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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S••••••• C••••• • E•••• W••••• M••••••••• L••
Latest filing Jan 29, 2026
First filing on the tape Jan 24, 2012 · 26 filings
SEC status approved since Feb 15, 2012
RAUM
$706M
reported, Item 5.F
Discretionary
13%
of RAUM
Private clients
89%
$627M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$118M
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$706M as of Jan 29, 2026
Feb 13, 2013$153M then
HNW client RAUM$439M as of Jan 29, 2026
Feb 8, 2018$75.0M then
State-registered IARs (5.B.3)6 as of Jan 29, 2026
Feb 13, 20130 then
Employees (5.A)10 as of Jan 29, 2026
Feb 13, 20136 then
Private funds: no history
RAUM +13% over the last fiscal year+15% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Jan 29, 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
- $118MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 92derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $342,089derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 13%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $683MreportedItem 5.I
- Custody
- $202M, 307 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$439M62%
- Individuals$188M27%
- Pension and profit-sharing plans$56.0M7.9%
- Charitable organizations$23.2M3.3%
- Individual clients
- 394reported
- HNW clients
- 155reported
- Pension plan clients
- 13reported
- Charitable clients
- 9reported
- Accounts
- 2,063reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $3.0M sponsored, $0 managedreported
- Custody of client assets
- $202M for 307 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• K•• L•••• | Springfield, Il | Feb 15, 2012 | 32 y | 2 |
| J•••• D•••• C•••••Certified Financial Planner | Monroe, Tn | Feb 15, 2012 | 35 y | 1 |
| R••• J•• E•••• | Springfield, Il | Feb 15, 2012 | 25 y | 1 |
| L••••••• J• D••••• | Springfield, Il | Mar 6, 2012 | 26 y | 1 |
| N••• S•••••• | Springfield, Il | Jan 3, 2023 | 10 y | 1 |
| D•••••• L•• S••••••Certified Financial Planner | Springfield, Il | Apr 10, 2025 | 27 y | 2 |
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
none on the tape
Joined, latest
- D•••••• L•• S•••••• from N•• A•••••• S•••••••• L••Apr 10, 2025 · Other
- N••• S•••••• from S••••• F••••••••Jan 3, 2023 · RIA to RIA
- L••••••• J• D••••• from L••••••• P••••••• I•• L••Mar 6, 2012 · Other
- M•••••• K•• L•••• from N•• A•••••• S•••••••• L••Feb 15, 2012 · Other
- J•••• D•••• C••••• from N•• A•••••• S•••••••• L••Feb 15, 2012 · Other
- R••• J•• E•••• from N•• A•••••• S•••••••• L••Feb 15, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• J••••• D•••• · Managing Membercontrolsince 01/2012 · owns 25% to 50%
- E••••• R•••• J•• · Managing Member & Chief Compliance Officercontrolsince 01/2012 · owns 25% to 50%
- S••••••• D••••••• L•• · Managing Membercontrolsince 01/2012 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Springfield, Il · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,974 to 2,063Oct 28, 2025 to Jan 29, 2026
- HNW clients · 143 to 155Oct 28, 2025 to Jan 29, 2026
- Individual clients · 391 to 394Oct 28, 2025 to Jan 29, 2026
- Pension plan clients · 10 to 13Oct 28, 2025 to Jan 29, 2026
- Assets in custody · $118M to $202MOct 28, 2025 to Jan 29, 2026
- Discretionary RAUM · $73.5M to $88.6MOct 28, 2025 to Jan 29, 2026
- HNW RAUM · $392M to $439MOct 28, 2025 to Jan 29, 2026
- Individual RAUM · $175M to $188MOct 28, 2025 to Jan 29, 2026
- Non-discretionary RAUM · $550M to $617MOct 28, 2025 to Jan 29, 2026
- Pension RAUM · $35.9M to $56.0MOct 28, 2025 to Jan 29, 2026
- RAUM · $624M to $706MOct 28, 2025 to Jan 29, 2026
- Wrap assets (sponsor) · $2.4M to $3.0MOct 28, 2025 to Jan 29, 2026
- Accounts · 1,848 to 1,974Feb 22, 2024 to Feb 6, 2025
- Charity clients · 12 to 9Feb 22, 2024 to Feb 6, 2025
- HNW clients · 139 to 143Feb 22, 2024 to Feb 6, 2025
- Individual clients · 385 to 391Feb 22, 2024 to Feb 6, 2025
- Pension plan clients · 15 to 10Feb 22, 2024 to Feb 6, 2025
- Assets in custody · $160M to $118MFeb 22, 2024 to Feb 6, 2025
- Employees · 6 to 10Feb 22, 2024 to Feb 6, 2025
- Financial planning clients · 1-10 to 1-10Feb 22, 2024 to Feb 6, 2025
- Discretionary RAUM · $476M to $73.5MFeb 22, 2024 to Feb 6, 2025
- HNW RAUM · $176M to $392MFeb 22, 2024 to Feb 6, 2025
- Individual RAUM · $303M to $175MFeb 22, 2024 to Feb 6, 2025
- Non-discretionary RAUM · $63.3M to $550MFeb 22, 2024 to Feb 6, 2025
- Pension RAUM · $40.0M to $35.9MFeb 22, 2024 to Feb 6, 2025
- RAUM · $539M to $624MFeb 22, 2024 to Feb 6, 2025
- Wrap assets (sponsor) · $2.2M to $2.4MFeb 22, 2024 to Feb 6, 2025
- Accounts · 1,726 to 1,848Mar 9, 2023 to Feb 22, 2024
- Charity clients · 9 to 12Mar 9, 2023 to Feb 22, 2024
- HNW clients · 128 to 139Mar 9, 2023 to Feb 22, 2024
- Individual clients · 382 to 385Mar 9, 2023 to Feb 22, 2024
- Pension plan clients · 16 to 15Mar 9, 2023 to Feb 22, 2024
- Assets in custody · $148M to $160MMar 9, 2023 to Feb 22, 2024
- Discretionary RAUM · $48.4M to $476MMar 9, 2023 to Feb 22, 2024
- HNW RAUM · $271M to $176MMar 9, 2023 to Feb 22, 2024
- Individual RAUM · $137M to $303MMar 9, 2023 to Feb 22, 2024
- Non-discretionary RAUM · $415M to $63.3MMar 9, 2023 to Feb 22, 2024
- Pension RAUM · $35.5M to $40.0MMar 9, 2023 to Feb 22, 2024
- RAUM · $463M to $539MMar 9, 2023 to Feb 22, 2024
- Wrap assets (sponsor) · $2.0M to $2.2MMar 9, 2023 to Feb 22, 2024
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.
How to reach
public business contact points only, each with its source
- Business phone
- 217-753-4020reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 888-680-4020reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- w••.s••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 217-753-4020reportedpublic record, Form ADV, Jan 29, 2026
- Team page
- s••••••••.comreportedpublished 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
- $118Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026