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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
S•• W••••• M•••••••••
Legal name S•••••••• B•••••• C••••••••• I•••
Latest filing Sep 30, 2024
First filing on the tape May 20, 2013 · 32 filings
RAUM
$1.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$995M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$1.0B as of Mar 27, 2024
Mar 25, 2014$287M then
HNW client RAUM$788M as of Mar 27, 2024
Mar 29, 2018$294M then
State-registered IARs (5.B.3)7 as of Mar 27, 2024
Mar 25, 20144 then
Employees (5.A)14 as of Mar 27, 2024
Mar 25, 20148 then
Private funds: no history
RAUM +15% over the last fiscal year+6.8% a year over threeIARs 9 to 7
Practice profile
derived from the filing of Sep 30, 2024; every figure names its basis
- RAUM per advisor
- $144MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 159derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $330,872derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- -22%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$788M78%
- Individuals$207M21%
- Insurance companies$12.9M1.3%
- Pension and profit-sharing plans$1,4180.0%
- Individual clients
- 618reported
- HNW clients
- 492reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3,047reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $0 sponsored, $1.0B managedreported
- 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
Left, latest
- S•••• G•••••• H••••• to L•• F•••••••• L••Nov 25, 2024 · Other
- E••• N• P•••• to L•• F•••••••• L••Nov 25, 2024 · Other
- K•••• R••••• S••••• to C••••• P••••••• L••Nov 25, 2024 · RIA to RIA
- S•••• B••••••• D••••• to C••••• P••••••• L••Nov 25, 2024 · RIA to RIA
- D•••• H••••• S••••• to C••••• P••••••• L••Nov 25, 2024 · RIA to RIA
- A••••• K••• F•••••• to C••••• P••••••• L••Nov 25, 2024 · RIA to RIA
- P•••••• B•••• M••••• to L•• F•••••••• L••Nov 25, 2024 · Other
- C••••• M•••••• S••••••• to C••••• P••••••• L••Nov 25, 2024 · RIA to RIA
- A••••• T••••••• H•••••• to L•••Mar 6, 2024 · RIA to RIA
- S••••• M••••• to N••••••••• M••••• I••••••••• S•••••••••Sep 25, 2023 · Other
- M•••••• R••••• M•••••• to A•••• W••••• A•••••••Aug 31, 2023 · RIA to RIA
- J•••• K• L•••• to I••••••••• F•••••••• P•••••••Apr 12, 2017 · Other
- T••••• P••• G•••••• to M•• I•••••••• S•••••••• L••Sep 16, 2010 · Other
Joined, latest
- A••••• T••••••• H•••••• from M••••• S••••••Sep 10, 2021 · Wirehouse to independent RIA
- M•••••• R••••• M•••••• from U•• F•••••••• S••••••• I•••Dec 9, 2019 · Wirehouse to independent RIA
- A••••• K••• F•••••• from U•• F•••••••• S••••••• I•••Sep 12, 2017 · Other
- J•••• K• L•••• from J••• M••••• S••••••••• L••Sep 11, 2015 · Other
- C••••• M•••••• S••••••• from L•• F•••••••• L••Jan 11, 2011 · Other
- E••• N• P•••• from L•• F•••••••• L••Sep 29, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for C••••• P••••••• L••Nov 25, 2024 · Indianapolis, In · Firm absorbed
- 3 left for L•• F•••••••• L••Nov 25, 2024 · Indianapolis, In
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• S••••• G•••••• · Ownercontrolsince 06/1983 · owns 25% to 50%
- M•••••• P••••••• B•••• · Ceo And Ownercontrolsince 12/1987 · owns 25% to 50%
- P••••• E•••• N• · Owner & Co-Coo, Chief Compliance Officercontrolsince 03/2013 · owns 10% to 25%
- S•••••••• C•••••• M•••••• · President, Co-Coo, And Ownercontrolsince 08/2017 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Indianapolis, In · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2,982 to 3,047Sep 25, 2023 to Mar 27, 2024
- Advisory employees · 9 to 7Sep 25, 2023 to Mar 27, 2024
- HNW clients · 504 to 492Sep 25, 2023 to Mar 27, 2024
- Individual clients · 646 to 618Sep 25, 2023 to Mar 27, 2024
- Assets in custody · $113M to $641MSep 25, 2023 to Mar 27, 2024
- Employees · 18 to 14Sep 25, 2023 to Mar 27, 2024
- Financial planning clients · 51-100 to 11-25Sep 25, 2023 to Mar 27, 2024
- State-registered IARs · 9 to 7Sep 25, 2023 to Mar 27, 2024
- Discretionary RAUM · $875M to $1.0BSep 25, 2023 to Mar 27, 2024
- HNW RAUM · $713M to $788MSep 25, 2023 to Mar 27, 2024
- Individual RAUM · $155M to $207MSep 25, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $2.9M to $3.1MSep 25, 2023 to Mar 27, 2024
