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.

SEC-registered adviser

Strategic Wealth Investment Group, LLC

Independent wealth managerLouisville, KentuckyCRD 165474SEC 801-117642websiteIAPD
Latest filing Mar 23, 2026
First filing on the tape Oct 16, 2019 · 56 filings
SEC status approved since Nov 14, 2019
RAUM
$1.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.4B individuals and HNW
Advisors
32
registered through the firm on IAPD
RAUM per advisor
$43.3M
derived; firm RAUM over IAPD count
Employees
88
41 advisory (5.B.1)
Offices
19
beyond the principal office
Private funds
0
reported on Schedule D
History
56 filings and snapshots on the tape
RAUM$1.4B as of Mar 23, 2026
Jan 28, 2020$133M then
HNW client RAUM$472M as of Mar 23, 2026
Jan 28, 2020$21.0M then
State-registered IARs (5.B.3)32 as of Mar 23, 2026
Jan 28, 202011 then
Employees (5.A)88 as of Mar 23, 2026
Jan 28, 202022 then
Private funds: no history
RAUM +25% over the last fiscal year+30% a year over threeIARs 32 to 32offices 17 to 19
Practice profile
derived from the filing of Mar 23, 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
  • Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
RAUM per advisor
$43.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
122derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$160,852derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.8derivedItem 5.A over advisors
Advisors per office
1.6derived20 offices incl. principal (1.F.5)
RAUM growth, one year
+25%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-16%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 5.G
Financial planning clients
3,000reportedItem 5.H
Custody
$928, 404,486,016 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$913M66%
  • High-net-worth individuals$472M34%
Individual clients
3,614reported
HNW clients
286reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
8,606reported
Financial planning clients
3,000reported
Wrap fee programs
noreported
Custody of client assets
$928 for 404,486,016 clientsreported
Compensation
% of AUM, hourlyreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
32 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Joshua Matthew SmithLouisville, Ky Sep 6, 201819 y0
Robert Thomas De LessioLouisville, Ky Jun 7, 201911 y0
Thomas Warren ReillyLouisville, Ky Nov 19, 202012 y0
Phillis Sax PilvinisPeoria, Az Apr 26, 202245 y3
Michael David ReevesLouisville, Ky May 31, 202221 y3
Scott Michael PilvinisCertified Financial PlannerPeoria, Az Jun 24, 202210 y2
Jason Barrett MooreLouisville, Ky Jul 6, 202226 y5
Jordan SchwartzDallas, Tx Aug 11, 202212 y0
Spencer BryzealTampa, Fl Sep 13, 202210 y1
Bradley Scott GainesLouisville, KyAug 1, 202315 y0
Ashlie Danielle DagueAtlanta, Ga Aug 24, 202313 y0
Matthew James DickenLouisville, KyJan 24, 202426 y1
Thomas Joseph TreshockCertified Financial PlannerVienna, Va Feb 8, 202411 y2
Grant Robert SandbergBradenton, Fl May 22, 202413 y2
John Mathew GehriCertified Financial Planner, Chartered Financial ConsultantLouisville, Ky Jun 20, 202421 y5
Jacob ProvartDenver, Co Jan 1, 202513 y2
Tyler Mcintyre WalbridgeCertified Financial PlannerLouisville, Ky Jan 2, 202511 y1
Quinn TeagueIndianapolis, In Jan 6, 202517 y1
Andrew SeterDenver, Co Feb 5, 202510 y1
Shawn Robert HarperZion Crossroads, Va Mar 3, 202512 y1
Dominic PortaroLouisville, KyMar 4, 202511 y0
Hairo Jose Rodriguez PenaLouisville, Ky Mar 27, 202510 y0
Erik Richard BosmanLouisville, Ky Apr 1, 202515 y0
Nicholas TieriDallas, Tx May 12, 202511 y1
Aaron KinseyLouisville, KyAug 19, 202511 y1
Peter Casey GayleLouisville, Ky Oct 16, 202522 y1
John Luke RobinsonLouisville, Ky Oct 22, 202517 y1
Jonathan Matthew WestonLouisville, KyNov 5, 202511 y0
Austen Joseph LeningerLouisville, Ky Mar 27, 202610 y3
Madeleine Rose MuldoonCertified Financial PlannerTampa, Fl Apr 14, 202611 y0
David DreierLouisville, Ky Aug 3, 202612 y2
Jeanine MorrisLouisville, KySep 11, 202611 y1
Advisor movement
4 left, 5 joined in 12 months
net +1 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 13% of current headcount21 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • James Matthew Dicken · Founder/Ceocontrol
      since 07/2002 · owns 75% or more
    • Casey Peter Gayle · Ccocontrol
      since 07/2025 · owns less than 5%
    • Jordan Schwartz · Partnercontrol
      since 06/2018 · owns 5% to 10%
    • Dustin Stanley · Partnercontrol
      since 12/2016 · owns 10% to 25%
    • Jacob Provart · Director Of Financial Planning
      since 03/2024 · owns less than 5%
    • Mackenzie Laurin Scaffidi · Director Of Culture Initiatives
      since 03/2024 · owns less than 5%
    • Ashley Matthew Swendiman · Chief Compliance Officer
      since 04/2024 · owns less than 5%
    Related persons
    Schedule D 7.A
    • Strategic Wealth Designers, LLC
      real estaten
    • Strategic Wealth Property & Casualty
      real estatey
    • Total Return Capital Management, LLC.
