 12 months
net +1 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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • W••••• B•••••••• W•••••• · Co-Founder, Managing Partner Membercontrol
      since 04/2025 · owns less than 5%
    • W••••• D•••••• J••••• · Co-Founder, Managing Partnercontrol
      since 04/2025 · owns less than 5%
    • H••••••••• J•••• D••••• · Chief Compliance Officer
      since 08/2026 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Coronado, Ca · principal220
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 19 to 16
      Sep 30, 2025 to Mar 31, 2026
    • Corporate clients · unset to 2.0
      Sep 30, 2025 to Mar 31, 2026
    • HNW clients · 11 to 9
      Sep 30, 2025 to Mar 31, 2026
    • Individual clients · unset to 5.0
      Sep 30, 2025 to Mar 31, 2026
    • Financial planning clients · 0 to 11-25
      Sep 30, 2025 to Mar 31, 2026
    • Discretionary RAUM · $376M to $434M
      Sep 30, 2025 to Mar 31, 2026
    • HNW RAUM · $346M to $426M
      Sep 30, 2025 to Mar 31, 2026
    • Individual RAUM · unset to 4912450.0
      Sep 30, 2025 to Mar 31, 2026
    • RAUM · $376M to $434M
      Sep 30, 2025 to Mar 31, 2026
    • Business name · S••••••• W••••• M••••••••• L•• to S••••••• F••••• O•••••
      Aug 28, 2025 to Sep 30, 2025
    • Financial planning clients · 0 to 0
      Aug 28, 2025 to Sep 30, 2025
    • Accounts · 0 to 19
      Apr 25, 2025 to Aug 28, 2025
    • HNW clients · unset to 11.0
      Apr 25, 2025 to Aug 28, 2025
    • Discretionary RAUM · $0 to $376M
      Apr 25, 2025 to Aug 28, 2025
    • HNW RAUM · unset to 346319318.0
      Apr 25, 2025 to Aug 28, 2025
    • RAUM · $0 to $376M
      Apr 25, 2025 to Aug 28, 2025
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    How to reach
    public business contact points only, each with its source
    Business phone
    619-365-4136reportedpublished by the firm, firm site, Sep 15, 2026
    Website
    s•••••••.comreportedpublic record, Form ADV, Sep 21, 2026
    Principal office phone
    619-268-6279reportedpublic record, Form ADV, Aug 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
    $217Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026