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•••

Independent wealth managerEdwardsville, IllinoisCRD 149976SEC 801-113986websiteIAPD
Latest filing Aug 13, 2026
First filing on the tape Aug 15, 2018 · 31 filings
SEC status approved since Sep 17, 2018
RAUM
$412M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$408M individuals and HNW
Advisors
13
registered through the firm on IAPD
RAUM per advisor
$31.7M
derived; firm RAUM over IAPD count
Employees
21
7 advisory (5.B.1)
Offices
9
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$412M as of Aug 13, 2026
Mar 26, 2019$110M then
HNW client RAUM$101M as of Aug 13, 2026
Mar 26, 2019$13.0M then
State-registered IARs (5.B.3)7 as of Aug 13, 2026
Mar 26, 20194 then
Employees (5.A)21 as of Aug 13, 2026
Mar 26, 20199 then
Private funds: no history
RAUM +31% over the last fiscal year+20% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Aug 13, 2026; every figure names its basis
Archetypes, each a printed rule
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
RAUM per advisor
$31.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
116derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$126,545derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
1.3derived10 offices incl. principal (1.F.5)
RAUM growth, one year
+31%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
Custody
$31.2M, 163 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)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$306M74%
  • High-net-worth individuals$101M25%
  • Corporations and businesses$4.0M1.0%
  • Pension and profit-sharing plans$840.0%
Individual clients
1,461reported
HNW clients
49reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3,253reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$31.2M for 163 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
13 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
C••• A• S•••••Edwardsville, IlMay 29, 200922 y3
C••• A••••• T••••Edwardsville, IlMay 29, 200920 y1
C••••••••• J•••• D•••••Edwardsville, IlMar 1, 201215 y0
N••••••• W•••Edwardsville, IlApr 3, 201413 y0
R••••• W•••••• S•••Edwardsville, IlJun 1, 201813 y0
J•••••• L••• C•••••Fort Walton Beach, FlSep 28, 202221 y2
C••••• J••••• B••••Edwardsville, IlJul 3, 202320 y0
A•••• P•••••• K••••Edwardsville, IlMar 25, 202420 y0
J••••• O••Edwardsville, IlDec 19, 202413 y0
A•••••• E• P••••Edwardsville, Il Mar 2, 202626 y1
J••••••• C•••••••• C•••••Edwardsville, Il Mar 2, 202610 y1
B•••• A•••• W•••••••Edwardsville, IlApr 10, 202620 y0
H••••• L•••••• S••••Fort Walton Beach, Fl Jul 24, 202611 y0
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • S•••••• C•••• A• · Presidentcontrol
    since 04/2009 · owns 75% or more
  • T••••• C•••• A••••• · Chief Compliance Officercontrol
    since 01/2016 · owns less than 5%
Related persons
Schedule D 7.A
  • C••• S•••••
    real estaten
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Edwardsville, Il · principal1240
Fort Walton Beach, Fl320
Offices
Schedule D 1.F, the 25 largest
  • Bloomington, IL4 employees
  • Jacksonville, IL4 employees
  • Springfield, IL4 employees
  • St. Louis, MO4 employees
  • Miramar Beach, FL3 employees
  • Bonita Springs, FL3 employees
  • Fort Walton Beach, FL3 employees
  • Panama City Beach, FL3 employees
What changed
consecutive filings, newest first
  • Accounts · 2,992 to 3,253
    Dec 3, 2025 to Mar 25, 2026
  • HNW clients · unset to 49.0
    Dec 3, 2025 to Mar 25, 2026
  • Individual clients · 1,362 to 1,461
    Dec 3, 2025 to Mar 25, 2026
  • Pension plan clients · 33.0 to unset
