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
Cws Financial Advisors LLC
Latest filing Jul 24, 2026
First filing on the tape Apr 25, 2018 · 27 filings
SEC status approved since May 23, 2018
RAUM
$1.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$1.3B individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$190M
derived; firm RAUM over IAPD count
Employees
12
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$1.3B as of Jul 24, 2026
Mar 29, 2019$883M then
HNW client RAUM$1.1B as of Jul 24, 2026
Mar 29, 2019$674M then
State-registered IARs (5.B.3)6 as of Jul 24, 2026
Mar 29, 20193 then
Employees (5.A)12 as of Jul 24, 2026
Mar 29, 20193 then
Private funds: no history
RAUM +11% over the last fiscal year+10% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Jul 24, 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
- RAUM per advisor
- $190MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 115derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $616,237derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $741M, 489 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$1.1B86%
- Individuals$176M13%
- Charitable organizations$14.1M1.1%
- Individual clients
- 421reported
- HNW clients
- 381reported
- Pension plan clients
- 0reported
- Charitable clients
- 5reported
- Accounts
- 2,156reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $741M for 489 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Cory Dale WietfeldtCertified Financial Planner | Kalamazoo, Mi | Jun 15, 2018 | 32 y | 3 |
| Christine Louise Batts | Kalamazoo, Mi | Jun 25, 2019 | 12 y | 1 |
| William Joseph RobertsCertified Financial Planner | Kalamazoo, Mi | Jun 23, 2021 | 10 y | 0 |
| Regina N Spence | Kalamazoo, Mi | Jan 1, 2025 | 19 y | 2 |
| Joseph Paul Splendorio | Kalamazoo, Mi | May 1, 2026 | 24 y | 3 |
| Lindsey Erin SplendorioCertified Financial Planner | Kalamazoo, Mi | Aug 26, 2026 | 24 y | 4 |
| Andrew Blair Gildea | Kalamazoo, Mi | Aug 31, 2026 | 10 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Lindsey Erin Splendorio from Wells Fargo AdvisorsAug 26, 2026 · Wirehouse to independent RIA
- Regina N Spence from LPL Financial LLCJan 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- Christine Louise Batts from M Holdings Securities, Inc.Jun 25, 2019 · Affiliated broker-dealer or bank to independent RIA
- Cory Dale Wietfeldt from Wells Fargo AdvisorsJun 15, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- Joseph Paul Splendorio from Wells Fargo AdvisorsJun 15, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from Wells Fargo AdvisorsJun 19, 2018 · Kalamazoo, Mi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Paul Joseph Splendorio · Managing Membercontrolsince 01/2014 · owns 25% to 50%
- Erin Lindsey Splendorio · Managing Membercontrolsince 01/2014 · owns 25% to 50%
- Dale Cory Wietfeldt · Managing Member And Chief Compliance Officercontrolsince 01/2014 · owns 25% to 50%
Entity owners
- Aspen Standard Group, LLC · Memberdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Kalamazoo, Mi · principal | 7 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 24, 2026WIETFELDT, CORY, DALE (MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2018-04-25 and 2026-07-24peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Jul 24, 2026SPLENDORIO, LINDSEY, ERIN (MANAGING MEMBER) left Schedule A between the filings of 2018-04-25 and 2026-07-24peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Jul 24, 2026SPLENDORIO, JOSEPH, PAUL (MANAGING MEMBER) left Schedule A between the filings of 2018-04-25 and 2026-07-24peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Related adviser · false to trueFeb 11, 2026 to Jul 24, 2026
- Accounts · 2,149 to 2,156Nov 21, 2025 to Feb 11, 2026
- HNW clients · 354 to 381Nov 21, 2025 to Feb 11, 2026
- Individual clients · 455 to 421Nov 21, 2025 to Feb 11, 2026
- Assets in custody · $650M to $741MNov 21, 2025 to Feb 11, 2026
- Employees · 11 to 12Nov 21, 2025 to Feb 11, 2026
- Discretionary RAUM · $1.2B to $1.3BNov 21, 2025 to Feb 11, 2026
- HNW RAUM · $1.0B to $1.1BNov 21, 2025 to Feb 11, 2026
- Individual RAUM · $179M to $176MNov 21, 2025 to Feb 11, 2026
- Non-discretionary RAUM · $5.4M to $5.5MNov 21, 2025 to Feb 11, 2026
- RAUM · $1.2B to $1.3BNov 21, 2025 to Feb 11, 2026
- Advisory activities · 4 to 3Feb 25, 2025 to Nov 21, 2025
- Accounts · 2,094 to 2,149Mar 6, 2024 to Feb 25, 2025
- HNW clients · 278 to 354Mar 6, 2024 to Feb 25, 2025
- Individual clients · 520 to 455Mar 6, 2024 to Feb 25, 2025
- Assets in custody · $589M to $650MMar 6, 2024 to Feb 25, 2025
- Employees · 10 to 11Mar 6, 2024 to Feb 25, 2025
- Financial planning clients · 1-10 to 1-10Mar 6, 2024 to Feb 25, 2025
- Other offices · 0 to 1Mar 6, 2024 to Feb 25, 2025
- Discretionary RAUM · $1.1B to $1.2BMar 6, 2024 to Feb 25, 2025
- HNW RAUM · $798M to $1.0BMar 6, 2024 to Feb 25, 2025
- Individual RAUM · $245M to $179MMar 6, 2024 to Feb 25, 2025
- Non-discretionary RAUM · $4.5M to $5.4MMar 6, 2024 to Feb 25, 2025
- RAUM · $1.1B to $1.2BMar 6, 2024 to Feb 25, 2025
- Accounts · 2,102 to 2,094Nov 14, 2023 to Mar 6, 2024
- HNW clients · 280 to 278Nov 14, 2023 to Mar 6, 2024
- Individual clients · 517 to 520Nov 14, 2023 to Mar 6, 2024
- Assets in custody · $477M to $589MNov 14, 2023 to Mar 6, 2024
- Employees · 11 to 10Nov 14, 2023 to Mar 6, 2024
- State-registered IARs · 5 to 6Nov 14, 2023 to Mar 6, 2024
- Discretionary RAUM · $930M to $1.1BNov 14, 2023 to Mar 6, 2024
- HNW RAUM · $764M to $798MNov 14, 2023 to Mar 6, 2024
- Individual RAUM · $212M to $245MNov 14, 2023 to Mar 6, 2024
- Non-discretionary RAUM · $58.9M to $4.5MNov 14, 2023 to Mar 6, 2024
- RAUM · $989M to $1.1BNov 14, 2023 to Mar 6, 2024
- Advisory activities · 3 to 4Feb 13, 2023 to Mar 28, 2023
- Accounts · 2,122 to 2,102Feb 16, 2022 to Feb 13, 2023
- HNW clients · 276 to 280Feb 16, 2022 to Feb 13, 2023
- Individual clients · 523 to 517Feb 16, 2022 to Feb 13, 2023
- Assets in custody · $541M to $477MFeb 16, 2022 to Feb 13, 2023
Signals
1 dated events
- Cws Financial Advisors Llc filed its initial SEC registration (Form ADV)Apr 25, 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
- linkedin.AndrewGildeareportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (269) 349-4600reportedpublic record, Form ADV, Jul 24, 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
- $190Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026