      y
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Louisville, Ky · principal3272
    Tampa, Fl530
    Denver, Co400
    Dallas, Tx411
    Mason, Oh310
    Atlanta, Ga200
    Vienna, Va200
    Peoria, Az201
    Jenks, Ok000
    Garner, Nc000
    Offices
    Schedule D 1.F, the 25 largest
    • Denver, CO6 employees
    • Mason, OH5 employees
    • Dallas, TX4 employees
    • Tampa, FL3 employees
    • Raleigh, NC2 employees
    • Peoria, AZ2 employees
    • Bellevue, WA2 employees
    • Plainfield, IN1 employees
    • Vienna, VA1 employees
    • Atlanta, GA1 employees
    • Westminster, CO1 employees
    • Austin, TX1 employees
    • Charlotte, NC1 employees
    • Fort Worth, TX1 employees
    • Houston, TX1 employees
    • Indianapolis, IN1 employees
    • Lexington, KY1 employees
    ADV anomalies
    3 against comparable advisers; where to look, not conclusions
    • control person changedChange between filings · filing Mar 23, 2026
      GAYLE, PETER, CASEY (CCO) appeared on Schedule A between the filings of 2024-04-11 and 2026-03-23
      peers: independent wealth managers, $1B to $5B (1,360)
    • control person changedChange between filings · filing Mar 23, 2026
      STANLEY, DUSTIN (PARTNER) left Schedule A between the filings of 2024-04-11 and 2026-03-23
      peers: independent wealth managers, $1B to $5B (1,360)
    • custody status changedChange between filings · filing Mar 23, 2026
      custody of client assets (Item 9.A): no on the filing of 2025-12-03, yes on the filing of 2026-03-23
      peers: independent wealth managers, $1B to $5B (1,360)
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 7,626 to 8,606
      Dec 3, 2025 to Mar 23, 2026
    • HNW clients · 568 to 286
      Dec 3, 2025 to Mar 23, 2026
    • Individual clients · 4,060 to 3,614
      Dec 3, 2025 to Mar 23, 2026
    • Assets in custody · $0 to $928
      Dec 3, 2025 to Mar 23, 2026
    • Custody of client assets · false to true
      Dec 3, 2025 to Mar 23, 2026
    • HQ city · to LOUISVILLE
      Dec 3, 2025 to Mar 23, 2026
    • HQ state · to KY
      Dec 3, 2025 to Mar 23, 2026
    • Other offices · 17 to 19
      Dec 3, 2025 to Mar 23, 2026
    • Discretionary RAUM · $1.1B to $1.4B
      Dec 3, 2025 to Mar 23, 2026
    • HNW RAUM · $420M to $472M
      Dec 3, 2025 to Mar 23, 2026
    • Individual RAUM · $691M to $913M
      Dec 3, 2025 to Mar 23, 2026
    • RAUM · $1.1B to $1.4B
      Dec 3, 2025 to Mar 23, 2026
    • Financial planning clients · More than 500 to More than 500
      Mar 31, 2025 to May 22, 2025
    • Accounts · 22,963 to 7,626
      Jan 7, 2025 to Mar 31, 2025
    • Advisory employees · 27 to 41
      Jan 7, 2025 to Mar 31, 2025
    • HNW clients · 556 to 568
      Jan 7, 2025 to Mar 31, 2025
    • Individual clients · 3,676 to 4,060
      Jan 7, 2025 to Mar 31, 2025
    • Assets in custody · unset to 0.0
      Jan 7, 2025 to Mar 31, 2025
    • Employees · 76 to 88
      Jan 7, 2025 to Mar 31, 2025
    • HQ city · LOUISVILLE to
      Jan 7, 2025 to Mar 31, 2025
    • HQ state · KY to
      Jan 7, 2025 to Mar 31, 2025
    • State-registered IARs · 27 to 32
      Jan 7, 2025 to Mar 31, 2025
    • Discretionary RAUM · $901M to $1.1B
      Jan 7, 2025 to Mar 31, 2025
    • HNW RAUM · $512M to $420M
      Jan 7, 2025 to Mar 31, 2025
    • Individual RAUM · $388M to $691M
      Jan 7, 2025 to Mar 31, 2025
