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••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Sep 26, 2025 · 2 filings
SEC status approved since Sep 10, 2025
RAUM
$127M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
93%
$118M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$42.4M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$127M as of Mar 30, 2026
Sep 26, 2025$120M then
HNW client RAUM$62.5M as of Mar 30, 2026
Sep 26, 2025$60.4M then
State-registered IARs (5.B.3)3 as of Mar 30, 2026
Sep 26, 20253 then
Employees (5.A)3 as of Mar 30, 2026
Sep 26, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $42.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 94derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $210,451derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 7.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $49.5M, 62 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)
- 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
- High-net-worth individuals$62.5M49%
- Individuals$55.4M44%
- Pension and profit-sharing plans$9.2M7.2%
- Individual clients
- 240reported
- HNW clients
- 42reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 604reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $49.5M for 62 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 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 |
|---|---|---|---|---|
| T•••• J•••• K•••••• | Grand Rapids, Mi | Jun 16, 2015 | 12 y | 1 |
| F••••••• R••••• I••••••• | Grand Rapids, Mi | Jun 16, 2015 | 30 y | 1 |
| R••• K• H••••• | Grand Rapids, Mi | Oct 28, 2016 | 21 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- R••• K• H••••• from W•••• F•••• A•••••••Oct 28, 2016 · Wirehouse to independent RIA
- F••••••• R••••• I••••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jun 16, 2015 · Other
- T•••• J•••• K•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jun 16, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C•••••••• I••••••••• R••••••• A•••••••• I•••Dec 31, 2015 · Grand Rapids, Mi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- I•••••••• F•••••••• R••••• · Managing Principal/Ccocontrolsince 01/2015 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Grand Rapids, Mi · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $18.8M to $49.5MSep 26, 2025 to Mar 30, 2026
- Discretionary RAUM · $119M to $126MSep 26, 2025 to Mar 30, 2026
- HNW RAUM · $60.4M to $62.5MSep 26, 2025 to Mar 30, 2026
- Individual RAUM · $51.3M to $55.4MSep 26, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $820,778 to $864,725Sep 26, 2025 to Mar 30, 2026
- Pension RAUM · $8.3M to $9.2MSep 26, 2025 to Mar 30, 2026
- RAUM · $120M to $127MSep 26, 2025 to Mar 30, 2026
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
- 616-285-7818reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-440-3124reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/S••••••-WEALTH-MANAGEMENTreportedpublic record, Form ADV, Sep 19, 2026
- Website
- S••••••WM.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 616-285-7818reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- s••••••••.comreportedpublished 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
- $42.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026