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•• F•••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Mar 6, 2012 · 23 filings
SEC status approved since Jan 22, 2016
RAUM
$208M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$208M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$52.1M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$208M as of Mar 25, 2026
Mar 6, 2012$68.5M then
HNW client RAUM$201M as of Mar 25, 2026
Mar 25, 2018$105M then
State-registered IARs (5.B.3)4 as of Mar 25, 2026
Mar 6, 20120 then
Employees (5.A)4 as of Mar 25, 2026
Mar 29, 20172 then
Private funds: no history
RAUM +15% over the last fiscal year-1.7% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
- RAUM per advisor
- $52.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 19derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $829,766derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $4.8M, 51 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
- buys or sells securities as principal to or from clients (8.A.2)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$201M97%
- Individuals$6.6M3.2%
- Charitable organizations$246,6690.1%
- Individual clients
- 37reported
- HNW clients
- 40reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 251reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.8M for 51 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••••• A•••• C•••••Personal Financial Specialist | St. Louis, Mo | Dec 19, 2003 | 37 y | 1 |
| S••••• C••••••• S•••••• | St. Louis, Mo | May 12, 2009 | 21 y | 0 |
| J•••• V••••• P••••• | St. Louis, Mo | Dec 13, 2021 | 27 y | 0 |
| W••••• A•••• K•••• | Sunset Hills, Mo | Feb 3, 2025 | 11 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
- J•••• C••••• C••••• to W••••• M•••••••••Sep 3, 2019 · RIA to RIA
Joined, latest
- J•••• C••••• C••••• from K•• W••••• A•••••••Jun 19, 2018 · Other
- K•••••• A•••• C••••• from E•••• F•••••••• S••••••••• I•••Dec 19, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• K••••••• A•••• · Member, Manager & Chief Compliance Officercontrolsince 11/2003 · owns 50% to 75%
- P•••••• J••••• V••••• · Membercontrolsince 08/2017 · owns 25% to 50%
- R••••• K•••••••• D•••• · Membersince 08/2019 · owns 10% to 25%
Related persons
Schedule D 7.A
- S•••• C••••• • C••••••• P•••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| St Louis, Mo | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 25, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 243 to 251Feb 28, 2025 to Mar 25, 2026
- HNW clients · 27 to 40Feb 28, 2025 to Mar 25, 2026
- Individual clients · 40 to 37Feb 28, 2025 to Mar 25, 2026
- Assets in custody · $4.2M to $4.8MFeb 28, 2025 to Mar 25, 2026
- HNW RAUM · $168M to $201MFeb 28, 2025 to Mar 25, 2026
- Individual RAUM · $12.8M to $6.6MFeb 28, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $181M to $208MFeb 28, 2025 to Mar 25, 2026
- RAUM · $181M to $208MFeb 28, 2025 to Mar 25, 2026
- Accounts · 212 to 243Mar 5, 2024 to Feb 28, 2025
- Advisory employees · 1 to 2Mar 5, 2024 to Feb 28, 2025
- HNW clients · 25 to 27Mar 5, 2024 to Feb 28, 2025
- Individual clients · 43 to 40Mar 5, 2024 to Feb 28, 2025
- Assets in custody · $4.1M to $4.2MMar 5, 2024 to Feb 28, 2025
- Financial planning clients · 1-10 to 1-10Mar 5, 2024 to Feb 28, 2025
- State-registered IARs · 3 to 4Mar 5, 2024 to Feb 28, 2025
- HNW RAUM · $150M to $168MMar 5, 2024 to Feb 28, 2025
- Individual RAUM · $11.8M to $12.8MMar 5, 2024 to Feb 28, 2025
- Non-discretionary RAUM · $162M to $181MMar 5, 2024 to Feb 28, 2025
- RAUM · $162M to $181MMar 5, 2024 to Feb 28, 2025
- Accounts · 248 to 212Oct 6, 2023 to Mar 1, 2024
- HNW clients · 29 to 25Oct 6, 2023 to Mar 1, 2024
- Individual clients · 42 to 43Oct 6, 2023 to Mar 1, 2024
- Assets in custody · $9.5M to $4.1MOct 6, 2023 to Mar 1, 2024
- HNW RAUM · $206M to $150MOct 6, 2023 to Mar 1, 2024
- Individual RAUM · $13.5M to $11.8MOct 6, 2023 to Mar 1, 2024
- Non-discretionary RAUM · $220M to $162MOct 6, 2023 to Mar 1, 2024
- RAUM · $220M to $162MOct 6, 2023 to Mar 1, 2024
- Assets in custody · unset to 9500000.0Mar 23, 2023 to Oct 6, 2023
- Custody of client assets · false to trueMar 23, 2023 to Oct 6, 2023
- Accounts · 223 to 248Mar 29, 2022 to Mar 23, 2023
- Individual clients · 36 to 42Mar 29, 2022 to Mar 23, 2023
- HNW RAUM · $209M to $206MMar 29, 2022 to Mar 23, 2023
- Individual RAUM · $11.0M to $13.5MMar 29, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $221M to $220MMar 29, 2022 to Mar 23, 2023
- RAUM · $221M to $220MMar 29, 2022 to Mar 23, 2023
- Accounts · 199 to 223May 27, 2021 to Mar 29, 2022
- HNW clients · 32 to 29May 27, 2021 to Mar 29, 2022
- Individual clients · 27 to 36May 27, 2021 to Mar 29, 2022
- State-registered IARs · 2 to 3May 27, 2021 to Mar 29, 2022
- HNW RAUM · $175M to $209MMay 27, 2021 to Mar 29, 2022
Signals
3 dated events
- Wade Earl Swink (Member & Manager) no longer on Schedule A of S•• F•••••••• L•• (listed 2020-06-30, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Patrick David Smith (Member) no longer on Schedule A of S•• F•••••••• L•• (listed 2019-03-27, absent 2019-09-27)Sep 27, 2019 · Control person left · inference
- S•• F•••••••• L•• filed its initial SEC registration (Form ADV)Jan 11, 2016 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 314-842-2001reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-681-4959reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- sfcfin.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 314-842-2001reportedpublic record, Form ADV, Mar 25, 2026
- Team page
- sfcfin.com/team-member-01/ken-coplenreportedpublished 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
- $52.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026