- Pension RAUM · $1,412 to $1,418Sep 25, 2023 to Mar 27, 2024
- RAUM · $878M to $1.0BSep 25, 2023 to Mar 27, 2024
- Wrap assets (manager) · $875M to $1.0BSep 25, 2023 to Mar 27, 2024
- Accounts · 2,787 to 2,982Mar 7, 2023 to Mar 30, 2023
- HNW clients · 486 to 504Mar 7, 2023 to Mar 30, 2023
- Individual clients · 603 to 646Mar 7, 2023 to Mar 30, 2023
- Assets in custody · $718M to $113MMar 7, 2023 to Mar 30, 2023
- Employees · 15 to 18Mar 7, 2023 to Mar 30, 2023
- Discretionary RAUM · $1.0B to $875MMar 7, 2023 to Mar 30, 2023
- HNW RAUM · $829M to $713MMar 7, 2023 to Mar 30, 2023
- Individual RAUM · $171M to $155MMar 7, 2023 to Mar 30, 2023
- Non-discretionary RAUM · $3.2M to $2.9MMar 7, 2023 to Mar 30, 2023
- Pension RAUM · $1,411 to $1,412Mar 7, 2023 to Mar 30, 2023
- RAUM · $1.0B to $878MMar 7, 2023 to Mar 30, 2023
- Wrap assets (manager) · $1.0B to $875MMar 7, 2023 to Mar 30, 2023
- Accounts · 2,475 to 2,787Jul 28, 2021 to Mar 29, 2022
- Advisory employees · 8 to 9Jul 28, 2021 to Mar 29, 2022
- HNW clients · 352 to 486Jul 28, 2021 to Mar 29, 2022
- Individual clients · 624 to 603Jul 28, 2021 to Mar 29, 2022
- Pension plan clients · 17.0 to unsetJul 28, 2021 to Mar 29, 2022
- Assets in custody · $545M to $718MJul 28, 2021 to Mar 29, 2022
- State-registered IARs · 8 to 9Jul 28, 2021 to Mar 29, 2022
- Discretionary RAUM · $824M to $1.0BJul 28, 2021 to Mar 29, 2022
- HNW RAUM · $584M to $829MJul 28, 2021 to Mar 29, 2022
- Individual RAUM · $222M to $171MJul 28, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $3.0M to $3.2MJul 28, 2021 to Mar 29, 2022
- Pension RAUM · $15.0M to $1,411Jul 28, 2021 to Mar 29, 2022
- RAUM · $827M to $1.0BJul 28, 2021 to Mar 29, 2022
Signals
17 dated events
- D•••• H••••• S••••• left S•• W••••• M••••••••• for C••••• P••••••• L•• (registered 2024-10-01)Nov 25, 2024 · Advisor changed firm · fact
- C••••• M•••••• S••••••• left S•• W••••• M••••••••• for C••••• P••••••• L•• (registered 2024-10-01)Nov 25, 2024 · Advisor changed firm · fact
- S•••• G•••••• H••••• left S•• W••••• M••••••••• for L•• F•••••••• L•• (registered 2000-11-16)Nov 25, 2024 · Advisor changed firm · fact
- A••••• K••• F•••••• left S•• W••••• M••••••••• for C••••• P••••••• L•• (registered 2024-10-01)Nov 25, 2024 · Advisor changed firm · fact
- P•••••• B•••• M••••• left S•• W••••• M••••••••• for L•• F•••••••• L•• (registered 2000-11-16)Nov 25, 2024 · Advisor changed firm · fact
- S•••• B••••••• D••••• left S•• W••••• M••••••••• for C••••• P••••••• L•• (registered 2024-10-01)Nov 25, 2024 · Advisor changed firm · fact
- E••• N• P•••• left S•• W••••• M••••••••• for L•• F•••••••• L•• (registered 2014-02-13)Nov 25, 2024 · Advisor changed firm · fact
- K•••• R••••• S••••• left S•• W••••• M••••••••• for C••••• P••••••• L•• (registered 2024-10-01)Nov 25, 2024 · Advisor changed firm · fact
- S•• W••••• M•••••••••'s advisors moved to C••••• P••••••• L•• (Indianapolis, IN): 5 of 8 registered, on the same dayNov 25, 2024 · Firm absorbed (people side) · derived
- 3 advisors left S•• W••••• M••••••••• (Indianapolis, IN) for L•• F•••••••• L•• on the same dayNov 25, 2024 · Team lift-out · derived
- E Matthew Corey (Chief Compliance Officer) no longer on Schedule A of S•• W••••• M••••••••• (listed 2024-03-27, absent 2024-09-30)Sep 30, 2024 · Control person left · inference
- A••••• T••••••• H•••••• left S•• W••••• M••••••••• for Lido (registered 2024-02-26)Mar 6, 2024 · Advisor changed firm · fact
- S••••• M••••• left S•• W••••• M••••••••• for N••••••••• M••••• I••••••••• S••••••••• (registered 2023-11-01)Sep 25, 2023 · Advisor changed firm · fact
- M•••••• R••••• M•••••• left S•• W••••• M••••••••• for A•••• W••••• A••••••• (registered 2023-09-19)Aug 31, 2023 · Advisor changed firm · fact
- E Matthew Corey (Chief Compliance Officer) appeared on Schedule A of S•• W••••• M•••••••••Jun 17, 2022 · Control person joined · fact
- S•• W••••• M••••••••• reported RAUM $688.6M, up 29% from $534.6M (2019-03-28 to 2020-03-26)Mar 26, 2020 · RAUM change · derived
- S•• W••••• M••••••••• filed its initial SEC registration (Form ADV)May 20, 2013 · First SEC registration · fact
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