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••••• A•••••••
Legal name S••• W••••• A•••••••• L••
Latest filing Jul 31, 2026
First filing on the tape Mar 10, 2026 · 3 filings
SEC status approved since Mar 31, 2026
RAUM
$606M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
98%
$593M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$152M
derived; firm RAUM over IAPD count
Employees
7
3 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$606M as of Jul 31, 2026
Mar 10, 2026$0 then
HNW client RAUM: $571M
State-registered IARs (5.B.3)4 as of Jul 31, 2026
Mar 10, 20264 then
Employees (5.A)7 as of Jul 31, 2026
Mar 10, 20268 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 31, 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
- RAUM per advisor
- $152MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.8MderivedHNW RAUM over HNW clients
- Average account
- $707,295derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 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, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$571M94%
- Individuals$21.8M3.6%
- Corporations and businesses$13.1M2.2%
- Individual clients
- 21reported
- HNW clients
- 119reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 857reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••• Y• O•••• P•••••• | Chino Hills, Ca | Apr 2, 2026 | 15 y | 1 |
| A••• M•••• R••••Certified Financial Planner | Chino Hills, Ca | Apr 2, 2026 | 11 y | 3 |
| N•••• S••• | Chino Hills, Ca | Apr 2, 2026 | 15 y | 1 |
| S•••••••• P••••• S••• | Chino Hills, Ca | Apr 2, 2026 | 28 y | 1 |
Advisor movement
0 left, 4 joined in 12 months
net +4 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
- M•••• Y• O•••• P•••••• from A••••••••• F•••••••• S•••••••• L••Apr 2, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- A••• M•••• R•••• from A••••••••• F•••••••• S•••••••• L••Apr 2, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- N•••• S••• from A••••••••• F•••••••• S•••••••• L••Apr 2, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- S•••••••• P••••• S••• from A••••••••• F•••••••• S•••••••• L••Apr 2, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from A••••••••• F•••••••• S•••••••• L••Apr 6, 2026 · Chino Hills, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••• N••••• S• · Financial Advisorcontrolsince 04/2026 · owns 10% to 25%
- S•••• S••••••••• P••••• · Ceo, President And Senior Financial Advisorcontrolsince 04/2026 · owns 75% or more
- K••• K••••• M•• · Chief Compliance Officersince 02/2026 · owns less than 5%
Entity owners
- I••• T••••• L•• · Trustee Of The N•••• S••• Irrecovable Trustdirect · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Chino Hills, Ca · principal | 4 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 857Apr 2, 2026 to Jul 31, 2026
- Charity clients · unset to 0.0Apr 2, 2026 to Jul 31, 2026
- Corporate clients · unset to 2.0Apr 2, 2026 to Jul 31, 2026
- HNW clients · unset to 119.0Apr 2, 2026 to Jul 31, 2026
- Individual clients · unset to 21.0Apr 2, 2026 to Jul 31, 2026
- Pension plan clients · unset to 0.0Apr 2, 2026 to Jul 31, 2026
- Pooled vehicle clients · unset to 0.0Apr 2, 2026 to Jul 31, 2026
- Employees · 8 to 7Apr 2, 2026 to Jul 31, 2026
- Discretionary RAUM · $0 to $598MApr 2, 2026 to Jul 31, 2026
- HNW RAUM · unset to 571237073.0Apr 2, 2026 to Jul 31, 2026
- Individual RAUM · unset to 21812363.0Apr 2, 2026 to Jul 31, 2026
- Non-discretionary RAUM · $0 to $8.5MApr 2, 2026 to Jul 31, 2026
- Pension RAUM · unset to 0.0Apr 2, 2026 to Jul 31, 2026
- Pooled vehicle RAUM · unset to 0.0Apr 2, 2026 to Jul 31, 2026
- RAUM · $0 to $606MApr 2, 2026 to Jul 31, 2026
- Business name · C••••• W••••• A••••••• to S••• W••••• A•••••••Mar 10, 2026 to Apr 2, 2026
- Legal name · C••••• W••••• A••••••• LLC to S••• W••••• A•••••••• L••Mar 10, 2026 to Apr 2, 2026
Signals
1 dated events
- 4 advisors left A••••••••• F•••••••• S•••••••• L•• (Chino Hills, CA) for S••• W••••• A••••••• within 4 daysApr 6, 2026 · 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 phone
- 909-497-3105reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 909-262-1430reportedpublic record, Form ADV, Jul 31, 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
- $152Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026