DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

S•••••••• W••••• M•••••••••

S•••••••• FINANCIAL, LLC, CRD 306953

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Search this name across graphsid dfx:ria:f576a2dd-0053-04d5-2ec5-f86052836d0b

Data as of Mar 3, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 13
On other graphs: 0
Observed: May 19, 2022 to Mar 3, 2025
16 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: $601M••• Locked
Discretionary RAUM: $598M
Private client RAUM: $601Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••••••• A••••••• J•••	PARTNER, CHIEF COMPLIANCE OFFICER	C	yes	06/2019	May 19, 2022	Aug 9, 2024
S•••••• E•••• H•••	Partner	D	yes	06/2019	May 19, 2022	Aug 9, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•••• C•••••• G•••• L••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Mar 3, 2025

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$601M	$339M	77.5%	n/a	n/a	10	8	7	6

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M•••• F•••••••• A•••••••	2	Apr 25, 2025	Apr 25, 2025	MINOCQUA, WI	Team lift out	RIA to RIA	28.6%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
F•• R•••• C••••••	2	Jun 24, 2019	Jan 8, 2020	APPLETON, WI	Team lift out	Other	100.0%

Relationships

Moved with (1)

→ M•••• F•••••••• A•••••••Registered adviser2 advisors, team lift out, same day
Apr 25, 2025 to Apr 25, 2025factForm ADV

Registered with (8)

← A•••••• J••• H•••••••••Advisorregistration: previous registration
Jan 8, 2020 to Apr 25, 2025factForm ADV
← E••• H••• S•••••Advisorregistration: previous registration
Jan 8, 2020 to Apr 25, 2025factForm ADV

Dated events

Occurred
May 2, 2025
Left the SEC roster
••• Locked
Form ADVobserved 8 days ago
$601M
Occurred
Apr 25, 2025
Team lift-out
••• Locked
Form ADVobserved 8 days ago
2 advisors
Occurred
Apr 25, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 25, 2025
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f576a2dd-0053-04d5-2ec5-f86052836d0b
First observed: May 19, 2022
Last observed: Mar 3, 2025 18 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.