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
Saling Wealth Advisors
Legal name Cardinal Strategic Wealth Guidance, LLC
Latest filing Mar 10, 2026
First filing on the tape Mar 7, 2016 · 50 filings
SEC status approved since Mar 16, 2016
RAUM
$618M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
94%
$579M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$68.6M
derived; firm RAUM over IAPD count
Employees
11
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
50 filings and snapshots on the tape
RAUM$618M as of Mar 10, 2026
Feb 22, 2017$182M then
HNW client RAUM$531M as of Mar 10, 2026
Mar 12, 2018$180M then
State-registered IARs (5.B.3)9 as of Mar 10, 2026
Feb 22, 20173 then
Employees (5.A)11 as of Mar 10, 2026
Feb 22, 20176 then
Private funds: no history
RAUM +19% over the last fiscal year+19% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $68.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $690,115derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publicationsreportedItem 5.G
- Custody
- $82.9M, 50 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
- High-net-worth individuals$531M86%
- Individuals$48.1M7.8%
- Corporations and businesses$38.2M6.2%
- Charitable organizations$531,6570.1%
- Individual clients
- 108reported
- HNW clients
- 119reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 895reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $82.9M for 50 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Eric James SalingCertified Financial Planner | Louisville, Ky | May 18, 2016 | 18 y | 1 |
| Jason A StuberChartered Financial Analyst | Louisville, Ky | May 23, 2016 | 25 y | 3 |
| Amy Lee StuberCertified Financial Planner | Louisville, Ky | Feb 23, 2017 | 20 y | 1 |
| Jeffrey Michael GoughCertified Financial Planner | Louisville, Ky | May 14, 2018 | 18 y | 2 |
| Tendai Kelly CharasikaCertified Financial Planner | Louisville, Ky | Aug 4, 2020 | 12 y | 0 |
| Noah PolkCertified Financial Planner | Louisville, Ky | Jun 15, 2022 | 12 y | 5 |
| Megan Dant | Louisville, Ky | Apr 10, 2023 | 16 y | 0 |
| Christian P DoyleCertified Financial Planner | Louisville, Ky | Feb 22, 2024 | 12 y | 1 |
| Kody James Williams | Louisville, Ky | Sep 25, 2025 | 11 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
- Christian P Doyle from Millennium Advisory Services, Inc.Feb 22, 2024 · RIA to RIA
- Noah Polk from FacetJun 15, 2022 · RIA to RIA
- Jeffrey Michael Gough from J.J.B. Hilliard, W.L. Lyons, LLCMay 14, 2018 · RIA to RIA
- Amy Lee Stuber from J.J.B. Hilliard, W.L. Lyons, LLCFeb 23, 2017 · Other
- Jason A Stuber from J.J.B. Hilliard, W.L. Lyons, LLCMay 23, 2016 · Other
- Eric James Saling from J.J.B. Hilliard, W.L. Lyons, LLCMay 18, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from J.J.B. Hilliard, W.L. Lyons, LLCApr 19, 2016 · Louisville, Ky
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Kelly Tendai Charasika · Chief Strategy Officer/Membercontrolsince 01/2020 · owns 10% to 25%
- Michael Jeffrey Gough · Senior Wealth Advisorcontrolsince 02/2022 · owns 5% to 10%
- Emily Saling · Chief Compliance Officercontrolsince 04/2016 · owns 5% to 10%
- James Eric Saling · Chief Executive Officercontrolsince 02/2022 · owns 50% to 75%
- Lee Amy Stuber · Senior Wealth Advisorcontrolsince 02/2022 · owns 5% to 10%
- A Jason Stuber · Chief Investment Officer And Membercontrolsince 04/2016 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Louisville, Ky · principal | 9 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 873 to 895Aug 20, 2025 to Mar 10, 2026
- Charity clients · 0 to 1Aug 20, 2025 to Mar 10, 2026
