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••••• H••• F•••••••• P•••••••• L••
Latest filing Apr 22, 2026
First filing on the tape Jun 3, 2018 · 38 filings
SEC status approved since Jul 5, 2018
RAUM
$128M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$127M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$42.7M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$128M as of Apr 22, 2026
Mar 31, 2019$121M then
HNW client RAUM$52.0M as of Apr 22, 2026
Mar 31, 2019$26.0M then
State-registered IARs (5.B.3)3 as of Apr 22, 2026
Mar 31, 20195 then
Employees (5.A)5 as of Apr 22, 2026
Mar 31, 20195 then
Private funds: no history
RAUM -65% over the last fiscal year-19% a year over threeIARs 5 to 3
Practice profile
derived from the filing of Apr 22, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $42.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 162derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $178,522derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -65%derivedbetween the last two annual amendments
- Advisor growth, one year
- -40%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -56%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publicationsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$74.6M58%
- High-net-worth individuals$52.0M41%
- Charitable organizations$685,0000.5%
- Corporations and businesses$595,0000.5%
- Pension and profit-sharing plans$145,0000.1%
- Individual clients
- 439reported
- HNW clients
- 46reported
- Pension plan clients
- 2reported
- Charitable clients
- 1reported
- Accounts
- 717reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• W•••••• S••••• | Sebring, Fl | Oct 22, 2012 | 29 y | 3 |
| G••••• D•••• L••••• | Sebring, Fl | Oct 22, 2012 | 23 y | 4 |
| P•••••• W•••• S•••••• | Sebring, Fl | Jun 14, 2024 | 28 y | 1 |
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 headcount2 left over 36 months
Left, latest
- M•••••• D••••• F•••• to M•••• F•••••••• A•••••••Aug 14, 2025 · RIA to RIA
- M•••••• L•••• W••••• to S••• R••••••••• S•••••••••Dec 31, 2024 · RIA to a state-registered adviser
Joined, latest
- P•••••• W•••• S•••••• from S•••••• F•••••••• S•••••••• I•••Jun 14, 2024 · Other
- M•••••• D••••• F•••• from W•••• F•••• A•••••••Apr 16, 2018 · Wirehouse to independent RIA
- J••• W•••••• S••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 22, 2012 · Other
- G••••• D•••• L••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 22, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••• M••••••• D••••• · Ownercontrolsince 04/2010 · owns 75% or more of F•••• G•••••• L••
- L•••••• G•••••• D•••• · Ownercontrolsince 10/2015 · owns 75% or more of L••••• C••••••• I•••
- S•••••• J•••• W•••••• · Ownercontrolsince 05/2018 · owns 75% or more of J••• 3••• L••
- S•••••• L••••• M•••••• · Chief Compliance Officersince 08/2024 · owns less than 5%
Entity owners
- F•••• G•••••• L•• · Ownerdirect · owns 50% to 75%
- J••• 3••• L•• · Ownerdirect · owns 10% to 25%
- L••••• C••••••• I••• · Ownerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- H•••••••• T•• A•• A••••••••• L••insurancen
- P••••••• F••••••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Sebring, Fl · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- client count collapseChange between filings · filing Apr 22, 2026individual and HNW clients (Item 5.D) moved from 1,103.0 to 485.0 (-56.0%) between the annual amendments of 2025-03-28 and 2026-04-22; the peer median change was +3.0% (3309 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 1.2% percentile
- account count collapseChange between filings · filing Apr 22, 2026accounts (Item 5.F.2.f) moved from 1,119.0 to 717.0 (-36.0%) between the annual amendments of 2025-03-28 and 2026-04-22; the peer median change was +5.0% (3686 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,686) · 4.5% percentile
- employee count dropChange between filings · filing Apr 22, 2026employees (Item 5.A) moved from 10.0 to 5.0 (-50.0%) between the annual amendments of 2025-03-28 and 2026-04-22; the peer median change was 0.0% (506 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (506) · 2.4% percentile
- advisor count dropChange between filings · filing Apr 22, 2026advisory representatives (Item 5.B.3) moved from 5.0 to 3.0 (-40.0%) between the annual amendments of 2025-03-28 and 2026-04-22; the peer median change was 0.0% (965 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 2.6% percentile
