DFX Intelligence
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SEC-registered adviser
S••• W••••• M••••••••• I•••
Latest filing Mar 24, 2026
First filing on the tape Mar 5, 2022 · 8 filings
SEC status approved since Apr 11, 2022
RAUM
$189M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$189M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$189M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$189M as of Mar 24, 2026
Feb 1, 2023$133M then
HNW client RAUM$186M as of Mar 24, 2026
Feb 1, 2023$130M then
State-registered IARs (5.B.3)1 as of Mar 24, 2026
Feb 1, 20231 then
Employees (5.A)2 as of Mar 24, 2026
Feb 1, 20232 then
Private funds: no history
RAUM +10% over the last fiscal year+12% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 24, 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
- $189MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.4MderivedHNW RAUM over HNW clients
- Average account
- $5.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- High-net-worth individuals$186M99%
- Individuals$2.8M1.5%
- Individual clients
- 5reported
- HNW clients
- 29reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 34reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• H•••••• S••• | Evanston, Il | Sep 3, 2014 | 31 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••• J•••••••• H•••••• · President/Chief Compliance Officercontrolsince 06/2014 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 31 to 34Mar 24, 2025 to Mar 24, 2026
- HNW clients · 28 to 29Mar 24, 2025 to Mar 24, 2026
- Individual clients · 3 to 5Mar 24, 2025 to Mar 24, 2026
- Discretionary RAUM · $171M to $189MMar 24, 2025 to Mar 24, 2026
- HNW RAUM · $170M to $186MMar 24, 2025 to Mar 24, 2026
- Individual RAUM · $1.6M to $2.8MMar 24, 2025 to Mar 24, 2026
- RAUM · $171M to $189MMar 24, 2025 to Mar 24, 2026
- HNW clients · 26 to 28Feb 28, 2024 to Mar 24, 2025
- Financial planning clients · 0 to 0Feb 28, 2024 to Mar 24, 2025
- HQ city · unset to Feb 28, 2024 to Mar 24, 2025
- HQ state · unset to Feb 28, 2024 to Mar 24, 2025
- Discretionary RAUM · $147M to $171MFeb 28, 2024 to Mar 24, 2025
- HNW RAUM · $145M to $170MFeb 28, 2024 to Mar 24, 2025
- Individual RAUM · $1.5M to $1.6MFeb 28, 2024 to Mar 24, 2025
- RAUM · $147M to $171MFeb 28, 2024 to Mar 24, 2025
- Accounts · 104 to 31Feb 1, 2023 to Feb 28, 2024
- Individual clients · 4 to 3Feb 1, 2023 to Feb 28, 2024
- Discretionary RAUM · $133M to $147MFeb 1, 2023 to Feb 28, 2024
- HNW RAUM · $130M to $145MFeb 1, 2023 to Feb 28, 2024
- Individual RAUM · $2.4M to $1.5MFeb 1, 2023 to Feb 28, 2024
- RAUM · $133M to $147MFeb 1, 2023 to Feb 28, 2024
- Accounts · 29 to 104Jun 7, 2022 to Feb 1, 2023
- Individual clients · 3 to 4Jun 7, 2022 to Feb 1, 2023
- Discretionary RAUM · $124M to $133MJun 7, 2022 to Feb 1, 2023
- HNW RAUM · $123M to $130MJun 7, 2022 to Feb 1, 2023
- Individual RAUM · $1.3M to $2.4MJun 7, 2022 to Feb 1, 2023
- RAUM · $124M to $133MJun 7, 2022 to Feb 1, 2023
- Other offices · 0 to 2Mar 5, 2022 to May 26, 2022
Signals
1 dated events
- S••• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Mar 5, 2022 · 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
- Firm profile
- linkedin.com/company/4826265/adminreportedpublic record, Form ADV, Sep 21, 2026
- Website
- S•••WEALTHMGMT.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 312-771-6900reportedpublic record, Form ADV, Mar 24, 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
- $189Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026