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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Former SEC-registered adviser
S•••••• L••
Latest filing Mar 24, 2026
First filing on the tape Aug 31, 2016 · 26 filings
SEC status approved since Sep 13, 2016
RAUM
$42.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$42.9M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$21.4M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$42.9M as of Mar 24, 2026
Mar 24, 2017$311M then
HNW client RAUM$42.9M as of Mar 24, 2026
Mar 22, 2018$56.8M then
State-registered IARs (5.B.3)1 as of Mar 24, 2026
Mar 24, 20172 then
Employees (5.A)1 as of Mar 24, 2026
Mar 24, 20172 then
Private funds8 as of Mar 12, 2021
Mar 24, 201710 then
RAUM +2.3% over the last fiscal year-33% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
- RAUM per advisor
- $21.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 7derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $809,298derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 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$42.9M100%
- Individuals$7,7380.0%
- Corporations and businesses$1,5130.0%
- Individual clients
- 1reported
- HNW clients
- 13reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 53reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••••• J• S••••••Personal Financial Specialist | Chicago, Il | Nov 10, 2016 | 21 y | 2 |
| J•••••• J• G•••••Certified Financial Planner | Chicago, Il | Oct 28, 2019 | 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 headcount1 left over 36 months
Left, latest
- G••• J••••• S•••••••• to R•••• C••••••Nov 28, 2023 · Other
Joined, latest
- C•••••••• J• S•••••• from W••••••• • C•Nov 10, 2016 · Other
- G••• J••••• S•••••••• from V••••• A•••• M••••••••• L••Sep 13, 2016 · Other
Private funds
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| 1••••no longer reported | Other Private Fund | $318M | 17 | Nov 10, 2016 |
| 1••••no longer reported | Other Private Fund | $126M | 17 | Nov 10, 2016 |
| 1••••no longer reported | Other Private Fund | $67.7M | 11 | Nov 10, 2016 |
| 1••••no longer reported | Other Private Fund | $51.3M | 6 | Nov 10, 2016 |
| 1••••no longer reported | Other Private Fund | $37.5M | 8 | Nov 10, 2016 |
| 1••••no longer reported | Other Private Fund | $35.2M | 17 | Nov 10, 2016 |
| 1••••no longer reported | Other Private Fund | $15.8M | 7 | Nov 10, 2016 |
| 1•••••no longer reported | Other Private Fund | $12.8M | 8 | Nov 10, 2016 |
| 1••••no longer reported | Other Private Fund | $541 | 8 | Nov 10, 2016 |
| 1••••no longer reported | Other Private Fund | $3 | 9 | Nov 10, 2016 |
Owners and control persons
Schedule A and B, latest filing
- S••••••• C••••••••• J• · Presidentcontrolsince 11/2016 · owns 75% or more
- S••••••••• G•••• J••••• · Chief Compliance Officersince 11/2016 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Chicago, Il | 2 | 0 | 0 | ||
| Plainfield, Il | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · 11904834.0 to unsetJan 26, 2026 to Mar 24, 2026
- Custody of client assets · true to falseJan 26, 2026 to Mar 24, 2026
- Accounts · 52 to 53Mar 4, 2025 to Jan 26, 2026
- Advisory employees · 2 to 1Mar 4, 2025 to Jan 26, 2026
- Advisory activities · 5 to 4Mar 4, 2025 to Jan 26, 2026
- Assets in custody · $13.4M to $11.9MMar 4, 2025 to Jan 26, 2026
- Employees · 2 to 1Mar 4, 2025 to Jan 26, 2026
- Financial planning clients · 11-25 to Mar 4, 2025 to Jan 26, 2026
- State-registered IARs · 2 to 1Mar 4, 2025 to Jan 26, 2026
- Discretionary RAUM · $41.9M to $42.9MMar 4, 2025 to Jan 26, 2026
- HNW RAUM · $41.9M to $42.9MMar 4, 2025 to Jan 26, 2026
- Individual RAUM · $4,396 to $7,738Mar 4, 2025 to Jan 26, 2026
- RAUM · $41.9M to $42.9MMar 4, 2025 to Jan 26, 2026
- Accounts · 56 to 52Dec 17, 2024 to Mar 4, 2025
- Corporate clients · 3 to 1Dec 17, 2024 to Mar 4, 2025
- HNW clients · 14 to 13Dec 17, 2024 to Mar 4, 2025
- Pooled vehicle clients · 1 to 0Dec 17, 2024 to Mar 4, 2025
- Assets in custody · $119M to $13.4MDec 17, 2024 to Mar 4, 2025
- Financial planning clients · 11-25 to 11-25Dec 17, 2024 to Mar 4, 2025
- HQ city · unset to Dec 17, 2024 to Mar 4, 2025
- HQ state · unset to Dec 17, 2024 to Mar 4, 2025
- Discretionary RAUM · $131M to $41.9MDec 17, 2024 to Mar 4, 2025
- HNW RAUM · $113M to $41.9MDec 17, 2024 to Mar 4, 2025
- Individual RAUM · $2,297 to $4,396Dec 17, 2024 to Mar 4, 2025
- Pooled vehicle RAUM · $17.8M to $0Dec 17, 2024 to Mar 4, 2025
- RAUM · $131M to $41.9MDec 17, 2024 to Mar 4, 2025
- Accounts · 54 to 56Mar 31, 2023 to Mar 7, 2024
- HNW clients · 13 to 14Mar 31, 2023 to Mar 7, 2024
- Individual clients · 0 to 1Mar 31, 2023 to Mar 7, 2024
- Assets in custody · $85.3M to $119MMar 31, 2023 to Mar 7, 2024
- Discretionary RAUM · $142M to $131MMar 31, 2023 to Mar 7, 2024
- HNW RAUM · $126M to $113MMar 31, 2023 to Mar 7, 2024
- Individual RAUM · $0 to $2,297Mar 31, 2023 to Mar 7, 2024
- Pooled vehicle RAUM · $15.8M to $17.8MMar 31, 2023 to Mar 7, 2024
- RAUM · $142M to $131MMar 31, 2023 to Mar 7, 2024
- Assets in custody · $101M to $85.3MJan 26, 2023 to Mar 15, 2023
- Discretionary RAUM · $177M to $142MJan 26, 2023 to Mar 15, 2023
- HNW RAUM · $155M to $126MJan 26, 2023 to Mar 15, 2023
- Pooled vehicle RAUM · $22.4M to $15.8MJan 26, 2023 to Mar 15, 2023
- RAUM · $177M to $142MJan 26, 2023 to Mar 15, 2023
Signals
5 dated events
- S•••••• L•• no longer on the SEC adviser roster (last listed 2026-04-01, RAUM $42.9M)May 1, 2026 · Left the SEC roster · derived
- G••• J••••• S•••••••• left S•••••• L•• for R•••• C•••••• (registered 2016-10-07)Nov 28, 2023 · Advisor changed firm · fact
- S•••••• L•• reported RAUM $177.1M, down 80% from $907.6M (2021-03-12 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
- S•••••• L•• reported RAUM $855.0M, up 148% from $345.4M (2019-03-25 to 2020-03-23)Mar 23, 2020 · RAUM change · derived
- S•••••• L•• filed its initial SEC registration (Form ADV)Aug 31, 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
- Website
- H••••://WWW.S••••••LLC.COMreportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $21.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026