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S•••••• W••••• M••••••••• G••••• 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••••• M••••••••• G••••• L••

CRD 169274

JACKSONVILLE, FL

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Search this name across graphsid dfx:ria:3164475f-ce83-c01d-903b-f349a040bdc3

Data as of Feb 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Oct 29, 2013 to Feb 20, 2026
23 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: independent wealth managerderivedprivate_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=3.0
Regulatory AUM: $571MItem 5.F on the latest filing (2026-02-20); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $571M
Private client RAUM: $560MderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
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
C••••••• L•• S••••••	Certified Financial Planner	JACKSONVILLE , FL \| JACKSONVILLE, FL \| KANSAS CITY, MO	12	29	1	no
J••••• S••• M•••••••••	Certified Financial Planner	JACKSONVILLE , FL \| JACKSONVILLE, FL \| KANSAS CITY, MO	11

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
S••••••• C•••••••• L••	PRESIDENT, CCO, MANAGING MEMBER	E	yes	03/2010	Oct 29, 2013	Sep 26, 2024

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	0	0	0.0%	0	0	0	1	0

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	$571M	$465M	22.7%	$279M	27.0%	3	3	0	1

Relationships

Registered with (4)

← D••• S•••••• N••••••Advisorregistration: current employment
Oct 4, 2024 to presentfactForm ADV
← J••••• S••• M•••••••••Advisorregistration: current employment
Mar 23, 2015 to presentfactForm ADV
← C••••••• L•• S••••••Advisorregistration: current employment
Nov 22, 2013 to presentfactForm ADV
← JEFFREY WAYNE THORSEN

Dated events

Occurred
Mar 13, 2025
Regulatory AUM changed
S•••••• W••••• M••••••••• G••••• L•• reported RAUM $465.5M, up 36% from $342.2M (2024-09-26 to 2025-03-13)
Form ADVobserved 7 days ago
$123M
Occurred
Oct 29, 2013
First Form ADV filing
S•••••• W••••• M••••••••• G••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3164475f-ce83-c01d-903b-f349a040bdc3
First observed: Oct 29, 2013
Last observed: Feb 20, 2026 7 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.

2025	Feb 20, 2026	$571M	$571M	3	3	0	n/a	n/a
2024	Mar 13, 2025	$465M	$465M	3	3	1	n/a	n/a
2023	Mar 15, 2024	$342M	$342M	2	2	0	n/a	n/a
2022	Mar 22, 2023	$279M	$279M	2	2	0	n/a	n/a
2021	Mar 23, 2022	$328M	$328M	2	2	0	n/a	n/a
2020	Mar 1, 2021	$269M	$269M	4	2	0	n/a	n/a
2019	Jan 30, 2020	$221M	$221M	2	2	0	n/a	n/a
2018	Mar 18, 2019	$175M	$175M	2	2	0	n/a	n/a
2017	Mar 27, 2018	$184M	$184M	4	2	0	n/a	n/a
2016	Mar 30, 2017	$138M	$138M	4	2	n/a	n/a	n/a
2015	Mar 14, 2016	$124M	$124M	4	1	n/a	n/a	n/a
2014	Mar 24, 2015	$114M	$114M	4	1	n/a	n/a	n/a
2013	Mar 6, 2014	$101M	$101M	2	2	n/a	n/a	n/a