    • RAUM · $901M to $1.1B
      Jan 7, 2025 to Mar 31, 2025
    • Accounts · 5,393 to 22,963
      Dec 22, 2023 to Mar 16, 2024
    • HNW clients · 414 to 556
      Dec 22, 2023 to Mar 16, 2024
    • Individual clients · 5,393 to 3,676
      Dec 22, 2023 to Mar 16, 2024
    • Other offices · 14 to 17
      Dec 22, 2023 to Mar 16, 2024
    • Discretionary RAUM · $628M to $901M
      Dec 22, 2023 to Mar 16, 2024
    • HNW RAUM · $213M to $512M
      Dec 22, 2023 to Mar 16, 2024
    • Individual RAUM · $415M to $388M
      Dec 22, 2023 to Mar 16, 2024
    • RAUM · $628M to $901M
      Dec 22, 2023 to Mar 16, 2024
    • Accounts · 3,488 to 5,393
      Nov 21, 2022 to Mar 15, 2023
    • Advisory employees · 15 to 27
      Nov 21, 2022 to Mar 15, 2023
    • HNW clients · 166 to 414
      Nov 21, 2022 to Mar 15, 2023
    • Individual clients · 2,161 to 5,393
      Nov 21, 2022 to Mar 15, 2023
    • Employees · 45 to 76
      Nov 21, 2022 to Mar 15, 2023
    • State-registered IARs · 15 to 27
      Nov 21, 2022 to Mar 15, 2023
    Signals
    33 dated events
    • Bradley Venables left Strategic Wealth Investment Group, Llc for Empower Advisory Group, Llc (registered 2026-08-04)
      Apr 21, 2026 · Advisor changed firm · fact
    • Caleb Adam Barnett left Strategic Wealth Investment Group, Llc for Hilltop Securities Inc. (registered 2026-04-20)
      Apr 21, 2026 · Advisor changed firm · fact
    • Rafael De Oliveira left Strategic Wealth Investment Group, Llc for Principal Securities, Inc. (registered 2025-11-19)
      Oct 17, 2025 · Advisor changed firm · fact
    • Justin Dequan Brown left Strategic Wealth Investment Group, Llc for Mercer Global Advisors Inc. (registered 2025-10-23)
      Oct 15, 2025 · Advisor changed firm · fact
    • Louis Jacob Porter left Strategic Wealth Investment Group, Llc for Trunorth Advisors (registered 2026-01-07)
      Aug 13, 2025 · Advisor changed firm · fact
    • Chandra Ellen Halverson left Strategic Wealth Investment Group, Llc for Brookstone Capital Management Llc (registered 2025-12-16)
      Jul 9, 2025 · Advisor changed firm · fact
    • Veronica M Gillotte left Strategic Wealth Investment Group, Llc for Singer Wealth Advisors Llc (registered 2025-06-30)
      May 13, 2025 · Advisor changed firm · fact
    • Nicholas Jon Tolerton left Strategic Wealth Investment Group, Llc for Peace Of Mind Wealth Management (registered 2025-07-09)
      Apr 25, 2025 · Advisor changed firm · fact
    • Dustin Robert Stanley left Strategic Wealth Investment Group, Llc for Prime Capital Financial (registered 2025-02-27)
      Feb 11, 2025 · Advisor changed firm · fact
    • James Matthew Jones left Strategic Wealth Investment Group, Llc for Lfg Wealth Partners, Llc (registered 2026-08-07)
      Jan 29, 2025 · Advisor changed firm · fact
    • Jonathan Dean Jarboe left Strategic Wealth Investment Group, Llc for Maia Wealth (registered 2025-01-14)
      Nov 16, 2024 · Advisor changed firm · fact
    • Andrew Blake Janni left Strategic Wealth Investment Group, Llc for Kestra Advisory Services, Llc (registered 2024-11-19)
      Sep 17, 2024 · Advisor changed firm · fact
    • Cameron Lee Wisley left Strategic Wealth Investment Group, Llc for J. Hagan Capital, Inc. (registered 2024-11-06)
      Sep 17, 2024 · Advisor changed firm · fact
