DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S•• C•••••• M••••••••• L••
Latest filing Jul 21, 2026
First filing on the tape Mar 13, 2012 · 29 filings
SEC status approved since Sep 20, 2002
RAUM
$413M
reported, Item 5.F
Discretionary
86%
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
10
4 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
2
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$413M as of Jul 21, 2026
Mar 13, 2012$1.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 21, 2026
Mar 13, 20120 then
Employees (5.A)10 as of Jul 21, 2026
Mar 18, 20134 then
Private funds2 as of Jul 21, 2026
Mar 30, 20221 then
RAUM -2.9% over the last fiscal year+24% a year over threeIARs 0 to 0offices 1 to 3
Practice profile
derived from the filing of Jul 21, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $45.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 43%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$209M51%
- State and municipal entities$178M44%
- Corporations and businesses$18.9M4.7%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.51 institutional_share=0.43 related_bd=true related_bank=false bd_reps=5.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N•• Y••• S••••• E••••• C••••••• I••••••••• F•••• L••• | Other Private Fund | $99.8M | 2 | Mar 28, 2024 |
| C•••• V••••• I••••• F•••• L• | Other Private Fund | $96.7M | 10 | Mar 30, 2022 |
Owners and control persons
Schedule A and B, latest filing
- C••••••••• D•••••• N•• · Chief Compliance Officercontrolsince 10/2013 · owns less than 5%
- W•••••••• C••••••••• J••••• · Chairman & Ceocontrolsince 01/2002 · owns less than 5%
- C•••••••• H••••• G•••••• · Vice-Chairmancontrolsince 11/2019 · owns F of S•••• W••••••• C•••••••• L••
- S••••••••• S••••••• F•••••• · Super Majority Membercontrolsince 03/2021 · owns 75% or more of S•••• C•••••• G••••• L••
- W•••••••• C••••••••• J••••• · Chairmancontrolsince 11/2019 · owns F of S•••• W••••••• C•••••••• L••
Entity owners
- S•••• W••••••• C•••••••• L•• · Memberdirect · owns 75% or more
- S•••• C•••••• G••••• L•• · Memberindirect · owns 25% to 50% of S•••• W••••••• C•••••••• L••
Related persons
Schedule D 7.A
- C•••• V••••• I••••• F••• I• G•••• L••pooled vehicle sponsorn
- S•••••• W••••••• S•••• • C••• L••broker-dealern
- S••••• E••••• I••••• V••••••• G• I• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL
What changed
consecutive filings, newest first
- Other offices · 1 to 3Mar 30, 2026 to Jul 21, 2026
- Discretionary RAUM · $380M to $355MMar 31, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $45.2M to $58.0MMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $219M to $209MMar 31, 2025 to Mar 30, 2026
- RAUM · $426M to $413MMar 31, 2025 to Mar 30, 2026
- Accounts · 8 to 9Feb 5, 2025 to Mar 31, 2025
- Advisory employees · 3 to 4Feb 5, 2025 to Mar 31, 2025
- Employees · 9 to 10Feb 5, 2025 to Mar 31, 2025
- Financial planning clients · 0 to 0Feb 5, 2025 to Mar 31, 2025
- Discretionary RAUM · $460M to $380MFeb 5, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $38.1M to $45.2MFeb 5, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $243M to $219MFeb 5, 2025 to Mar 31, 2025
- RAUM · $498M to $426MFeb 5, 2025 to Mar 31, 2025
- Accounts · 5 to 8May 17, 2023 to Mar 28, 2024
- Advisory employees · 4 to 3May 17, 2023 to Mar 28, 2024
- Pooled vehicle clients · 1 to 2May 17, 2023 to Mar 28, 2024
- Employees · 10 to 9May 17, 2023 to Mar 28, 2024
- Private funds · 1 to 2May 17, 2023 to Mar 28, 2024
- Discretionary RAUM · $218M to $460MMay 17, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $0 to $38.1MMay 17, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $144M to $243MMay 17, 2023 to Mar 28, 2024
- RAUM · $218M to $498MMay 17, 2023 to Mar 28, 2024
- Accounts · 4 to 5May 27, 2022 to Mar 31, 2023
- Advisory employees · 2 to 4May 27, 2022 to Mar 31, 2023
- Discretionary RAUM · $207M to $218MMay 27, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $141M to $144MMay 27, 2022 to Mar 31, 2023
- RAUM · $207M to $218MMay 27, 2022 to Mar 31, 2023
- Accounts · 3 to 4Mar 26, 2021 to Mar 30, 2022
- Advisory employees · 3 to 2Mar 26, 2021 to Mar 30, 2022
- Advisory activities · 1 to 2Mar 26, 2021 to Mar 30, 2022
- Business name · W••••••• C•••••• M••••••••• L•• to S•• C•••••• M••••••••• L••Mar 26, 2021 to Mar 30, 2022
- Pooled vehicle clients · unset to 1.0Mar 26, 2021 to Mar 30, 2022
- Employees · 8 to 10Mar 26, 2021 to Mar 30, 2022
- Private funds · unset to 1Mar 26, 2021 to Mar 30, 2022
- Discretionary RAUM · $85.7M to $207MMar 26, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · unset to 141400000.0Mar 26, 2021 to Mar 30, 2022
- RAUM · $85.7M to $207MMar 26, 2021 to Mar 30, 2022
- Advisory employees · 2 to 3Oct 15, 2020 to Mar 26, 2021
- BD registered reps · 4 to 5Oct 15, 2020 to Mar 26, 2021
- HNW clients · 0.0 to unsetOct 15, 2020 to Mar 26, 2021
Signals
4 dated events
- S•• C•••••• M••••••••• L•• reported RAUM $498.0M, up 128% from $218.4M (2023-05-17 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- S•• C•••••• M••••••••• L•• reported RAUM $207.3M, up 142% from $85.7M (2021-03-26 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Gabriel Henry Cisneros (Vice-Chairman) appeared on Schedule A of S•• C•••••• M••••••••• L••Oct 15, 2020 · Control person joined · fact
- Frances Suzanne Shank-Werdlow (Member) appeared on Schedule A of S•• C•••••• M••••••••• L••Dec 2, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- S•• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- swscapitalmanagement.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-461-6500reportedpublic record, Form ADV, Jul 21, 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
- Other 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