- RAUM down 50 %Change between filings · filing Apr 22, 2026RAUM (Item 5.F) moved from $364,118,989 to $128,000,000 (-65.0%) between the annual amendments of 2025-03-28 and 2026-04-22; the peer median change was +15.0% (4549 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 0.2% percentile
What changed
consecutive filings, newest first
- Accounts · 1,119 to 717Mar 28, 2025 to Feb 20, 2026
- Advisory employees · 5 to 3Mar 28, 2025 to Feb 20, 2026
- Charity clients · 5 to 1Mar 28, 2025 to Feb 20, 2026
- Corporate clients · 9 to 5Mar 28, 2025 to Feb 20, 2026
- HNW clients · 78 to 46Mar 28, 2025 to Feb 20, 2026
- Individual clients · 1,025 to 439Mar 28, 2025 to Feb 20, 2026
- Pooled vehicle clients · unset to 0.0Mar 28, 2025 to Feb 20, 2026
- Employees · 10 to 5Mar 28, 2025 to Feb 20, 2026
- State-registered IARs · 5 to 3Mar 28, 2025 to Feb 20, 2026
- Discretionary RAUM · $364M to $128MMar 28, 2025 to Feb 20, 2026
- HNW RAUM · $121M to $52.0MMar 28, 2025 to Feb 20, 2026
- Individual RAUM · $231M to $74.6MMar 28, 2025 to Feb 20, 2026
- Pension RAUM · $149,099 to $145,000Mar 28, 2025 to Feb 20, 2026
- Pooled vehicle RAUM · unset to 0.0Mar 28, 2025 to Feb 20, 2026
- RAUM · $364M to $128MMar 28, 2025 to Feb 20, 2026
- Accounts · 1,492 to 1,119Oct 1, 2024 to Mar 28, 2025
- Advisory activities · 4 to 5Oct 1, 2024 to Mar 28, 2025
- Corporate clients · 10 to 9Oct 1, 2024 to Mar 28, 2025
- HNW clients · 83 to 78Oct 1, 2024 to Mar 28, 2025
- Individual clients · 655 to 1,025Oct 1, 2024 to Mar 28, 2025
- Pension plan clients · unset to 2.0Oct 1, 2024 to Mar 28, 2025
- Employees · 9 to 10Oct 1, 2024 to Mar 28, 2025
- Financial planning clients · 51-100 to 51-100Oct 1, 2024 to Mar 28, 2025
- Discretionary RAUM · $284M to $364MOct 1, 2024 to Mar 28, 2025
- HNW RAUM · $100M to $121MOct 1, 2024 to Mar 28, 2025
- Individual RAUM · $171M to $231MOct 1, 2024 to Mar 28, 2025
- Pension RAUM · unset to 149099.0Oct 1, 2024 to Mar 28, 2025
- RAUM · $284M to $364MOct 1, 2024 to Mar 28, 2025
- Accounts · 1,321 to 1,492Dec 14, 2023 to Mar 25, 2024
- Corporate clients · 5 to 10Dec 14, 2023 to Mar 25, 2024
- HNW clients · 42 to 83Dec 14, 2023 to Mar 25, 2024
- Individual clients · 616 to 655Dec 14, 2023 to Mar 25, 2024
- Financial planning clients · 251-500 to 51-100Dec 14, 2023 to Mar 25, 2024
- Discretionary RAUM · $243M to $284MDec 14, 2023 to Mar 25, 2024
- HNW RAUM · $73.6M to $100MDec 14, 2023 to Mar 25, 2024
- Individual RAUM · $154M to $171MDec 14, 2023 to Mar 25, 2024
- RAUM · $243M to $284MDec 14, 2023 to Mar 25, 2024
- Accounts · 1,186 to 1,321Dec 22, 2022 to Mar 30, 2023
- Charity clients · unset to 5.0Dec 22, 2022 to Mar 30, 2023
- Corporate clients · unset to 5.0Dec 22, 2022 to Mar 30, 2023
Signals
8 dated events
- S••••• H••• F•••••••• P•••••••• L•• reported RAUM $128.0M, down 65% from $364.1M (2025-03-28 to 2026-02-20)Feb 20, 2026 · RAUM change · derived
- M•••••• D••••• F•••• left S••••• H••• F•••••••• P•••••••• L•• for M•••• F•••••••• A••••••• (registered 2025-08-19)Aug 14, 2025 · Advisor changed firm · fact
- M•••••• L•••• W••••• left S••••• H••• F•••••••• P•••••••• L•• for S••• R••••••••• S••••••••• (registered 2024-07-18)Dec 31, 2024 · Advisor changed firm · fact
- Lee Bobbie Cosgrove (Chief Compliance Officer) no longer on Schedule A of S••••• H••• F•••••••• P•••••••• L•• (listed 2024-03-25, absent 2024-05-31)May 31, 2024 · Control person left · inference
- Lee Bobbie Cosgrove (Chief Compliance Officer) appeared on Schedule A of S••••• H••• F•••••••• P•••••••• L••Mar 25, 2024 · Control person joined · fact
- S••••• • L••••• W••••• S•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 30, 2021 · Succession (Item 4) · fact
- Donald Michael Fitch (Chief Compliance Officer) appeared on Schedule A of S••••• H••• F•••••••• P•••••••• L••Oct 10, 2019 · Control person joined · fact
- S••••• • L••••• W••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Jun 3, 2018 · 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 phone
- 863-385-1101reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 863-385-1646reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- swaineandleidel.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 863-385-1101reportedpublic record, Form ADV, Apr 22, 2026
- Contact form
- swaineandleidel.com/contact-usreportedpublished 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
- $42.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026