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 Mar 27, 2026
First filing on the tape Mar 28, 2012 · 26 filings
SEC status approved since May 25, 2001
RAUM
$108M
reported, Item 5.F
Discretionary
59%
of RAUM
Private clients
100%
$108M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$53.9M
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
26 filings and snapshots on the tape
RAUM$108M as of Mar 27, 2026
Mar 28, 2012$278M then
HNW client RAUM$108M as of Mar 27, 2026
Mar 16, 2018$290M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Apr 1, 20135 then
Employees (5.A)3 as of Mar 27, 2026
Apr 1, 20135 then
Private funds1 as of Mar 19, 2021
Mar 28, 20123 then
RAUM +7.4% over the last fiscal year-25% a year over threeIARs 2 to 2offices 1 to 2
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $53.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 5derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $10.8MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 59%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $47.5M, 5 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
- is an insurance broker or agent (6.A.6)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$108M100%
- Individual clients
- 0reported
- HNW clients
- 10reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 72reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $47.5M for 5 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| V••••• C••••• S•••••••Certified Financial Planner | Appleton, Wi | Nov 4, 2003 | 41 y | 0 |
| S•••• R•••••• J•••• | Lake Forest, Ca | Jul 31, 2007 | 36 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
- T•••••• J••••• L•••••• to E•••••••• W••••• M••••••••• I•••Feb 7, 2014 · Other
- P•••••• N•• M••••••• to I•••••••• L••Feb 6, 2013 · Other
- R••••• L•••• R•••• to I•••••••• L••Feb 6, 2013 · Other
Joined, latest
none on the tape
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••• M•••• M•••••• F•••• L•no longer reported | Other Private Fund | $500,000 | 16 | Mar 28, 2012 |
| S••••••• M•••• M•••••• F••• I•• L•no longer reported | Other Private Fund | $400,000 | 7 | Mar 28, 2012 |
| S• A••••••••• O••••••••• F•••• A• S••••• L••no longer reported | Private Equity Fund | $8,386 | 2 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- S•••••••• V•••••• C••••• · Chief Executive Officer, Chief Investment Officer, Chief Compliance Officercontrolsince 11/1988 · owns less than 5%
- S•••••••• D•••• · Passive Ownercontrolsince 01/2005 · owns 25% to 50% of S••••••• H•••••••• L••
- S•••••••• V•••••• C••••• · Ownercontrolsince 01/2005 · owns 50% to 75% of S••••••• H•••••••• L••
Entity owners
- S••••••• H•••••••• L•• · Holding Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- I•••••••• L••investment advisern
Advisers that list S••••••• • A••••••••• L•• as a related person
- 147589 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Appleton, Wi · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 69 to 72Mar 17, 2025 to Mar 27, 2026
- Advisory employees · 4 to 3Mar 17, 2025 to Mar 27, 2026
- Assets in custody · $40.7M to $47.5MMar 17, 2025 to Mar 27, 2026
- Employees · 4 to 3Mar 17, 2025 to Mar 27, 2026
- Other offices · 1 to 2Mar 17, 2025 to Mar 27, 2026
- Discretionary RAUM · $52.6M to $64.0MMar 17, 2025 to Mar 27, 2026
- HNW RAUM · $100M to $108MMar 17, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $47.8M to $43.9MMar 17, 2025 to Mar 27, 2026
- RAUM · $100M to $108MMar 17, 2025 to Mar 27, 2026
- Accounts · 107 to 69Mar 22, 2024 to Mar 17, 2025
- HNW clients · 25 to 10Mar 22, 2024 to Mar 17, 2025
- Assets in custody · $37.0M to $40.7MMar 22, 2024 to Mar 17, 2025
- Financial planning clients · 11-25 to 1-10Mar 22, 2024 to Mar 17, 2025
- Discretionary RAUM · $258M to $52.6MMar 22, 2024 to Mar 17, 2025
- HNW RAUM · $287M to $100MMar 22, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $29.2M to $47.8MMar 22, 2024 to Mar 17, 2025
- RAUM · $287M to $100MMar 22, 2024 to Mar 17, 2025
- Accounts · 116 to 107Mar 6, 2023 to Mar 22, 2024
- Assets in custody · $225M to $37.0MMar 6, 2023 to Mar 22, 2024
- Discretionary RAUM · $220M to $258MMar 6, 2023 to Mar 22, 2024
- HNW RAUM · $255M to $287MMar 6, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $35.2M to $29.2MMar 6, 2023 to Mar 22, 2024
- RAUM · $255M to $287MMar 6, 2023 to Mar 22, 2024
- Accounts · 372 to 116Nov 8, 2022 to Mar 6, 2023
- Advisory employees · 3 to 4Nov 8, 2022 to Mar 6, 2023
- Advisory activities · 5 to 4Nov 8, 2022 to Mar 6, 2023
- Charity clients · 3 to 0Nov 8, 2022 to Mar 6, 2023
- HNW clients · 37 to 25Nov 8, 2022 to Mar 6, 2023
- Individual clients · 61 to 0Nov 8, 2022 to Mar 6, 2023
- Pension plan clients · 2 to 0Nov 8, 2022 to Mar 6, 2023
- Assets in custody · $263M to $225MNov 8, 2022 to Mar 6, 2023
- Employees · 3 to 4Nov 8, 2022 to Mar 6, 2023
- Financial planning clients · 101-250 to 11-25Nov 8, 2022 to Mar 6, 2023
- Discretionary RAUM · $290M to $220MNov 8, 2022 to Mar 6, 2023
- HNW RAUM · $318M to $255MNov 8, 2022 to Mar 6, 2023
- Individual RAUM · $15.9M to $0Nov 8, 2022 to Mar 6, 2023
- Non-discretionary RAUM · $51.9M to $35.2MNov 8, 2022 to Mar 6, 2023
- Pension RAUM · $6.5M to $0Nov 8, 2022 to Mar 6, 2023
- RAUM · $342M to $255MNov 8, 2022 to Mar 6, 2023
- Accounts · 732 to 372Sep 24, 2021 to Mar 22, 2022
Signals
3 dated events
- S••••••• • A••••••••• L•• reported RAUM $100.4M, down 65% from $287.2M (2024-03-22 to 2025-03-17)Mar 17, 2025 · RAUM change · derived
- Henry Charles Self (Chief Investment Officer) no longer on Schedule A of S••••••• • A••••••••• L•• (listed 2021-03-19, absent 2021-08-31)Aug 31, 2021 · Control person left · inference
- Edwin David Hackney (Managing Director, Chief Compliance Officer) no longer on Schedule A of S••••••• • A••••••••• L•• (listed 2019-03-29, absent 2020-03-26)Mar 26, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- S••••••• • A••••••••• L•• · Family Officesshared crd · office
- S••••••• • A••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- c•••••••••@s•••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 920-731-4455reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 920-731-9679reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 920-731-4455reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- s•••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- s•••••••.comreportedpublished 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
- $53.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026