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••••• L••
Latest filing Jun 3, 2026
First filing on the tape Feb 10, 2017 · 53 filings
SEC status approved since Feb 24, 2017
RAUM
$1.8B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
84%
$1.5B individuals and HNW
Advisors
17
registered through the firm on IAPD
RAUM per advisor
$104M
derived; firm RAUM over IAPD count
Employees
28
19 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
53 filings and snapshots on the tape
RAUM$1.8B as of Jun 3, 2026
Mar 28, 2018$288M then
HNW client RAUM$1.4B as of Jun 3, 2026
Mar 28, 2018$218M then
State-registered IARs (5.B.3)19 as of Jun 3, 2026
Mar 28, 201810 then
Employees (5.A)28 as of Jun 3, 2026
Mar 28, 201818 then
Private funds: no history
RAUM +6.6% over the last fiscal year+23% a year over threeIARs 18 to 19offices 3 to 2
Practice profile
derived from the filing of Jun 3, 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
- $104MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +5.6%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Custody
- $445M, 240 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.4B78%
- Charitable organizations$288M16%
- Individuals$96.2M5.5%
- Corporations and businesses$577,2600.0%
- Individual clients
- 253reported
- HNW clients
- 305reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 1,580reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $445M for 240 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.84 fund_share=0.0 institutional_share=0.16 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
17 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• A••• D•••••• | Jupiter, Fl | Apr 14, 2017 | 39 y | 5 |
| K••••••• L•••• P•••••Chartered Financial Analyst | Jupiter, Fl | Sep 24, 2018 | 22 y | 1 |
| T••• C••••• S•••• | Jupiter, Fl | Jan 23, 2020 | 15 y | 3 |
| R••••• L•••• | Wimauma, Fl | Mar 13, 2020 | 30 y | 5 |
| D••••• P•••••• H••••• | Jupiter, Fl | Nov 19, 2020 | 21 y | 1 |
| R••• D••••• E•••••••Chartered Financial Analyst | Madison, Wi | Nov 12, 2021 | 32 y | 3 |
| J•••• W•••• J•••••Chartered Financial Analyst | Madison, Wi | Jan 3, 2022 | 28 y | 4 |
| J••••••• L••••• R••••• H•••••Certified Financial Planner | Jupiter, Fl | Jan 3, 2022 | 31 y | 1 |
| C•••••• J••• D•••••• | Jupiter, Fl | Jun 22, 2022 | 18 y | 2 |
| L••• L••• T•••••• | Jupiter, Fl | Jul 25, 2023 | 32 y | 4 |
| D••••• D•••• P••••Chartered Financial Analyst | Jupiter, Fl | Aug 17, 2023 | 28 y | 4 |
| R•••••• W•••••• O••••••Certified Financial Planner | Jupiter, Fl | Aug 17, 2023 | 36 y | 3 |
| M•••••• J••••• C•••• | Milton, Ga | Nov 15, 2023 | 16 y | 0 |
| K•••••• P•••••• | Jupiter, Fl | Dec 13, 2023 | 32 y | 1 |
| J•••• A•••••• M•••• | Jupiter, Fl | Mar 1, 2024 | 13 y | 0 |
| J••••• B•••• R••••••Certified Financial Planner | Jupiter, Fl | Mar 22, 2024 | 26 y | 0 |
| E••• K•••••••• G••••••••• | Jupiter, Fl | Sep 29, 2025 | 28 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
- R••••• G•••• P••••• to D••••• W•••••• L••Nov 9, 2020 · RIA to RIA
- E••• •••• G••••••• to A••••••• P••••••••• A•••••••• I••Oct 23, 2020 · RIA to RIA
- N••••• Q•••••• G••••••• C••••• to A••••••• P••••••••• A•••••••• I••Oct 23, 2020 · RIA to RIA
- D•••• J••• C••••••• to S••••••••• P•••••• C•••••Sep 22, 2020 · Other
- J•••• S•••• R•••••••• to S••••• I••••••••• A•••••••• L••Mar 10, 2020 · RIA to RIA
