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••••••••• A••••••••• L••
Latest filing Jun 18, 2026
First filing on the tape Mar 27, 2012 · 22 filings
SEC status approved since Apr 7, 2000
RAUM
$167M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$164M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$55.7M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$167M as of Jun 18, 2026
Mar 27, 2012$139M then
HNW client RAUM$129M as of Jun 18, 2026
Mar 30, 2018$143M then
State-registered IARs (5.B.3)2 as of Jun 18, 2026
Mar 27, 20120 then
Employees (5.A)3 as of Jun 18, 2026
Mar 28, 20134 then
Private funds: no history
RAUM -15% over the last fiscal year-3.9% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Jun 18, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- i••••••••• 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
- $55.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $460,271derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Custody
- $18.5M, 33 clientsreportedItem 9.A
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$129M77%
- Individuals$34.7M21%
- Charitable organizations$3.5M2.1%
- Individual clients
- 74reported
- HNW clients
- 44reported
- Pension plan clients
- 1reported
- Charitable clients
- 3reported
- Accounts
- 363reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $18.5M for 33 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••••• A•••• S•••••••••Chartered Investment Counselor | Chicago, Il | Aug 25, 1998 | 31 y | 2 |
| A••• C••••• R••• | Dallas, Tx | Nov 14, 2013 | 27 y | 4 |
| E•••• C••••• | Dallas, Tx | May 9, 2024 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- R•••••• W• J•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jan 31, 2017 · Other
Joined, latest
- A••• C••••• R••• from M••••••• I••••••••• N•••••• I•••Nov 14, 2013 · Other
- R•••••• W• J•••••• from R•• W••••• M••••••••• L••Sep 3, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• T••••••• A•••• · Managing Principal; Founder & President; Chief Compliance Officercontrolsince 06/1995 · owns less than 5%
- S••••••••• T••••••• A•••• · Trusteecontrolsince 06/1995 · owns F of T•••••• A• S••••••••• T•••• D•••• M•••• 9• 2•••
Entity owners
- T•••••• A• S••••••••• T•••• D•••• M•••• 9• 2••• · Ownerdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL1 employees
What changed
consecutive filings, newest first
- Employees · 4 to 3Mar 27, 2026 to Jun 18, 2026
- State-registered IARs · 3 to 2Mar 27, 2026 to Jun 18, 2026
- Accounts · 429 to 363Mar 31, 2025 to Mar 27, 2026
- Charity clients · 1 to 3Mar 31, 2025 to Mar 27, 2026
- Corporate clients · 1.0 to unsetMar 31, 2025 to Mar 27, 2026
- HNW clients · 45 to 44Mar 31, 2025 to Mar 27, 2026
- Individual clients · 79 to 74Mar 31, 2025 to Mar 27, 2026
- Assets in custody · $20.8M to $18.5MMar 31, 2025 to Mar 27, 2026
- Discretionary RAUM · $196M to $167MMar 31, 2025 to Mar 27, 2026
- HNW RAUM · $154M to $129MMar 31, 2025 to Mar 27, 2026
- Individual RAUM · $38.5M to $34.7MMar 31, 2025 to Mar 27, 2026
- RAUM · $196M to $167MMar 31, 2025 to Mar 27, 2026
- Accounts · 457 to 429Mar 27, 2024 to Mar 31, 2025
- Advisory employees · 2 to 3Mar 27, 2024 to Mar 31, 2025
- Charity clients · 3 to 1Mar 27, 2024 to Mar 31, 2025
- HNW clients · 46 to 45Mar 27, 2024 to Mar 31, 2025
- Individual clients · 87 to 79Mar 27, 2024 to Mar 31, 2025
- Assets in custody · $19.4M to $20.8MMar 27, 2024 to Mar 31, 2025
- Financial planning clients · 26-50 to 11-25Mar 27, 2024 to Mar 31, 2025
- State-registered IARs · 2 to 3Mar 27, 2024 to Mar 31, 2025
- Other offices · 1 to 2Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $200M to $196MMar 27, 2024 to Mar 31, 2025
- HNW RAUM · $155M to $154MMar 27, 2024 to Mar 31, 2025
- Individual RAUM · $41.0M to $38.5MMar 27, 2024 to Mar 31, 2025
- RAUM · $200M to $196MMar 27, 2024 to Mar 31, 2025
- Accounts · 459 to 457Mar 30, 2023 to Mar 27, 2024
- HNW clients · 50 to 46Mar 30, 2023 to Mar 27, 2024
- Individual clients · 86 to 87Mar 30, 2023 to Mar 27, 2024
- Assets in custody · $15.1M to $19.4MMar 30, 2023 to Mar 27, 2024
- HQ city · CHICAGO to DALLASMar 30, 2023 to Mar 27, 2024
- HQ state · IL to TXMar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $188M to $200MMar 30, 2023 to Mar 27, 2024
- HNW RAUM · $147M to $155MMar 30, 2023 to Mar 27, 2024
- Individual RAUM · $37.8M to $41.0MMar 30, 2023 to Mar 27, 2024
- RAUM · $188M to $200MMar 30, 2023 to Mar 27, 2024
- Accounts · 445 to 459Jul 21, 2022 to Mar 30, 2023
- HNW clients · 57 to 50Jul 21, 2022 to Mar 30, 2023
- Individual clients · 77 to 86Jul 21, 2022 to Mar 30, 2023
- Assets in custody · $19.4M to $15.1MJul 21, 2022 to Mar 30, 2023
- Discretionary RAUM · $231M to $188MJul 21, 2022 to Mar 30, 2023
Signals
No event on the tape.
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 email
- info@sallc.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- winnies@sallc.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 312-332-1520reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 469-385-7040reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 866-630-6730reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H••••://WWW.SALLC.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 469-385-7040reportedpublic record, Form ADV, Jun 18, 2026
- Team page
- sallc.com/about-us/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $55.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026