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•••••• A•• L•••••
Legal name S•••••• A•• L•••••• L••
Latest filing Jul 17, 2026
First filing on the tape Jan 23, 2018 · 41 filings
SEC status approved since Feb 22, 2018
RAUM
$1.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$1.3B individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$223M
derived; firm RAUM over IAPD count
Employees
12
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$1.3B as of Jul 17, 2026
Mar 26, 2019$949M then
HNW client RAUM$1.3B as of Jul 17, 2026
Mar 26, 2019$818M then
State-registered IARs (5.B.3)6 as of Jul 17, 2026
Mar 26, 20190 then
Employees (5.A)12 as of Jul 17, 2026
Mar 26, 201913 then
Private funds: no history
RAUM +9.0% over the last fiscal year+3.0% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Jul 17, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $223MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 77derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.8MderivedHNW RAUM over HNW clients
- Average account
- $834,892derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $1.3BreportedItem 5.I
- Custody
- $946M, 398 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.3B94%
- Individuals$62.9M4.7%
- Other investment advisers$23.9M1.8%
- Individual clients
- 196reported
- HNW clients
- 263reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,602reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $946M for 398 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.02 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• E••• S••••••Certified Financial Planner | Richmond, Va | Mar 1, 2018 | 13 y | 1 |
| D•••• M•••• S•••••• | Richmond, Va | Apr 2, 2018 | 44 y | 2 |
| D••••• B••••• L••••• | Richmond, Va | Apr 2, 2018 | 32 y | 2 |
| D•••• S••••••Certified Financial Planner | Richmond, Va | Apr 10, 2018 | 17 y | 2 |
| A•••••• H••• G•••••• | Richmond, Va | Dec 6, 2024 | 21 y | 5 |
| S••• F•••••• G•••••••• | Richmond, Va | May 19, 2026 | 15 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- J••••••• R••••• W•••••• to F••••••• G•••• W••••• P•••••••• L••Jun 25, 2024 · RIA to a newly registered adviser
- C•••••••• M•••••• C••••••• A••••• to F••••••• G•••• W••••• P•••••••• L••Jun 25, 2024 · RIA to a newly registered adviser
- C•••••••• A•••• C•••••• to A•••• F••••••••Oct 1, 2018 · Other
Joined, latest
- S••• F•••••• G•••••••• from H••••••• W••••• A•••••••May 19, 2026 · RIA to RIA
- A•••••• H••• G•••••• from T••••• A••••••• S•••••••• I•••Dec 6, 2024 · Affiliated broker-dealer or bank to independent RIA
- J••••••• R••••• W•••••• from W•••• F•••• A•••••••Apr 10, 2018 · Wirehouse to independent RIA
- D•••• S•••••• from W•••• F•••• A•••••••Apr 10, 2018 · Wirehouse to independent RIA
- C•••••••• M•••••• C••••••• A••••• from W•••• F•••• A•••••••Apr 10, 2018 · Wirehouse to independent RIA
- C•••••••• A•••• C•••••• from W•••• F•••• A•••••••Apr 10, 2018 · Wirehouse to independent RIA
- D••••• B••••• L••••• from W•••• F•••• A•••••••Apr 2, 2018 · Wirehouse to independent RIA
- D•••• M•••• S•••••• from W•••• F•••• A•••••••Apr 2, 2018 · Wirehouse to independent RIA
- J•••• E••• S•••••• from W•••• F•••• A•••••••Mar 1, 2018 · Wirehouse to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for F••••••• G•••• W••••• P•••••••• L••Jun 25, 2024 · Richmond, Va
- 6 joined from W•••• F•••• A•••••••Apr 4, 2018 · Richmond, Va
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••••• S•••• F•••••• · Chief Operating Officercontrolsince 05/2026 · owns less than 5%
- H••••••••• E••••••••• P•••••• · Chief Operating Officercontrolsince 04/2022 · owns less than 5%
- L•••••• D•••••• B••••• · Presidentcontrolsince 01/2018 · owns 25% to 50%
- S••••••• D••••• M•••• · Chief Financial Officercontrolsince 01/2018 · owns 10% to 25%
- S••••••• J••••• E••• · Chief Compliance Officercontrolsince 07/2023 · owns 25% to 50%
- L•••••• D•••••• B••••• · Trusteecontrolsince 01/2018 · owns 75% or more of D••••• B• L••••• R•••••••• T••••
- S••••••• D••••• M•••• · Trusteecontrolsince 01/2018 · owns 75% or more of D•••• M• S•••••• R•••••••• T••••
Entity owners
- D•••• M• S•••••• R•••••••• T•••• · Ownerdirect · owns 10% to 25%
- D••••• B• L••••• R•••••••• T•••• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Richmond, Va · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 17, 2026G••••••••• S•••• F•••••• (CHIEF OPERATING OFFICER) appeared on Schedule A between the filings of 2023-03-30 and 2026-07-17peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 17, 2026H••••••••• E••••••••• P•••••• (CHIEF OPERATING OFFICER) left Schedule A between the filings of 2023-03-30 and 2026-07-17peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- State-registered IARs · 5 to 6Feb 17, 2026 to May 21, 2026