- G•••• W•••••• K•••• to S••••• I••••••••• A•••••••• L••Mar 10, 2020 · RIA to RIA
- R•••• R••••••••• to A••••••• P••••••••• A•••••••• I••Sep 26, 2019 · RIA to RIA
- T•••••• M•••••• B•••• to S••••• I••••••••• A•••••••• L••Jan 7, 2019 · RIA to RIA
Joined, latest
- K•••••• P•••••• from B••••••••• A•••• M••••••••• L••Dec 13, 2023 · Other
- R•••••• W•••••• O•••••• from M••••• S••••••Aug 17, 2023 · Wirehouse to independent RIA
- D••••• D•••• P•••• from M••••• S••••••Aug 17, 2023 · Wirehouse to independent RIA
- L••• L••• T•••••• from S•• W•••••Jul 25, 2023 · Affiliated broker-dealer or bank to independent RIA
- C•••••• J••• D•••••• from B•• H••••• F•••••••• A•••••••• I••Jun 22, 2022 · Other
- J••••••• L••••• R••••• H••••• from L•• F•••••••• L••Jan 3, 2022 · Affiliated broker-dealer or bank to independent RIA
- J•••• W•••• J••••• from B•• A•••• M••••••••• C••••Jan 3, 2022 · Other
- R••• D••••• E••••••• from S•• W•••••Nov 12, 2021 · Other
- D••••• P•••••• H••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 19, 2020 · Wirehouse to independent RIA
- R••••• L•••• from S••••••••• P•••••• C•••••Mar 13, 2020 · RIA to RIA
- T••• C••••• S•••• from S••••••••• P•••••• C•••••Jan 23, 2020 · RIA to RIA
- D•••• J••• C••••••• from P•••••••• I••••••••• M••••••••• C••••••• I•••Oct 16, 2018 · RIA to RIA
- K••••••• L•••• P••••• from D••••• D••••• • C••••••Sep 24, 2018 · RIA to RIA
- R••••• G•••• P••••• from S•• W•••••Jan 17, 2018 · Other
- J•••• S•••• R•••••••• from C•••••• M•••••• I•• L••Dec 8, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for A••••••• P••••••••• A•••••••• I••Oct 23, 2020 · Boca Raton, Fl
- 2 joined from M••••• S••••••Aug 2, 2023 · Palm Beach Gardens, Fl
- 2 joined from S••••••••• P•••••• C•••••Mar 26, 2020 · Weston, Fl
- 2 joined from C•••••• M•••••• I•• L••Dec 4, 2017 · Grapevine, Tx
- 2 joined from L•• F•••••••• L••Jun 19, 2017 · Boca Raton, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• S•••••• A••• · Founder, Co-Ceocontrolsince 01/2017 · owns less than 5%
- T•••••••• P••••••• E••••• · Founder, Co-Ceocontrolsince 01/2017 · owns less than 5%
- D••••••• S•••••• A••• · Managing Membercontrolsince 12/2021 · owns 25% to 50% of S••••••••• H•••••••• L••
- S••••••• J••••• A••• · Vice Presidentcontrolsince 10/2015 · owns F of T••••••••• P••••••• I••
- S••••••• J••••• C•••••••• · Trusteecontrolsince 10/2014 · owns F of J•• T••• T••••
- S••••••• P•••• J••••• · Ownercontrolsince 10/2015 · owns 25% to 50% of T••••••••• W••••• P••••••• I••
- S••••••• P•••• J••••• · Vice Presidentcontrolsince 10/2015 · owns F of T••••••••• P••••••• I••
- S••••••• P•••• J••••• · Trusteecontrolsince 10/2014 · owns F of J•• T••• T••••
- S••••••• P•••• J••••• · Vice Presidentcontrolsince 01/2011 · owns F of T••••••••• P••••••• G• I• L••••••
- S••••••• T•••••• A•••••• · Beneficiarycontrolsince 03/2011 · owns 25% to 50% of J•• T••• T••••
- T•••• K••••• D•••••• · Presidentcontrolsince 10/2015 · owns F of T••••••••• W••••• P••••••• I••
- T•••• K••••• D•••••• · Ownercontrolsince 01/2011 · owns 50% to 75% of T••••••••• P••••••• G• I• L••••••
- T•••• K••••• D•••••• · Presidentcontrolsince 10/2015 · owns F of T••••••••• P••••••• I••
- T•••••••• P••••••• E••••• · Managing Membercontrolsince 12/2021 · owns 50% to 75% of S••••••••• H•••••••• L••
- C••••• M••••••• J••••• · Chief Strategy & Growth Officer, Partnersince 01/2026 · owns less than 5%
- H•••••• D•••••• P•••••• · Chief Operating Officersince 01/2024 · owns less than 5%
