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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S••••••• A•••••••
Legal name S••••••• A•••••••• L••
Latest filing Feb 23, 2026
First filing on the tape Apr 22, 2020 · 22 filings
SEC status approved since May 26, 2020
RAUM
$209M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
19%
$39.2M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$69.6M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$209M as of Feb 23, 2026
Mar 24, 2021$113M then
HNW client RAUM$39.2M as of Feb 23, 2026
Mar 28, 2022$15.0M then
State-registered IARs (5.B.3)3 as of Feb 23, 2026
Mar 24, 20212 then
Employees (5.A)4 as of Feb 23, 2026
Mar 24, 20213 then
Private funds: no history
RAUM +26% over the last fiscal year+18% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- RAUM per advisor
- $69.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.8MderivedHNW RAUM over HNW clients
- Average account
- $5.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 81%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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
- Charitable organizations$169M81%
- High-net-worth individuals$39.2M19%
- Individual clients
- n/areported
- HNW clients
- 4reported
- Pension plan clients
- n/areported
- Charitable clients
- 4reported
- Accounts
- 37reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.19 fund_share=0.0 institutional_share=0.81 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 |
|---|---|---|---|---|
| J•••• W••••••• L•••••• | Naples, Fl | Jun 10, 2020 | 26 y | 1 |
| J••••• A• E•••••• | Glen Ellyn, Il | Aug 14, 2020 | 24 y | 2 |
| M•••••• G•••••• R••••••••• | Evanston, Il | Jul 3, 2025 | 12 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
none on the tape
Joined, latest
- J••••• A• E•••••• from W•••••• B•••• • C•••••• L•••••Aug 14, 2020 · Other
- J•••• W••••••• L•••••• from E•••••••• P••Jun 10, 2020 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• V•••••••• L••• · Chief Compliance Officercontrolsince 04/2020 · owns less than 5%
- L••••••• J••••• W••••••• · Founder And Principalcontrolsince 04/2020 · 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 |
|---|---|---|---|---|---|
| Naples, Fl · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL2 employees
What changed
consecutive filings, newest first
- Accounts · 34 to 37Jul 8, 2025 to Feb 23, 2026
- Advisory employees · 4 to 3Jul 8, 2025 to Feb 23, 2026
- Discretionary RAUM · $165M to $209MJul 8, 2025 to Feb 23, 2026
- HNW RAUM · $27.3M to $39.2MJul 8, 2025 to Feb 23, 2026
- RAUM · $165M to $209MJul 8, 2025 to Feb 23, 2026
- Financial planning clients · 0 to 0Jan 31, 2025 to Jul 8, 2025
- Accounts · 25 to 34Dec 4, 2024 to Jan 31, 2025
- Charity clients · 3 to 4Dec 4, 2024 to Jan 31, 2025
- State-registered IARs · 2 to 3Dec 4, 2024 to Jan 31, 2025
- Discretionary RAUM · $127M to $165MDec 4, 2024 to Jan 31, 2025
- HNW RAUM · $16.2M to $27.3MDec 4, 2024 to Jan 31, 2025
- RAUM · $127M to $165MDec 4, 2024 to Jan 31, 2025
- Accounts · 29 to 25Aug 25, 2023 to Mar 18, 2024
- HNW clients · 5 to 4Aug 25, 2023 to Mar 18, 2024
- Financial planning clients · unset to 0Aug 25, 2023 to Mar 18, 2024
- Discretionary RAUM · $114M to $127MAug 25, 2023 to Mar 18, 2024
- HNW RAUM · $13.3M to $16.2MAug 25, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $11.9M to $0Aug 25, 2023 to Mar 18, 2024
- RAUM · $126M to $127MAug 25, 2023 to Mar 18, 2024
- Accounts · 22 to 29Nov 15, 2022 to Mar 17, 2023
- Discretionary RAUM · $149M to $114MNov 15, 2022 to Mar 17, 2023
- HNW RAUM · $15.0M to $13.3MNov 15, 2022 to Mar 17, 2023
- Non-discretionary RAUM · $0 to $11.9MNov 15, 2022 to Mar 17, 2023
- RAUM · $149M to $126MNov 15, 2022 to Mar 17, 2023
- Other offices · 0 to 1Mar 28, 2022 to Apr 13, 2022
- Accounts · 8 to 22Sep 20, 2021 to Mar 28, 2022
- Advisory employees · 3 to 4Sep 20, 2021 to Mar 28, 2022
- Charity clients · unset to 3.0Sep 20, 2021 to Mar 28, 2022
- HNW clients · unset to 5.0Sep 20, 2021 to Mar 28, 2022
- Employees · 3 to 4Sep 20, 2021 to Mar 28, 2022
- Discretionary RAUM · $113M to $149MSep 20, 2021 to Mar 28, 2022
- HNW RAUM · unset to 15045098.0Sep 20, 2021 to Mar 28, 2022
- RAUM · $113M to $149MSep 20, 2021 to Mar 28, 2022
- Advisory employees · 1 to 3Sep 30, 2020 to Mar 24, 2021
- Advisory activities · 2 to 3Sep 30, 2020 to Mar 24, 2021
- Employees · 1 to 3Sep 30, 2020 to Mar 24, 2021
- State-registered IARs · 0 to 2Sep 30, 2020 to Mar 24, 2021
- Discretionary RAUM · $100M to $113MSep 30, 2020 to Mar 24, 2021
- RAUM · $100M to $113MSep 30, 2020 to Mar 24, 2021
- HQ city · MIAMI to NAPLESJul 31, 2020 to Sep 30, 2020
Signals
1 dated events
- S••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 22, 2020 · 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
- southcoladvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 239-228-8747reportedpublic record, Form ADV, Feb 23, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $69.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026