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••• I••••••••• A••••••• S••••••• L••
Latest filing Sep 3, 2026
First filing on the tape Dec 23, 2011 · 26 filings
SEC status approved since Sep 1, 2011
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$0 as of Mar 24, 2026
Mar 30, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 24, 2026
Mar 30, 20120 then
Employees (5.A)9 as of Mar 24, 2026
Apr 1, 20137 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 4offices 0 to 3
Practice profile
derived from the filing of Sep 3, 2026; every figure names its basis
Archetypes, each a printed rule
- retirement p••• adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- unknownderivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 1.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- pension consulting, educational seminarsreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
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
- 2,111reported
- Charitable clients
- n/areported
- Accounts
- n/areported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••••• D•••• F••••••• | Austin, Tx | Sep 9, 2011 | 26 y | 3 |
| B•••• C••••••••• A•••••• | Austin, Tx | Dec 21, 2012 | 24 y | 3 |
| S••• R••••• M•••••• | Austin, Tx | Jan 4, 2013 | 26 y | 2 |
| M••• D••••• M••••• | Austin, Tx | Feb 6, 2024 | 25 y | 3 |
| I•• T• J•••• | Austin, Tx | Apr 15, 2026 | 13 y | 2 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount1 left over 36 months
Left, latest
- A••••• E••••• R•••••• to M•••••• P••• A•••••••Mar 19, 2026 · Other
- M••• K•••••• D•••••• to K••••• A••••••• S•••••••• L••Jun 14, 2022 · Other
- N••••••• D•••• I•••• to E••••• J••••Mar 3, 2021 · Other
- D••• V•• D••• to E••••• J••••Feb 2, 2021 · Other
- N••••• J••• S•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Sep 26, 2012 · Other
Joined, latest
- I•• T• J•••• from F•••••••Apr 15, 2026 · Other
- M••• D••••• M••••• from C••••••• P•••••••Feb 6, 2024 · Other
- A••••• E••••• R•••••• from P•••••••• F•••••••• P•••••••• L••Jul 9, 2021 · Other
- N••••••• D•••• I•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 11, 2018 · Other
- B•••• C••••••••• A•••••• from P•••• W•••••• L••Dec 21, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• R••••••• T••••••• · Chief Executive Officer/ Managing Membercontrolsince 03/2011 · owns less than 5%
- A••••• C••••••• E••••••• · Managing Membercontrolsince 03/2011 · owns 50% to 75% of S•••••••• B••••••• C•••••••••
- D•••••• G•••• L•• · Managing Membercontrolsince 03/2011 · owns 50% to 75% of S•••••••• B••••••• C•••••••••
- B••••••••• C••••••••• J••• · Ccosince 11/2022 · owns less than 5%
Entity owners
- S•••••••• B••••••• C••••••••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- S••• I••••••••• C••••••investment advisernRAUM $256M
- S••• I••••••••• S•••••••• L••broker-dealern
Advisers that list S••• I••••••••• A••••••• S••••••• L•• as a related person
- 140994 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Austin, Tx · principal | 5 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0.0 to unsetMar 24, 2026 to Sep 3, 2026
- Financial planning clients · to unsetMar 24, 2026 to Sep 3, 2026
- Discretionary RAUM · 0.0 to unsetMar 24, 2026 to Sep 3, 2026
- Non-discretionary RAUM · 0.0 to unsetMar 24, 2026 to Sep 3, 2026
- RAUM · 0.0 to unsetMar 24, 2026 to Sep 3, 2026