- Corporate clients · 5 to 2Aug 20, 2025 to Mar 10, 2026
- HNW clients · 115 to 119Aug 20, 2025 to Mar 10, 2026
- Individual clients · 119 to 108Aug 20, 2025 to Mar 10, 2026
- Assets in custody · $66.3M to $82.9MAug 20, 2025 to Mar 10, 2026
- Discretionary RAUM · $490M to $580MAug 20, 2025 to Mar 10, 2026
- HNW RAUM · $448M to $531MAug 20, 2025 to Mar 10, 2026
- Individual RAUM · $41.8M to $48.1MAug 20, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $27.3M to $37.5MAug 20, 2025 to Mar 10, 2026
- RAUM · $518M to $618MAug 20, 2025 to Mar 10, 2026
- Financial planning clients · 101-250 to 101-250Mar 19, 2025 to Jun 18, 2025
- Accounts · 822 to 873Oct 23, 2024 to Mar 19, 2025
- Advisory employees · 8 to 9Oct 23, 2024 to Mar 19, 2025
- Corporate clients · 4 to 5Oct 23, 2024 to Mar 19, 2025
- HNW clients · 101 to 115Oct 23, 2024 to Mar 19, 2025
- Individual clients · 108 to 119Oct 23, 2024 to Mar 19, 2025
- Assets in custody · $44.8M to $66.3MOct 23, 2024 to Mar 19, 2025
- State-registered IARs · 8 to 9Oct 23, 2024 to Mar 19, 2025
- Discretionary RAUM · $397M to $490MOct 23, 2024 to Mar 19, 2025
- HNW RAUM · $368M to $448MOct 23, 2024 to Mar 19, 2025
- Individual RAUM · $35.1M to $41.8MOct 23, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $13.7M to $27.3MOct 23, 2024 to Mar 19, 2025
- RAUM · $410M to $518MOct 23, 2024 to Mar 19, 2025
- Accounts · 763 to 822Aug 17, 2023 to Mar 18, 2024
- HNW clients · 90 to 101Aug 17, 2023 to Mar 18, 2024
- Individual clients · 122 to 108Aug 17, 2023 to Mar 18, 2024
- Pension plan clients · 1 to 0Aug 17, 2023 to Mar 18, 2024
- Assets in custody · $35.3M to $44.8MAug 17, 2023 to Mar 18, 2024
- Discretionary RAUM · $350M to $397MAug 17, 2023 to Mar 18, 2024
- HNW RAUM · $312M to $368MAug 17, 2023 to Mar 18, 2024
- Individual RAUM · $41.3M to $35.1MAug 17, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $12.3M to $13.7MAug 17, 2023 to Mar 18, 2024
- Pension RAUM · $982,277 to $0Aug 17, 2023 to Mar 18, 2024
- RAUM · $363M to $410MAug 17, 2023 to Mar 18, 2024
- Accounts · 722 to 763Mar 15, 2022 to Mar 27, 2023
- Advisory employees · 7 to 8Mar 15, 2022 to Mar 27, 2023
- Corporate clients · 6 to 4Mar 15, 2022 to Mar 27, 2023
- HNW clients · 100 to 90Mar 15, 2022 to Mar 27, 2023
- Individual clients · 102 to 122Mar 15, 2022 to Mar 27, 2023
Signals
5 dated events
- Saling Wealth Advisors reported RAUM $517.6M, up 26% from $410.4M (2024-10-23 to 2025-03-19)Mar 19, 2025 · RAUM change · derived
- Lee Amy Stuber (Senior Wealth Advisor) appeared on Schedule A of Saling Wealth AdvisorsMar 18, 2024 · Control person joined · fact
- Michael Jeffrey Gough (Senior Wealth Advisor) appeared on Schedule A of Saling Wealth AdvisorsMar 18, 2024 · Control person joined · fact
- Allen James Saling (Chairman, Senior Executive, And Member) no longer on Schedule A of Saling Wealth Advisors (listed 2022-03-15, absent 2023-03-27)Mar 27, 2023 · Control person left · inference
- Cardinal Strategic Wealth Guidance, Llc filed its initial SEC registration (Form ADV)Mar 7, 2016 · 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
- 502-805-3000reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/saling-wealth-advisorsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- SALINGWEALTHADVISORS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 502-805-3000reportedpublic record, Form ADV, Mar 10, 2026
- Contact form
- salingadvisors.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- salingadvisors.com/meet-our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $68.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026