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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

S•••••• W••••• L••

CRD 160094

ST. LOUIS, MO

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Search this name across graphsid dfx:ria:1164119e-f4dd-7bf2-ee48-b6bd53b0fda3

Data as of Jun 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 1
Observed: Jun 5, 2019 to Jun 17, 2026
32 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

S•••••• W••••• L••

Venture manager · shared crd

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.99 fund_share=0.01 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $365MItem 5.F on the latest filing (2026-06-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $365M
Private client RAUM: $362MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S•••••• P••• M•••••• R•••••	Certified Financial Planner	ST. LOUIS, MO	14	23	3	no
J••••• D••••	Certified Financial Planner	ST. LOUIS, MO	0	10

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
R•••••• S••••••• P••• M••••••	Owner	E	yes	12/2021	Jun 5, 2019	Jul 31, 2024
R•••••• S••••••• P••• M••••••	MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER	E	yes	12/2011	Jun 5, 2019

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	1	-1	50.0%	0	0	0	0	1

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$365M	$284M	28.5%	$170M	29.0%	17	19	0	0

Relationships

Registered with (4)

← J••••• D••••Advisorregistration: current employment
May 29, 2026 to presentfactForm ADV
← S•••••• P••• M•••••• R•••••Advisorregistration: current employment
Jan 11, 2012 to presentfactForm ADV
← ERICA NICOLE JAMESAdvisorregistration: previous registration
Feb 13, 2023 to Apr 17, 2026factForm ADV
← Kevion Lamar Latham

Dated events

Occurred
Apr 17, 2026
Advisor changed firm
Erica Nicole James left S•••••• W••••• L•• for Mana Financial Life Design (registered 2026-06-11)
Form ADVobserved 6 days ago
Occurred
Jun 5, 2019
First Form ADV filing
S•••••• W••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1164119e-f4dd-7bf2-ee48-b6bd53b0fda3
First observed: Jun 5, 2019
Last observed: Jun 17, 2026 3 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.