- M•••••••• M••••••• D•••• · Chief Compliance Officersince 02/2026 · owns less than 5%
- P••••• D•••••• D•••• · Chief Investment Officersince 08/2023 · owns 5% to 10%
- K••••••• M••••••• •••• · Managing Membersince 09/2024 · owns F of S••••••••• H•••••••• L••
Entity owners
- S••••••••• H•••••••• L•• · Ownerdirect · owns 50% to 75%
- T••••••••• W••••• P••••••• L• · Owner/Memberdirect · owns 25% to 50%
- J•• T••• T•••• · L•••••• Partner Ownerindirect · owns 75% or more of T••••••••• P••••••• ••••••• L•••••• P••••••••• I•
- T••••••••• P••••••• ••••••• L•••••• P••••••••• I• · Share-Holder Ownerindirect · owns 75% or more of T••••••••• P••••••• I••
- T••••••••• P••••••• G• I• L•••••• · General Partnerindirect · owns F of T••••••••• P••••••• ••••••• L•••••• P••••••••• I•
- T••••••••• P••••••• I•• · LP Ownerindirect · owns 75% or more of T••••••••• W••••• P••••••• L•
- T••••••••• W••••• P••••••• I•• · Gpindirect · owns F of T••••••••• W••••• P••••••• L•
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Jupiter, Fl · principal | 17 | 1 | 0 | ||
| Madison, Wi | 3 | 0 | 0 | ||
| Davie, Fl | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Davie, FL3 employees
- Madison, WI3 employees
- Boca Raton, FL
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jun 3, 2026S••••••• J••••• A••• (VICE PRESIDENT) left Schedule A between the filings of 2024-10-18 and 2026-06-03peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jun 3, 2026S••••••• J••••• C•••••••• (TRUSTEE) left Schedule A between the filings of 2024-10-18 and 2026-06-03peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jun 3, 2026T•••• K••••• D•••••• (PRESIDENT) left Schedule A between the filings of 2024-10-18 and 2026-06-03peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jun 3, 2026S••••••• P•••• J••••• (TRUSTEE) left Schedule A between the filings of 2024-10-18 and 2026-06-03peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jun 3, 2026S••••••• T•••••• A•••••• (TRUSTEE) left Schedule A between the filings of 2024-10-18 and 2026-06-03peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,543 to 1,580Jun 24, 2025 to Mar 26, 2026
- Advisory employees · 18 to 19Jun 24, 2025 to Mar 26, 2026
- Advisory activities · 3 to 5Jun 24, 2025 to Mar 26, 2026
- HNW clients · 246 to 305Jun 24, 2025 to Mar 26, 2026
- Individual clients · 285 to 253Jun 24, 2025 to Mar 26, 2026
- Assets in custody · $962M to $445MJun 24, 2025 to Mar 26, 2026
- Employees · 29 to 28Jun 24, 2025 to Mar 26, 2026
- Financial planning clients · 26-50 to 51-100Jun 24, 2025 to Mar 26, 2026
- State-registered IARs · 18 to 19Jun 24, 2025 to Mar 26, 2026
- Other offices · 3 to 2Jun 24, 2025 to Mar 26, 2026
- Discretionary RAUM · $1.6B to $1.7BJun 24, 2025 to Mar 26, 2026
- HNW RAUM · $1.2B to $1.4BJun 24, 2025 to Mar 26, 2026
- Individual RAUM · $155M to $96.2MJun 24, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $17.3M to $17.8MJun 24, 2025 to Mar 26, 2026
- RAUM · $1.7B to $1.8BJun 24, 2025 to Mar 26, 2026
- Financial planning clients · 26-50 to 26-50Mar 28, 2025 to Jun 24, 2025
- Accounts · 1,426 to 1,543Nov 26, 2024 to Mar 28, 2025
- Charity clients · 2 to 3Nov 26, 2024 to Mar 28, 2025
- HNW clients · 254 to 246Nov 26, 2024 to Mar 28, 2025
- Individual clients · 245 to 285Nov 26, 2024 to Mar 28, 2025
