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

Stevens Wealth Management LLC

Former SEC-registered adviserDeerfield, IllinoisCRD 123043SEC 801-61929IAPD
Latest filing Aug 3, 2017
First filing on the tape Nov 14, 2011 · 17 filings
RAUM
$287M
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
7
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$287M as of Jan 20, 2017
Mar 16, 2012$185M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Jan 20, 2017
Mar 16, 20120 then
Employees (5.A)7 as of Jan 20, 2017
Jan 28, 20135 then
Private funds: no history
RAUM +9.9% over the last fiscal year+4.3% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Aug 3, 2017; every figure names its basis
RAUM per advisor
$143MderivedRAUM 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
$527,013derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+9.9%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 individualsreportedItem 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)
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
544reported
Financial planning clients
1-10reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Virginia Susan Stevens · Ceo, Chief Compliance Officercontrol
    since 01/2000 · owns 75% or more
  • A Sara Connelly · Cfo
    since 12/2011 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 504 to 544
    Dec 6, 2016 to Jan 20, 2017
  • Employees · 6 to 7
    Dec 6, 2016 to Jan 20, 2017
  • Discretionary RAUM · $261M to $287M
    Dec 6, 2016 to Jan 20, 2017
  • RAUM · $261M to $287M
    Dec 6, 2016 to Jan 20, 2017
  • Accounts · 470 to 504
    Feb 2, 2015 to Feb 15, 2016
  • Employees · 5 to 6
    Feb 2, 2015 to Feb 15, 2016
  • Discretionary RAUM · $258M to $261M
    Feb 2, 2015 to Feb 15, 2016
  • RAUM · $258M to $261M
    Feb 2, 2015 to Feb 15, 2016
  • Accounts · 508 to 470
    Mar 17, 2014 to Feb 2, 2015
  • Employees · 6 to 5
    Mar 17, 2014 to Feb 2, 2015
  • State-registered IARs · 0 to 2
    Mar 17, 2014 to Feb 2, 2015
  • Discretionary RAUM · $253M to $258M
    Mar 17, 2014 to Feb 2, 2015
  • RAUM · $253M to $258M
    Mar 17, 2014 to Feb 2, 2015
  • Accounts · 111 to 508
    May 6, 2013 to Mar 17, 2014
  • Advisory employees · 1 to 2
    May 6, 2013 to Mar 17, 2014
  • Employees · 5 to 6
    May 6, 2013 to Mar 17, 2014
  • Financial planning clients · 11-25 to 1-10
    May 6, 2013 to Mar 17, 2014
  • Discretionary RAUM · $227M to $253M
    May 6, 2013 to Mar 17, 2014
  • RAUM · $227M to $253M
    May 6, 2013 to Mar 17, 2014
  • Accounts · 106 to 111
    Jan 28, 2013 to Mar 21, 2013
  • Discretionary RAUM · $229M to $227M
    Jan 28, 2013 to Mar 21, 2013
  • RAUM · $229M to $227M
    Jan 28, 2013 to Mar 21, 2013
  • Accounts · 97 to 106
    Oct 11, 2012 to Jan 28, 2013
  • Advisory employees · unset to 1.0
    Oct 11, 2012 to Jan 28, 2013
  • Employees · unset to 5.0
    Oct 11, 2012 to Jan 28, 2013
  • Discretionary RAUM · $185M to $229M
    Oct 11, 2012 to Jan 28, 2013
  • RAUM · $185M to $229M
    Oct 11, 2012 to Jan 28, 2013
  • Accounts · 103 to 97
    Jan 10, 2012 to Mar 16, 2012
  • Discretionary RAUM · $171M to $185M
    Jan 10, 2012 to Mar 16, 2012
  • RAUM · $171M to $185M
    Jan 10, 2012 to Mar 16, 2012
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