DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S••••••••• W••••• M••••••••• L••
Latest filing May 5, 2026
First filing on the tape Mar 2, 2018 · 21 filings
SEC status approved since Apr 2, 2018
RAUM
$283M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$283M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$94.4M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$283M as of May 5, 2026
Feb 20, 2019$113M then
HNW client RAUM$220M as of May 5, 2026
Feb 20, 2019$65.0M then
State-registered IARs (5.B.3)3 as of May 5, 2026
Feb 20, 20193 then
Employees (5.A)4 as of May 5, 2026
Feb 20, 20194 then
Private funds: no history
RAUM +22% over the last fiscal year+16% a year over threeIARs 3 to 3
Practice profile
derived from the filing of May 5, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $94.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 96derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $278,818derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $283MreportedItem 5.I
- Custody
- $1.6M, 11 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$220M78%
- Individuals$63.5M22%
- Individual clients
- 200reported
- HNW clients
- 88reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,016reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $1.6M for 11 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• M•••••• P••••Certified Financial Planner | Oak Brook, Il | Dec 14, 2016 | 25 y | 3 |
| W•••••• R••••• L••••••Certified Financial Planner | Oak Brook, Il | Dec 14, 2016 | 25 y | 2 |
| B•••• M• P•••• | Oak Brook, Il | Nov 2, 2017 | 23 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
- G••• J••••• S•••••••• to E••••••••• L••Aug 6, 2018 · RIA to a state-registered adviser
Joined, latest
- B•••• M• P•••• from S••••••• F•••••••• S•••••••• I•••Nov 2, 2017 · Other
- C••••••••• M•••••• P•••• from C••••••••• F•••••••• N••••••Dec 14, 2016 · Affiliated broker-dealer or bank to independent RIA
- W•••••• R••••• L•••••• from C••••••••• F•••••••• N••••••Dec 14, 2016 · Affiliated broker-dealer or bank to independent RIA
- G••• J••••• S•••••••• from R•••• C••••••Nov 7, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••• W••••••• R••••• · Managing Membercontrolsince 12/2016 · owns 50% to 75%
- P••••• C••••••••• M•••••• · Managing Member And Chief Compliance Officercontrolsince 12/2016 · owns 50% to 75%
Related persons
Schedule D 7.A
- T••• P•••• C••••••• L••investment advisernRAUM $25.0M
Advisers that list S••••••••• W••••• M••••••••• L•• as a related person
- 286089 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Oak Brook, Il · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- BD registered reps · 3 to 0Feb 23, 2026 to May 5, 2026
- Accounts · 982 to 1,016Jan 6, 2026 to Feb 23, 2026
- HNW clients · 81 to 88Jan 6, 2026 to Feb 23, 2026
- Individual clients · 199 to 200Jan 6, 2026 to Feb 23, 2026
- Assets in custody · $1.4M to $1.6MJan 6, 2026 to Feb 23, 2026
- Discretionary RAUM · $232M to $283MJan 6, 2026 to Feb 23, 2026
- HNW RAUM · $171M to $220MJan 6, 2026 to Feb 23, 2026
- Individual RAUM · $60.7M to $63.5MJan 6, 2026 to Feb 23, 2026
- RAUM · $232M to $283MJan 6, 2026 to Feb 23, 2026
- Accounts · 943 to 982May 28, 2024 to Mar 21, 2025
- HNW clients · 72 to 81May 28, 2024 to Mar 21, 2025
- Individual clients · 188 to 199May 28, 2024 to Mar 21, 2025
- Assets in custody · $1.1M to $1.4MMay 28, 2024 to Mar 21, 2025
- Financial planning clients · 251-500 to 251-500May 28, 2024 to Mar 21, 2025
- Discretionary RAUM · $214M to $232MMay 28, 2024 to Mar 21, 2025
- HNW RAUM · $151M to $171MMay 28, 2024 to Mar 21, 2025
- Individual RAUM · $62.3M to $60.7MMay 28, 2024 to Mar 21, 2025
- RAUM · $214M to $232MMay 28, 2024 to Mar 21, 2025
- Accounts · 889 to 943Mar 3, 2023 to Feb 29, 2024
- Charity clients · unset to 0.0Mar 3, 2023 to Feb 29, 2024
- Corporate clients · unset to 0.0Mar 3, 2023 to Feb 29, 2024
- HNW clients · 58 to 72Mar 3, 2023 to Feb 29, 2024
- Individual clients · 195 to 188Mar 3, 2023 to Feb 29, 2024
- Pension plan clients · unset to 0.0Mar 3, 2023 to Feb 29, 2024
- Pooled vehicle clients · unset to 0.0Mar 3, 2023 to Feb 29, 2024
- Assets in custody · $1.3M to $1.1MMar 3, 2023 to Feb 29, 2024
- Discretionary RAUM · $182M to $214MMar 3, 2023 to Feb 29, 2024
- HNW RAUM · $116M to $151MMar 3, 2023 to Feb 29, 2024
- Individual RAUM · $65.4M to $62.3MMar 3, 2023 to Feb 29, 2024
- Pension RAUM · unset to 0.0Mar 3, 2023 to Feb 29, 2024
- Pooled vehicle RAUM · unset to 0.0Mar 3, 2023 to Feb 29, 2024
- RAUM · $182M to $214MMar 3, 2023 to Feb 29, 2024
- Accounts · 815 to 889Jun 2, 2022 to Mar 3, 2023
- HNW clients · 64 to 58Jun 2, 2022 to Mar 3, 2023
- Individual clients · 182 to 195Jun 2, 2022 to Mar 3, 2023
- Assets in custody · $589,964 to $1.3MJun 2, 2022 to Mar 3, 2023
- Employees · 5 to 4Jun 2, 2022 to Mar 3, 2023
- Financial planning clients · 101-250 to 251-500Jun 2, 2022 to Mar 3, 2023
- Discretionary RAUM · $185M to $182MJun 2, 2022 to Mar 3, 2023
- HNW RAUM · $130M to $116MJun 2, 2022 to Mar 3, 2023
Signals
1 dated events
- S••••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 2, 2018 · 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
- s•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (630) 230-1830reportedpublic record, Form ADV, May 5, 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
- $94.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026