DFX Intelligence

S•••• W••••• S••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

S•••• W••••• S••••••••

S•••• W••••• S•••••••• LLC, CRD 321267

CHICAGO, IL

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Search this name across graphsid dfx:ria:0b1f2330-806a-51b2-6799-d56af915a1cb

Data as of Apr 25, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 12
On other graphs: 0
Observed: Jun 28, 2022 to Apr 25, 2024
10 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $839M••• Locked
Discretionary RAUM: $839M
Private client RAUM: $735Mderived••• Locked
Private client share: 88%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• S••••••••• G••••••	EXECUTIVE COMMITTEE	Na	yes	11/2017	Jun 28, 2022	Apr 25, 2024
C••••••• C•••••	EXECUTIVE COMMITTEE, GENERAL COUNSEL	Na	yes	01/2021	Jun 28, 2022	Apr 25, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W•••••• B•••• I••••••••• M••••••••• L••	n/a	Other adviser	$66B	N	yes	n/a
W•••••• B•••• • C•••••• L•••••	n/a	Bd affiliated wealth	$64B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Mar 28, 2024

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$839M	$685M	22.5%	n/a	n/a	1	11	0	1

Relationships

Affiliated with (4)

← W•••••• B•••• I••••••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← W•••••• B•••• • C•••••• L•••••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ W•••••• B•••• • C•••••• L•••••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ W•••••• B•••• I••••••••• M••••••••• L••Registered adviser

Dated events

Occurred
Apr 25, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 25, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 28, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 28, 2024
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0b1f2330-806a-51b2-6799-d56af915a1cb
First observed: Jun 28, 2022
Last observed: Apr 25, 2024 29 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

Controls (14)

← M••••••••• S••••• T•••••OwnerEXECUTIVE COMMITTEE, ownership code NA, individual
Mar 28, 2024 to presentfactForm ADV
← G•••••••• B••••• W•••••OwnerPRESIDENT, CEO, ownership code NA, individual
Jun 28, 2022 to presentfactForm ADV
← D•••• R•••••• J•OwnerEXECUTIVE COMMITTEE, ownership code NA, individual
Mar 28, 2024 to presentfactForm ADV
← Q••••• M••••••• P••••••OwnerEXECUTIVE COMMITTEE, ownership code NA, individual
Mar 28, 2024 to presentfactForm ADV
← Z•••••• M••••••• M•••••••••OwnerEXECUTIVE COMMITTEE, ownership code NA, individual
Jun 28, 2022 to presentfactForm ADV
← S•••••• A•••••OwnerEXECUTIVE COMMITTEE, ownership code NA, individual
Jan 19, 2023 to presentfactForm ADV
← B••••••• S••••••••• G••••••OwnerEXECUTIVE COMMITTEE, ownership code NA, individual
Jun 28, 2022 to presentfactForm ADV
← T••••••••• M••••••• W••••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Jul 6, 2023 to presentfactForm ADV
← D••••••••• P••••• P••••OwnerEXECUTIVE COMMITTEE, ownership code NA, individual
Jun 28, 2022 to presentfactForm ADV
← S••••••••• B•••• A•OwnerEXECUTIVE COMMITTEE, ownership code NA, individual
Jan 19, 2023 to presentfactForm ADV
← R••••••••• W••••••• B•OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 25, 2024 to presentfactForm ADV
← C••••••• C•••••OwnerEXECUTIVE COMMITTEE, GENERAL COUNSEL, ownership code NA, individual
Jun 28, 2022 to presentfactForm ADV
← W•• G• L•••••OwnerGENERAL PARTNER, ownership code F, domestic entity
Jun 28, 2022 to presentfactForm ADV
← W•• H•••••••• L•••OwnerHOLDING COMPANY, ownership code E, domestic entity
Jun 28, 2022 to presentfactForm ADV