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••••••••• W••••• M•••••••••
Legal name F••••••• F•••••••• A••••••• L••
Latest filing Jun 8, 2026
First filing on the tape Mar 16, 2012 · 24 filings
SEC status approved since Oct 21, 2021
RAUM
$197M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$190M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$49.3M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$197M as of Jun 8, 2026
Mar 16, 2012$30.0M then
HNW client RAUM$102M as of Jun 8, 2026
Mar 31, 2022$72.3M then
State-registered IARs (5.B.3)3 as of Jun 8, 2026
Mar 16, 20120 then
Employees (5.A)3 as of Jun 8, 2026
Mar 31, 20224 then
Private funds: no history
RAUM +15% over the last fiscal year+14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jun 8, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $49.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $222,622derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 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
- +4.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $270MreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$102M52%
- Individuals$87.6M44%
- Charitable organizations$7.1M3.6%
- Individual clients
- 236reported
- HNW clients
- 54reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 885reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $135M sponsored, $135M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 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 |
|---|---|---|---|---|
| A••• D•••• S•••••••••Certified Financial Planner | Grand Rapids, Mi | Apr 26, 2010 | 24 y | 3 |
| M••• K•••••• B••••••••• | Grand Rapids, Mi | Aug 24, 2021 | 27 y | 3 |
| K••• R• S•••••••••Certified Financial Planner | Grand Rapids, Mi | Jan 1, 2025 | 11 y | 2 |
| E•••• H•••• W•••••Certified Financial Planner | Grand Rapids, Mi | Jul 23, 2025 | 11 y | 3 |
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
- E•••• H•••• W••••• to M••••• P••••••• A•• A•••••••Oct 31, 2022 · Other
- J••• C•••• B••• to C•• A•••••••• L••Apr 20, 2019 · Other
Joined, latest
- K••• R• S••••••••• from F••••••• P••••••• A•• W•••••••• A•••••••Jan 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- M••• K•••••• B••••••••• from M••••• P••••••• A•• A•••••••Aug 24, 2021 · Other
- E•••• H•••• W••••• from M••••• S••••••Jun 8, 2019 · Other
- A••• D•••• S••••••••• from M••••• S•••••• D• I•••Apr 26, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• A•••• D•••• · President/Chief Compliance Officer/Managing Membercontrolsince 06/2007 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Grand Rapids, Mi · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 808 to 885Sep 9, 2025 to Mar 17, 2026
- Charity clients · 3 to 2Sep 9, 2025 to Mar 17, 2026
- HNW clients · 46 to 54Sep 9, 2025 to Mar 17, 2026
- Individual clients · 232 to 236Sep 9, 2025 to Mar 17, 2026
- Pension plan clients · 3.0 to unsetSep 9, 2025 to Mar 17, 2026
- Employees · 4 to 3Sep 9, 2025 to Mar 17, 2026
- Legal name · S••••••••• W••••• M•••••••••, LLC to F••••••• F•••••••• A••••••• L••Sep 9, 2025 to Mar 17, 2026
- Discretionary RAUM · $161M to $197MSep 9, 2025 to Mar 17, 2026
- HNW RAUM · $77.4M to $102MSep 9, 2025 to Mar 17, 2026
- Individual RAUM · $84.4M to $87.6MSep 9, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $10.4M to $0Sep 9, 2025 to Mar 17, 2026
- Pension RAUM · 2961409.0 to unsetSep 9, 2025 to Mar 17, 2026
- RAUM · $171M to $197MSep 9, 2025 to Mar 17, 2026
- Financial planning clients · 26-50 to 26-50Mar 25, 2025 to Jun 30, 2025
- Accounts · 727 to 808Sep 9, 2024 to Mar 25, 2025
- Charity clients · unset to 3.0Sep 9, 2024 to Mar 25, 2025
- HNW clients · 42 to 46Sep 9, 2024 to Mar 25, 2025
- Individual clients · 211 to 232Sep 9, 2024 to Mar 25, 2025
- Pension plan clients · unset to 3.0Sep 9, 2024 to Mar 25, 2025
- Financial planning clients · 101-250 to 26-50Sep 9, 2024 to Mar 25, 2025
- Discretionary RAUM · $142M to $161MSep 9, 2024 to Mar 25, 2025
- HNW RAUM · $54.8M to $77.4MSep 9, 2024 to Mar 25, 2025
- Individual RAUM · $82.9M to $84.4MSep 9, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $2.1M to $10.4MSep 9, 2024 to Mar 25, 2025
- Pension RAUM · unset to 2961409.0Sep 9, 2024 to Mar 25, 2025
- RAUM · $144M to $171MSep 9, 2024 to Mar 25, 2025
- Wrap assets (manager) · $138M to $135MSep 9, 2024 to Mar 25, 2025
- Wrap assets (sponsor) · $138M to $135MSep 9, 2024 to Mar 25, 2025
- Advisory employees · 2 to 3Jan 22, 2024 to Mar 25, 2024
- HNW clients · 54 to 42Jan 22, 2024 to Mar 25, 2024
- Individual clients · 194 to 211Jan 22, 2024 to Mar 25, 2024
- Employees · 5 to 4Jan 22, 2024 to Mar 25, 2024
- State-registered IARs · 0 to 3Jan 22, 2024 to Mar 25, 2024
- Discretionary RAUM · $122M to $142MJan 22, 2024 to Mar 25, 2024
- HNW RAUM · $63.0M to $54.8MJan 22, 2024 to Mar 25, 2024
- Individual RAUM · $61.8M to $82.9MJan 22, 2024 to Mar 25, 2024
- Non-discretionary RAUM · $11.3M to $2.1MJan 22, 2024 to Mar 25, 2024
- Pension RAUM · 3475746.0 to unsetJan 22, 2024 to Mar 25, 2024
- RAUM · $134M to $144MJan 22, 2024 to Mar 25, 2024
- Wrap assets (manager) · unset to 138497937.0Jan 22, 2024 to Mar 25, 2024
Signals
2 dated events
- E•••• H•••• W••••• left S••••••••• W••••• M••••••••• for M••••• P••••••• A•• A••••••• (registered 2021-04-02)Oct 31, 2022 · Advisor changed firm · fact
- S••••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Sep 23, 2021 · 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 email
- info@swmadvisor.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- denise@swmadvisor.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- angie@swmadvisor.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- mk@swmadvisor.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 616-855-2242reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 616-855-2051reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- SWMADVISOR.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 616-855-2051reportedpublic record, Form ADV, Jun 8, 2026
- Contact form
- swmadvisor.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- swmadvisor.com/teamreportedpublished 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
- $49.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026