- Accounts · 1,773 to 1,602Oct 21, 2025 to Feb 17, 2026
- Advisory activities · 3 to 2Oct 21, 2025 to Feb 17, 2026
- HNW clients · 246 to 263Oct 21, 2025 to Feb 17, 2026
- Individual clients · 193 to 196Oct 21, 2025 to Feb 17, 2026
- Assets in custody · $901M to $946MOct 21, 2025 to Feb 17, 2026
- Employees · 11 to 12Oct 21, 2025 to Feb 17, 2026
- Discretionary RAUM · $1.2B to $1.3BOct 21, 2025 to Feb 17, 2026
- HNW RAUM · $1.1B to $1.3BOct 21, 2025 to Feb 17, 2026
- Individual RAUM · $73.1M to $62.9MOct 21, 2025 to Feb 17, 2026
- RAUM · $1.2B to $1.3BOct 21, 2025 to Feb 17, 2026
- Accounts · 2,214 to 1,773Dec 10, 2024 to Apr 16, 2025
- Advisory employees · 7 to 6Dec 10, 2024 to Apr 16, 2025
- HNW clients · 333 to 246Dec 10, 2024 to Apr 16, 2025
- Individual clients · 268 to 193Dec 10, 2024 to Apr 16, 2025
- Assets in custody · $1.1B to $901MDec 10, 2024 to Apr 16, 2025
- Employees · 12 to 11Dec 10, 2024 to Apr 16, 2025
- Financial planning clients · 251-500 to 251-500Dec 10, 2024 to Apr 16, 2025
- State-registered IARs · 6 to 5Dec 10, 2024 to Apr 16, 2025
- Discretionary RAUM · $1.7B to $1.2BDec 10, 2024 to Apr 16, 2025
- HNW RAUM · $1.6B to $1.1BDec 10, 2024 to Apr 16, 2025
- Individual RAUM · $104M to $73.1MDec 10, 2024 to Apr 16, 2025
- RAUM · $1.7B to $1.2BDec 10, 2024 to Apr 16, 2025
- Other offices · 1 to 0Nov 5, 2024 to Dec 10, 2024
- Accounts · 2,034 to 2,214Dec 8, 2023 to Mar 27, 2024
- Charity clients · 0.0 to unsetDec 8, 2023 to Mar 27, 2024
- Corporate clients · 0.0 to unsetDec 8, 2023 to Mar 27, 2024
- HNW clients · 35 to 333Dec 8, 2023 to Mar 27, 2024
- Individual clients · 1,951 to 268Dec 8, 2023 to Mar 27, 2024
- Pension plan clients · 0.0 to unsetDec 8, 2023 to Mar 27, 2024
- Pooled vehicle clients · 0.0 to unsetDec 8, 2023 to Mar 27, 2024
- Assets in custody · $1.2B to $1.1BDec 8, 2023 to Mar 27, 2024
- Employees · 11 to 12Dec 8, 2023 to Mar 27, 2024
- Insurance-licensed employees · 1 to 0Dec 8, 2023 to Mar 27, 2024
- State-registered IARs · 1 to 6Dec 8, 2023 to Mar 27, 2024
- Discretionary RAUM · $1.2B to $1.7BDec 8, 2023 to Mar 27, 2024
- HNW RAUM · $310M to $1.6BDec 8, 2023 to Mar 27, 2024
- Individual RAUM · $903M to $104MDec 8, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $45,205 to $0Dec 8, 2023 to Mar 27, 2024
- Pension RAUM · 0.0 to unsetDec 8, 2023 to Mar 27, 2024
Signals
13 dated events
- S•••••• A•• L••••• reported RAUM $1.2B, down 28% from $1.7B (2024-12-10 to 2025-04-16)Apr 16, 2025 · RAUM change · derived
- C•••••••• M•••••• C••••••• A••••• left S•••••• A•• L••••• for F••••••• G•••• W••••• P•••••••• L•• (registered 2024-05-24)Jun 25, 2024 · Advisor changed firm · fact
- J••••••• R••••• W•••••• left S•••••• A•• L••••• for F••••••• G•••• W••••• P•••••••• L•• (registered 2024-05-24)Jun 25, 2024 · Advisor changed firm · fact
- 2 advisors left S•••••• A•• L••••• (Richmond, VA) for F••••••• G•••• W••••• P•••••••• L•• on the same dayJun 25, 2024 · Team lift-out · derived
- S•••••• A•• L••••• reported RAUM $1.7B, up 40% from $1.2B (2023-12-08 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- Lewis Wilburn Doyle (Chief Compliance Officer) no longer on Schedule A of S•••••• A•• L••••• (listed 2023-03-30, absent 2023-07-31)Jul 31, 2023 · Control person left · inference
- Pettler Elizabeth Johnson (Chief Operating Officer) appeared on Schedule A of S•••••• A•• L•••••Mar 30, 2023 · Control person joined · fact
- Eric Jacob S•••••• (Owner) appeared on Schedule A of S•••••• A•• L•••••Dec 3, 2021 · Control person joined · fact
- Lewis Wilburn Doyle (Chief Compliance Officer) appeared on Schedule A of S•••••• A•• L•••••Jan 27, 2021 · Control person joined · fact
- Wayne Lance Whittemore (Chief Compliance Officer) no longer on Schedule A of S•••••• A•• L••••• (listed 2020-10-29, absent 2021-01-27)Jan 27, 2021 · Control person left · inference
- Wayne Lance Whittemore (Chief Compliance Officer) appeared on Schedule A of S•••••• A•• L•••••Mar 9, 2020 · Control person joined · fact
- White Polly Cordle (Chief Compliance Officer) no longer on Schedule A of S•••••• A•• L••••• (listed 2019-11-20, absent 2020-03-09)Mar 9, 2020 · Control person left · inference
- S•••••• A•• L••••• filed its initial SEC registration (Form ADV)Jan 23, 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
- Business phone
- 804-592-4999reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/salomon-&-ludwin-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- S••••••L•••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 804-592-4999reportedpublic record, Form ADV, Jul 17, 2026
- Contact form
- salomonludwin.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- salomonludwin.com/about/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
- $223Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026