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••••• L••
Latest filing Jun 17, 2026
First filing on the tape Jun 5, 2019 · 32 filings
SEC status approved since Jul 5, 2019
RAUM
$365M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$362M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$182M
derived; firm RAUM over IAPD count
Employees
17
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$365M as of Jun 17, 2026
Feb 20, 2020$147M then
HNW client RAUM$345M as of Jun 17, 2026
Feb 20, 2020$120M then
State-registered IARs (5.B.3)4 as of Jun 17, 2026
Feb 20, 20201 then
Employees (5.A)17 as of Jun 17, 2026
Feb 20, 20201 then
Private funds1 as of Jun 17, 2026
Jul 25, 20251 then
RAUM +28% over the last fiscal year+29% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jun 17, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $182MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.6MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -18%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
- Custody
- $10.9M, 73 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$345M95%
- Individuals$16.5M4.5%
- Pooled investment vehicles$2.7M0.7%
- Corporations and businesses$11,3430.0%
- Individual clients
- 72reported
- HNW clients
- 40reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 311reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $10.9M for 73 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.99 fund_share=0.01 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• P••• M•••••• R•••••Certified Financial Planner | St. Louis, Mo | Jan 11, 2012 | 23 y | 3 |
| J••••• D••••Certified Financial Planner | St. Louis, Mo | May 29, 2026 | 10 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Left, latest
- E•••• N••••• J•••• to M••• F•••••••• L••• D•••••Apr 17, 2026 · RIA to RIA
- K••••• L•••• L••••• to G•••••••• W••••• M••••••••• L••Dec 5, 2018 · Other
Joined, latest
- E•••• N••••• J•••• from C••••••• P•••••••Feb 13, 2023 · RIA to RIA
- K••••• L•••• L••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Nov 6, 2017 · Other
- S•••••• P••• M•••••• R••••• from G•••••• F•••••••• C••••Jan 11, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••• S••••••• P••• M•••••• · M•••Ging Member And Chief Compliance Officercontrolsince 12/2011 · owns 75% or more
- R•••••• S••••••• P••• M•••••• · Ownercontrolsince 12/2021 · owns 75% or more of S•••••• H••••••• C•••••••••
Entity owners
- S•••••• H••••••• C••••••••• · Ownerdirect · owns less than 5%
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 |
|---|---|---|---|---|---|
| St Louis, Mo | 2 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Jun 17, 2026HNW RAUM per HNW client of $8,634,097 against a peer median of $2,404,040 (4940 comparable advisers, 99.0th percentile, 4.2 robust deviations)peers: independent wealth managers, $100M to $500M (4,940) · 99% percentile
- HNW share shiftChange between filings · filing Feb 11, 2026HNW share of RAUM moved from 95.0% to 79.0% between the annual amendments of 2025-04-09 and 2026-02-11peers: independent wealth managers, $100M to $500M (5,676)
- client mix shiftChange between filings · filing Feb 11, 2026private-client share of RAUM moved from 100.0% to 84.0% between the annual amendments of 2025-04-09 and 2026-02-11peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 312 to 311Feb 11, 2026 to Jun 17, 2026
- Corporate clients · 0 to 1Feb 11, 2026 to Jun 17, 2026
- HNW clients · 32 to 40Feb 11, 2026 to Jun 17, 2026
- Individual clients · 62 to 72Feb 11, 2026 to Jun 17, 2026
- Discretionary RAUM · $364M to $365MFeb 11, 2026 to Jun 17, 2026
- HNW RAUM · $290M to $345MFeb 11, 2026 to Jun 17, 2026
- Individual RAUM · $15.2M to $16.5MFeb 11, 2026 to Jun 17, 2026
- RAUM · $364M to $365MFeb 11, 2026 to Jun 17, 2026
- Accounts · 406 to 312Aug 19, 2025 to Feb 11, 2026
- Advisory activities · 4 to 5Aug 19, 2025 to Feb 11, 2026
- HNW clients · 38 to 32Aug 19, 2025 to Feb 11, 2026
- Individual clients · 77 to 62Aug 19, 2025 to Feb 11, 2026
- Pooled vehicle clients · 0 to 1Aug 19, 2025 to Feb 11, 2026
- Assets in custody · $7.9M to $10.9MAug 19, 2025 to Feb 11, 2026
- Employees · 19 to 17Aug 19, 2025 to Feb 11, 2026
- Discretionary RAUM · $284M to $364MAug 19, 2025 to Feb 11, 2026
- HNW RAUM · $270M to $290MAug 19, 2025 to Feb 11, 2026
- Individual RAUM · $13.8M to $15.2MAug 19, 2025 to Feb 11, 2026
- Pooled vehicle RAUM · $0 to $2.7MAug 19, 2025 to Feb 11, 2026
- RAUM · $284M to $364MAug 19, 2025 to Feb 11, 2026
- Financial planning clients · 26-50 to 26-50Apr 9, 2025 to Jul 25, 2025
- Private funds · unset to 1Apr 9, 2025 to Jul 25, 2025
- Accounts · 297 to 406Jul 31, 2024 to Apr 9, 2025
- Individual clients · 76 to 77Jul 31, 2024 to Apr 9, 2025
- Assets in custody · $4.7M to $7.9MJul 31, 2024 to Apr 9, 2025
- Employees · 12 to 19Jul 31, 2024 to Apr 9, 2025
- Financial planning clients · 51-100 to 26-50Jul 31, 2024 to Apr 9, 2025
- Discretionary RAUM · $218M to $284MJul 31, 2024 to Apr 9, 2025
- HNW RAUM · $201M to $270MJul 31, 2024 to Apr 9, 2025
- Individual RAUM · $17.5M to $13.8MJul 31, 2024 to Apr 9, 2025
- RAUM · $218M to $284MJul 31, 2024 to Apr 9, 2025
- Advisory employees · 5 to 4Mar 15, 2024 to Jul 31, 2024
- Employees · 13 to 12Mar 15, 2024 to Jul 31, 2024
- State-registered IARs · 5 to 4Mar 15, 2024 to Jul 31, 2024
- Accounts · 199 to 297Feb 20, 2024 to Mar 15, 2024
- HNW clients · 40 to 38Feb 20, 2024 to Mar 15, 2024
- Individual clients · 38 to 76Feb 20, 2024 to Mar 15, 2024
- Other offices · 2 to 0Feb 20, 2024 to Mar 15, 2024
- Discretionary RAUM · $170M to $218MFeb 20, 2024 to Mar 15, 2024
- HNW RAUM · $163M to $201MFeb 20, 2024 to Mar 15, 2024
Signals
2 dated events
- E•••• N••••• J•••• left S•••••• W••••• L•• for M••• F•••••••• L••• D••••• (registered 2026-06-11)Apr 17, 2026 · Advisor changed firm · fact
- S•••••• W••••• L•• filed its initial SEC registration (Form ADV)Jun 5, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••••• W••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/11117493reportedpublic record, Form ADV, Sep 18, 2026
- Website
- S••••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 314-222-0295reportedpublic record, Form ADV, Jun 17, 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
- $182Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026