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.

Former SEC-registered adviser

Solutions For Wealth Management, LLC

Former SEC-registered adviserBourbonnais, IllinoisCRD 113570SEC 801-64327IAPD
Latest filing Mar 28, 2016
First filing on the tape Mar 19, 2012 · 5 filings
RAUM
$174M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$174M as of Mar 28, 2016
Mar 19, 2012$91.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Mar 28, 2016
Mar 19, 20120 then
Employees (5.A)6 as of Mar 28, 2016
Mar 27, 20134 then
Private funds: no history
RAUM -2.5% over the last fiscal year+11% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 28, 2016; every figure names its basis
RAUM per advisor
$28.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$270,074derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-2.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
643reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Leslie Mark Smith · Managing Member, Chief Compliance Officercontrol
        since 12/1997 · owns 75% or more
      Related persons
      Schedule D 7.A
      • North Convent, LLC
        real estaten
      • Smith, Koelling, Dykstra & Ohm P.C.
        insurancen
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 659 to 643
        Mar 20, 2015 to Mar 28, 2016
      • Assets in custody · 27408943.0 to unset
        Mar 20, 2015 to Mar 28, 2016
      • Custody of client assets · true to false
        Mar 20, 2015 to Mar 28, 2016
      • Discretionary RAUM · $178M to $174M
        Mar 20, 2015 to Mar 28, 2016
      • RAUM · $178M to $174M
        Mar 20, 2015 to Mar 28, 2016
      • Accounts · 523 to 659
        Mar 20, 2014 to Mar 20, 2015
      • Assets in custody · unset to 27408943.0
        Mar 20, 2014 to Mar 20, 2015
      • Custody of client assets · false to true
        Mar 20, 2014 to Mar 20, 2015
      • Discretionary RAUM · $147M to $178M
        Mar 20, 2014 to Mar 20, 2015
      • RAUM · $147M to $178M
        Mar 20, 2014 to Mar 20, 2015
      • Accounts · 424 to 523
        Mar 27, 2013 to Mar 20, 2014
      • Advisory employees · 2 to 6
        Mar 27, 2013 to Mar 20, 2014
      • Advisory activities · 4 to 3
        Mar 27, 2013 to Mar 20, 2014
      • Employees · 4 to 6
        Mar 27, 2013 to Mar 20, 2014
      • State-registered IARs · 2 to 6
        Mar 27, 2013 to Mar 20, 2014
      • Discretionary RAUM · $129M to $147M
        Mar 27, 2013 to Mar 20, 2014
      • RAUM · $129M to $147M
        Mar 27, 2013 to Mar 20, 2014
      • Accounts · 326 to 424
        Mar 19, 2012 to Mar 27, 2013
      • Advisory employees · unset to 2.0
        Mar 19, 2012 to Mar 27, 2013
      • Employees · unset to 4.0
        Mar 19, 2012 to Mar 27, 2013
      • State-registered IARs · 0 to 2
        Mar 19, 2012 to Mar 27, 2013
      • Discretionary RAUM · $91.1M to $129M
        Mar 19, 2012 to Mar 27, 2013
      • RAUM · $91.1M to $129M
        Mar 19, 2012 to Mar 27, 2013
      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.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026