- Assets in custody · $439M to $962MNov 26, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.3B to $1.6BNov 26, 2024 to Mar 28, 2025
- HNW RAUM · $1.2B to $1.2BNov 26, 2024 to Mar 28, 2025
- Individual RAUM · $115M to $155MNov 26, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $29.9M to $17.3MNov 26, 2024 to Mar 28, 2025
- RAUM · $1.4B to $1.7BNov 26, 2024 to Mar 28, 2025
- Related insurance company · true to falseNov 26, 2024 to Mar 28, 2025
- Advisory employees · 17 to 18Oct 18, 2024 to Nov 26, 2024
- State-registered IARs · 17 to 18Oct 18, 2024 to Nov 26, 2024
- Other offices · 4 to 3Oct 18, 2024 to Nov 26, 2024
- Employees · 24 to 29Mar 20, 2024 to Jun 25, 2024
- Accounts · 1,158 to 1,426Sep 25, 2023 to Mar 1, 2024
- Advisory employees · 14 to 17Sep 25, 2023 to Mar 1, 2024
- Corporate clients · unset to 2.0Sep 25, 2023 to Mar 1, 2024
- HNW clients · 198 to 254Sep 25, 2023 to Mar 1, 2024
- Individual clients · 224 to 245Sep 25, 2023 to Mar 1, 2024
- Assets in custody · $372M to $439MSep 25, 2023 to Mar 1, 2024
- Employees · 23 to 24Sep 25, 2023 to Mar 1, 2024
- State-registered IARs · 14 to 17Sep 25, 2023 to Mar 1, 2024
- Discretionary RAUM · $939M to $1.3BSep 25, 2023 to Mar 1, 2024
Signals
12 dated events
- Adam Jason Seltzer (Vice President) appeared on Schedule A of S••••••••• W••••• L••Oct 18, 2024 · Control person joined · fact
- Douglas Kevin Tice (President) appeared on Schedule A of S••••••••• W••••• L••Oct 18, 2024 · Control person joined · fact
- J••••• Paul Sorbara (Vice President) appeared on Schedule A of S••••••••• W••••• L••Oct 18, 2024 · Control person joined · fact
- Catherine Julia Sorbara (Beneficiary) appeared on Schedule A of S••••••••• W••••• L••Oct 18, 2024 · Control person joined · fact
- Anthony Thomas Sorbara (Beneficiary) appeared on Schedule A of S••••••••• W••••• L••Oct 18, 2024 · Control person joined · fact
- S••••••••• W••••• L•• reported RAUM $1.4B, up 44% from $952.3M (2023-09-25 to 2024-03-01)Mar 1, 2024 · RAUM change · derived
- 2 advisors left M••••• S•••••• (Palm Beach Gardens, FL) for S••••••••• W••••• L•• on the same dayAug 2, 2023 · Team lift-out · derived
- (Nmn) Eyal G••••••• (Member) no longer on Schedule A of S••••••••• W••••• L•• (listed 2021-04-09, absent 2022-01-06)Jan 6, 2022 · Control person left · inference
- John David Costigan (Managing Member And Coo) no longer on Schedule A of S••••••••• W••••• L•• (listed 2020-06-23, absent 2020-09-25)Sep 25, 2020 · Control person left · inference
- S••••••••• W••••• L•• reported RAUM $1.0B, up 101% from $518.1M (2020-01-02 to 2020-03-25)Mar 25, 2020 · RAUM change · derived
- S••••••••• W••••• L•• reported RAUM $566.5M, up 97% from $287.9M (2018-07-25 to 2018-10-23)Oct 23, 2018 · RAUM change · derived
- S••••••••• W••••• L•• filed its initial SEC registration (Form ADV)Feb 10, 2017 · 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
- 561-244-2504reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 561-368-6388reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 561-447-9076reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/S•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Website
- S•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 561-244-2504reportedpublic record, Form ADV, Jun 3, 2026
- Contact form
- slatestone.com/contact-usreportedpublished 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
- $104Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026