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 May 4, 2026
First filing on the tape Jul 15, 2025 · 4 filings
SEC status approved since Aug 14, 2025
RAUM
$120M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
100%
$120M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$60.0M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$120M as of May 4, 2026
Jul 15, 2025$108M then
HNW client RAUM$88.3M as of May 4, 2026
Jul 15, 2025$74.6M then
State-registered IARs (5.B.3)2 as of May 4, 2026
Jul 15, 20252 then
Employees (5.A)3 as of May 4, 2026
Jul 15, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 4, 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
- RAUM per advisor
- $60.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 99derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $235,470derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $36.0M, 58 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$88.3M73%
- Individuals$31.8M27%
- Individual clients
- 149reported
- HNW clients
- 49reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 510reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $36.0M for 58 clientsreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• A••••• W•••••••Personal Financial Specialist | Akron, Oh | Aug 11, 2015 | 28 y | 3 |
| M•••• D•••••• E•••••••Chartered Financial Analyst | Bexley, Oh | May 10, 2021 | 10 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
- J•••• A• W•••• to J•••• A• W•••• L••Feb 18, 2023 · RIA to a state-registered adviser
- K•••• B••••••• to S••••• W••••• A•••••••• I•••Jun 1, 2017 · Other
Joined, latest
- J•••• A• W•••• from E•• F••••••••• I•••Jan 14, 2020 · RIA to RIA
- K•••• B••••••• from C•••••• S••••• • C••• I•••Jan 27, 2017 · Affiliated broker-dealer or bank to independent RIA
- R•••••• A••••• W••••••• from S••••••• F•••••••• S•••••••• I•••Aug 11, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••••• R••••••• A••••• · Managing Member & Chief Compliance Officercontrolsince 05/2015 · owns 75% or more
- E•••••••• M••••• D•••••• · Membersince 02/2024 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Akron, Oh · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 456 to 510Jul 15, 2025 to Feb 10, 2026
- HNW clients · 38 to 49Jul 15, 2025 to Feb 10, 2026
- Individual clients · 148 to 149Jul 15, 2025 to Feb 10, 2026
- Assets in custody · $7.8M to $36.0MJul 15, 2025 to Feb 10, 2026
- Discretionary RAUM · $96.2M to $108MJul 15, 2025 to Feb 10, 2026
- HNW RAUM · $74.6M to $88.3MJul 15, 2025 to Feb 10, 2026
- Individual RAUM · $33.1M to $31.8MJul 15, 2025 to Feb 10, 2026
- Non-discretionary RAUM · $11.5M to $11.6MJul 15, 2025 to Feb 10, 2026
- RAUM · $108M to $120MJul 15, 2025 to Feb 10, 2026
Signals
1 dated events
- J•••• A• W•••• left S••••• W••••• M••••••••• L•• for J•••• A• W•••• L•• (registered 2022-12-13)Feb 18, 2023 · Advisor changed firm · 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
- 330-659-5985reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 330-659-5986reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- swm1.usreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 330-523-1065reportedpublic record, Form ADV, May 4, 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
- $60.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026