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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S••••••••• W••••• M••••••••• I•••
Latest filing Jun 22, 2026
First filing on the tape Jun 23, 2025 · 5 filings
SEC status approved since Jun 26, 2025
RAUM
$443M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$443M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$148M
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
5 filings and snapshots on the tape
RAUM$443M as of Jun 22, 2026
Jun 23, 2025$0 then
HNW client RAUM$413M as of Jun 22, 2026
Oct 24, 2025$316M then
State-registered IARs (5.B.3)3 as of Jun 22, 2026
Jun 23, 20251 then
Employees (5.A)4 as of Jun 22, 2026
Jun 23, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 22, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $148MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $838,967derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 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
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $427MreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$413M93%
- Individuals$29.9M6.8%
- Individual clients
- 86reported
- HNW clients
- 97reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 528reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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 |
|---|---|---|---|---|
| A••• D•••• S•••••••••Certified Financial Planner | Walnut Creek, Ca | Aug 6, 2025 | 22 y | 2 |
| J•••• L••• B••• | Walnut Creek, Ca | Mar 27, 2026 | 25 y | 3 |
| A••••••• R••••• V•••• R••••••• | Walnut Creek, Ca | Mar 27, 2026 | 20 y | 3 |
Advisor movement
0 left, 2 joined in 12 months
net +2 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
- J•••• L••• B••• from C••••••••• F•••••••• N••••••Mar 27, 2026 · Affiliated broker-dealer or bank to independent RIA
- A••••••• R••••• V•••• R••••••• from C••••••••• F•••••••• N••••••Mar 27, 2026 · Affiliated broker-dealer or bank to independent RIA
- A••• D•••• S••••••••• from C••••••••• F•••••••• N••••••Aug 6, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from C••••••••• F•••••••• N••••••Jul 14, 2025 · Walnut Creek, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Walnut Creek, Ca · principal | 3 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing Jun 22, 2026RAUM per registered advisor of $147,658,135 against a peer median of $55,746,441 (3254 comparable advisers, 98.0th percentile, 3.2 robust deviations)peers: independent wealth managers, $100M to $500M (3,254) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 531 to 528Oct 24, 2025 to Mar 30, 2026
- Advisory employees · 1 to 3Oct 24, 2025 to Mar 30, 2026
- HNW clients · 104 to 97Oct 24, 2025 to Mar 30, 2026
- Individual clients · 427 to 86Oct 24, 2025 to Mar 30, 2026
- State-registered IARs · 1 to 3Oct 24, 2025 to Mar 30, 2026
- Discretionary RAUM · $432M to $443MOct 24, 2025 to Mar 30, 2026
- HNW RAUM · $316M to $413MOct 24, 2025 to Mar 30, 2026
- Individual RAUM · $115M to $29.9MOct 24, 2025 to Mar 30, 2026
- RAUM · $432M to $443MOct 24, 2025 to Mar 30, 2026
- Accounts · 0 to 531Aug 3, 2025 to Oct 24, 2025
- Business name · S••••••••• W••••• M••••••••• L•• to S••••••••• W••••• M••••••••• I•••Aug 3, 2025 to Oct 24, 2025
- HNW clients · unset to 104.0Aug 3, 2025 to Oct 24, 2025
- Individual clients · unset to 427.0Aug 3, 2025 to Oct 24, 2025
- Employees · 1 to 4Aug 3, 2025 to Oct 24, 2025
- Financial planning clients · 0 to 0Aug 3, 2025 to Oct 24, 2025
- Legal name · S••••••••• W••••• M••••••••• L•• to S••••••••• W••••• M••••••••• I•••Aug 3, 2025 to Oct 24, 2025
- Organization form · Limited Liability Company to CorporationAug 3, 2025 to Oct 24, 2025
- Discretionary RAUM · $0 to $432MAug 3, 2025 to Oct 24, 2025
- HNW RAUM · unset to 316399392.0Aug 3, 2025 to Oct 24, 2025
- Individual RAUM · unset to 115470549.0Aug 3, 2025 to Oct 24, 2025
- RAUM · $0 to $432MAug 3, 2025 to Oct 24, 2025
- Wrap assets (manager) · unset to 0.0Aug 3, 2025 to Oct 24, 2025
- Wrap assets (sponsor) · unset to 0.0Aug 3, 2025 to Oct 24, 2025
Signals
1 dated events
- 3 advisors left C••••••••• F•••••••• N•••••• (Walnut Creek, CA) for S••••••••• W••••• M••••••••• I••• a day apartJul 14, 2025 · Team lift-out · derived
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
- h•••••@s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 925-385-6200reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 415-302-7247reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 925-385-6200reportedpublic record, Form ADV, Jun 22, 2026
- Contact form
- s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $148Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026