- Succession · false to unsetMar 24, 2026 to Sep 3, 2026
- Advisory employees · 7 to 6Nov 12, 2025 to Mar 24, 2026
- Pension plan clients · 2,165 to 2,111Nov 12, 2025 to Mar 24, 2026
- Financial planning clients · 0 to Nov 12, 2025 to Mar 24, 2026
- State-registered IARs · 0 to 4Nov 12, 2025 to Mar 24, 2026
- Other offices · 0 to 3Nov 12, 2025 to Mar 24, 2026
- Financial planning clients · 0 to 0Jul 23, 2025 to Nov 12, 2025
- Accounts · unset to 0.0Mar 26, 2024 to Mar 30, 2025
- Pension plan clients · 57 to 2,165Mar 26, 2024 to Mar 30, 2025
- Discretionary RAUM · unset to 0.0Mar 26, 2024 to Mar 30, 2025
- Non-discretionary RAUM · unset to 0.0Mar 26, 2024 to Mar 30, 2025
- RAUM · unset to 0.0Mar 26, 2024 to Mar 30, 2025
- Pension plan clients · 63 to 57Mar 28, 2023 to Mar 26, 2024
- Employees · 8 to 9Mar 28, 2023 to Mar 26, 2024
- Advisory employees · 8 to 7Jan 6, 2023 to Mar 28, 2023
- Pension plan clients · 1,915 to 63Jan 6, 2023 to Mar 28, 2023
- Employees · 9 to 8Jan 6, 2023 to Mar 28, 2023
- State-registered IARs · 6 to 0Jan 6, 2023 to Mar 28, 2023
- Advisory employees · 7 to 8Mar 19, 2021 to Feb 25, 2022
- Employees · 8 to 9Mar 19, 2021 to Feb 25, 2022
- State-registered IARs · 5 to 6Mar 19, 2021 to Feb 25, 2022
- Advisory employees · 8 to 7Jun 24, 2020 to Mar 19, 2021
- Pension plan clients · 1,958 to 1,915Jun 24, 2020 to Mar 19, 2021
- Employees · 9 to 8Jun 24, 2020 to Mar 19, 2021
- State-registered IARs · 8 to 5Jun 24, 2020 to Mar 19, 2021
- Advisory employees · 7 to 8Mar 26, 2019 to Mar 24, 2020
- Pension plan clients · 2,172 to 1,958Mar 26, 2019 to Mar 24, 2020
- State-registered IARs · 7 to 8Mar 26, 2019 to Mar 24, 2020
- Advisory employees · 6 to 7Feb 4, 2019 to Mar 26, 2019
- Pension plan clients · 2,357 to 2,172Feb 4, 2019 to Mar 26, 2019
- Employees · 8 to 9Feb 4, 2019 to Mar 26, 2019
- State-registered IARs · 6 to 7Feb 4, 2019 to Mar 26, 2019
- Advisory employees · 5 to 6Jan 30, 2018 to Mar 21, 2018
- Pension plan clients · unset to 2357.0Jan 30, 2018 to Mar 21, 2018
- Employees · 7 to 8Jan 30, 2018 to Mar 21, 2018
Signals
5 dated events
- A••••• E••••• R•••••• left S••• I••••••••• A••••••• S••••••• L•• for M•••••• P••• A••••••• (registered 2024-05-22)Mar 19, 2026 · Advisor changed firm · fact
- M••• K•••••• D•••••• left S••• I••••••••• A••••••• S••••••• L•• for K••••• A••••••• S•••••••• L•• (registered 2022-06-16)Jun 14, 2022 · Advisor changed firm · fact
- Marion Carl Rizzo (Chief Compliance Officer) no longer on Schedule A of S••• I••••••••• A••••••• S••••••• L•• (listed 2020-03-24, absent 2020-06-24)Jun 24, 2020 · Control person left · inference
- Ann Marie Swanson (Chief Compliance Officer) no longer on Schedule A of S••• I••••••••• A••••••• S••••••• L•• (listed 2019-02-04, absent 2019-03-26)Mar 26, 2019 · Control person left · inference
- Marion Carl Rizzo (Chief Compliance Officer) appeared on Schedule A of S••• I••••••••• A••••••• S••••••• L••Mar 26, 2019 · Control person joined · 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
- Website
- swbc.com/institutional-practicereportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 717.816.4162reportedpublic record, Form ADV, Sep 3, 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
- No RAUM reportedderiveda 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