    Dec 3, 2025 to Mar 25, 2026
  • Assets in custody · $25.5M to $31.2M
    Dec 3, 2025 to Mar 25, 2026
  • Discretionary RAUM · $315M to $412M
    Dec 3, 2025 to Mar 25, 2026
  • HNW RAUM · unset to 101454885.0
    Dec 3, 2025 to Mar 25, 2026
  • Individual RAUM · $305M to $306M
    Dec 3, 2025 to Mar 25, 2026
  • Pension RAUM · $6.5M to $84
    Dec 3, 2025 to Mar 25, 2026
  • RAUM · $315M to $412M
    Dec 3, 2025 to Mar 25, 2026
  • Employees · 23 to 21
    Nov 20, 2024 to Mar 21, 2025
  • Accounts · 2,827 to 2,992
    Nov 20, 2024 to Mar 21, 2025
  • Advisory employees · 6 to 7
    Nov 20, 2024 to Mar 21, 2025
  • Individual clients · 1,285 to 1,362
    Nov 20, 2024 to Mar 21, 2025
  • Pension plan clients · 28 to 33
    Nov 20, 2024 to Mar 21, 2025
  • Assets in custody · $6.5M to $25.5M
    Nov 20, 2024 to Mar 21, 2025
  • Financial planning clients · 251-500 to 251-500
    Nov 20, 2024 to Mar 21, 2025
  • State-registered IARs · 6 to 7
    Nov 20, 2024 to Mar 21, 2025
  • Other offices · 8 to 9
    Nov 20, 2024 to Mar 21, 2025
  • Discretionary RAUM · $268M to $315M
    Nov 20, 2024 to Mar 21, 2025
  • Individual RAUM · $261M to $305M
    Nov 20, 2024 to Mar 21, 2025
  • Pension RAUM · $5.0M to $6.5M
    Nov 20, 2024 to Mar 21, 2025
  • RAUM · $268M to $315M
    Nov 20, 2024 to Mar 21, 2025
  • Accounts · 2,995 to 2,827
    Dec 7, 2023 to Mar 20, 2024
  • Advisory employees · 5 to 6
    Dec 7, 2023 to Mar 20, 2024
  • Individual clients · 1,435 to 1,285
    Dec 7, 2023 to Mar 20, 2024
  • Pension plan clients · 22 to 28
    Dec 7, 2023 to Mar 20, 2024
  • Assets in custody · $3.6M to $6.5M
    Dec 7, 2023 to Mar 20, 2024
  • Employees · 21 to 23
    Dec 7, 2023 to Mar 20, 2024
  • State-registered IARs · 5 to 6
    Dec 7, 2023 to Mar 20, 2024
  • Other offices · 9 to 8
    Dec 7, 2023 to Mar 20, 2024
  • Discretionary RAUM · $241M to $268M
    Dec 7, 2023 to Mar 20, 2024
  • Individual RAUM · $236M to $261M
    Dec 7, 2023 to Mar 20, 2024
  • Pension RAUM · $3.9M to $5.0M
    Dec 7, 2023 to Mar 20, 2024
  • RAUM · $241M to $268M
    Dec 7, 2023 to Mar 20, 2024
  • Other offices · 8 to 9
    Jul 27, 2023 to Nov 8, 2023
  • Accounts · 2,253 to 2,995
    Dec 19, 2022 to Mar 31, 2023
  • HNW clients · 20.0 to unset
    Dec 19, 2022 to Mar 31, 2023
  • Individual clients · 916 to 1,435
    Dec 19, 2022 to Mar 31, 2023
  • Pension plan clients · unset to 22.0
    Dec 19, 2022 to Mar 31, 2023
Signals
3 dated events
  • L•• J••••• N••••••• left S••••• F••••••••• L••• for I•• W••••• M••••••••• I••• (registered 2025-03-13)
    Feb 17, 2025 · Advisor changed firm · fact
  • J••• R• M••••••• left S••••• F••••••••• L••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-12-19)
    Nov 17, 2023 · Advisor changed firm · fact
  • S••••• F••••••••• L••• filed its initial SEC registration (Form ADV)
    Aug 15, 2018 · ria f•••• adv filing · 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
office@slaglefinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
Business phone
888-294-9248reportedpublished by the firm, firm site, Sep 15, 2026
Business phone
888-294-9240reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile
linkedin.com/company/slagle-financialreportedpublic record, Form ADV, Sep 18, 2026
Website
S•••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
618-692-1657reportedpublic record, Form ADV, Aug 13, 2026
Contact form
slaglefinancial.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
Team page
slaglefinancial.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
$31.7Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026