    • Garrick Gomez left Strategic Wealth Investment Group, Llc for J.P. Morgan Securities Llc (registered 2024-07-24)
      Jul 19, 2024 · Advisor changed firm · fact
    • Edmund Douglas Robinson left Strategic Wealth Investment Group, Llc for Lord And Richards (registered 2024-05-22)
      Mar 29, 2024 · Advisor changed firm · fact
    • Strategic Wealth Investment Group, Llc reported RAUM $900.8M, up 43% from $627.8M (2023-12-22 to 2024-03-16)
      Mar 16, 2024 · RAUM change · derived
    • Jason Hyrum Taylor left Strategic Wealth Investment Group, Llc for Farther (registered 2024-02-27)
      Feb 26, 2024 · Advisor changed firm · fact
    • Chase M Rosche left Strategic Wealth Investment Group, Llc for J. Hagan Capital, Inc. (registered 2024-06-19)
      Feb 19, 2024 · Advisor changed firm · fact
    • Nicholas Patrick Smutney left Strategic Wealth Investment Group, Llc for Cetera Investment Advisers Llc (registered 2024-02-22)
      Jan 29, 2024 · Advisor changed firm · fact
    • Timothy Kamp left Strategic Wealth Investment Group, Llc for Fifth Third Securities, Inc. (registered 2023-12-21)
      Dec 19, 2023 · Advisor changed firm · fact
    • Dillon Matthew Widdows left Strategic Wealth Investment Group, Llc for Capital Investment Advisors, Llc (registered 2023-11-07)
      Oct 24, 2023 · Advisor changed firm · fact
    • Jason Christopher Vander Pol left Strategic Wealth Investment Group, Llc for Lord And Richards (registered 2024-01-19)
      Oct 6, 2023 · Advisor changed firm · fact
    • Strategic Wealth Investment Group, Llc reported RAUM $627.8M, up 28% from $490.1M (2022-11-21 to 2023-03-15)
      Mar 15, 2023 · RAUM change · derived
    • Strategic Wealth Investment Group, Llc reported 27 state-registered advisory representatives, up from 15 (2022-11-21 to 2023-03-15)
      Mar 15, 2023 · Advisor headcount change · derived
    • Strategic Wealth Investment Group, Llc reported 14 offices beyond its principal office, up from 8 (2022-11-21 to 2023-03-15)
      Mar 15, 2023 · Office count change · derived
    • Michael L Thompson left Strategic Wealth Investment Group, Llc for Rwm Capital, Llc (registered 2023-05-16)
      Mar 2, 2023 · Advisor changed firm · fact
    • David Scott Trettel left Strategic Wealth Investment Group, Llc for Robert W. Baird & Co. Incorporated (registered 2023-08-02)
      Jan 23, 2023 · Advisor changed firm · fact
    • Jonathan Sycamore left Strategic Wealth Investment Group, Llc for Lpl Financial Llc (registered 2024-06-12)
      Jan 6, 2023 · Advisor changed firm · fact
    • 2 advisors left Psp Financial Services LLC (Peoria, AZ) for Strategic Wealth Investment Group, LLC on the same day
      Jan 3, 2023 · Team lift-out · derived
    • Strategic Wealth Investment Group, Llc reported RAUM $490.1M, up 30% from $378.0M (2022-02-03 to 2022-03-23)
      Mar 23, 2022 · RAUM change · derived
    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
    844-476-7353reportedpublished by the firm, firm site, Sep 17, 2026
    Website
    retirementplanninguniversity.comreportedpublic record, Form ADV, Sep 17, 2026
    Principal office phone
    502-412-3354reportedpublic record, Form ADV, Mar 23, 2026
    Contact form
    retirementplanninguniversity.com/contactreportedpublished by the firm, firm site, Sep 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
    $43.3Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026