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•••••
Legal name S•• W••••• L••
Latest filing Aug 24, 2026
First filing on the tape Mar 14, 2023 · 26 filings
SEC status approved since Apr 13, 2023
RAUM
$63.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$63.7M individuals and HNW
Advisors
14
registered through the firm on IAPD
RAUM per advisor
$4.5M
derived; firm RAUM over IAPD count
Employees
21
14 advisory (5.B.1)
Offices
14
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$63.7M as of Aug 24, 2026
Mar 27, 2024$9.0M then
HNW client RAUM$5.9M as of Aug 24, 2026
Mar 27, 2024$752,244 then
State-registered IARs (5.B.3)14 as of Aug 24, 2026
Mar 27, 202416 then
Employees (5.A)21 as of Aug 24, 2026
Mar 27, 202424 then
Private funds: no history
RAUM +118% over the last fiscal yearIARs 15 to 14offices 15 to 14
Practice profile
derived from the filing of Aug 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- p••••••• led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $4.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 118derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $368,907derivedHNW RAUM over HNW clients
- Average account
- $33,612derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.9derived15 offices incl. principal (1.F.5)
- RAUM growth, one year
- +118%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +16%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Financial planning clients
- 2,500reportedItem 5.H
- 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
- Individuals$57.8M91%
- High-net-worth individuals$5.9M9.3%
- Individual clients
- 1,641reported
- HNW clients
- 16reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,895reported
- Financial planning clients
- 2,500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
14 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• L•• H••••••Certified Financial Planner, Chartered Financial Analyst | Durham, Nc | Apr 28, 2023 | 14 y | 0 |
| S••••• S•••••• T•••••••••Certified Financial Planner | Newport News, Va | May 1, 2023 | 10 y | 2 |
| S•••• T••••• M•••••••Certified Financial Planner | Santa Cruz, Ca | Jul 12, 2023 | 11 y | 0 |
| J•••• M•••••• C•••••••Certified Financial Planner | Springboro, Oh | Dec 6, 2023 | 12 y | 2 |
| J•••• C•••• C•••••••Certified Financial Planner | West Hartford, Ct | Dec 8, 2023 | 10 y | 2 |
| M••••• R•• M••••••Certified Financial Planner, Chartered Financial Consultant | Durham, Nc | Dec 21, 2023 | 12 y | 3 |
| A••••• M•••• P•••Certified Financial Planner | Marina, Ca | Jan 2, 2024 | 11 y | 1 |
| B••••••• J••••• L•••••• | Durham, Nc | Jan 2, 2024 | 13 y | 2 |
| D•••• A••••• A••••• | La Mesa, Ca | May 16, 2024 | 13 y | 0 |
| C••••• S•••• P••••• | Durham, Nc | Sep 6, 2024 | 14 y | 0 |
| S••••••• L••• H•••••Certified Financial Planner | Atlanta, Ga | Jul 7, 2025 | 13 y | 1 |
| S••••• A••••• T•••••Chartered Financial Consultant | Durham, Nc | Nov 12, 2025 | 12 y | 3 |
| C••••••••• C•••• C••••••• | Durham, Nc | Nov 14, 2025 | 11 y | 0 |
| B•••• L•• S•••• | Durham, Nc | Feb 11, 2026 | 18 y | 0 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 7.1% of current headcount6 left over 36 months
Left, latest
- K••••••• B••••••• B••• to N••••••••Sep 29, 2025 · Other
- M••••••• B••••• J•••• to A••••• F••••••••Jun 2, 2025 · RIA to RIA
- D••••• J••••• R••••• to R••• F•••••••• L••Mar 4, 2025 · RIA to a state-registered adviser
- J•••• C••••••• M••••••• to N••••••••Feb 7, 2025 · Other
- S••••••• W•••• S••••••••• to X••• S•••••••Jul 26, 2024 · Other
- J••••• T••••• H••••• to C•••••••• F•••••••• G•••• A•••••••Mar 7, 2024 · Other
Joined, latest
- S••••• A••••• T••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 12, 2025 · Wirehouse to independent RIA
- S••••••• L••• H••••• from A••••• W•••••Jul 7, 2025 · RIA to RIA
- K••••••• B••••••• B••• from I••••••••• W••••• M•••••••••Feb 12, 2024 · RIA to a newly registered adviser
- J••••• T••••• H••••• from C•••••••• F•••••••• G•••• A•••••••Jan 5, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- A••••• M•••• P••• from C••••••••• F•••••••• N••••••Jan 2, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- B••••••• J••••• L•••••• from H•••••• T••••••• • K•••• L••Jan 2, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- M••••• R•• M•••••• from M•• I•••••••• S•••••••• L••Dec 21, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- J•••• C•••• C••••••• from W••••••••• A•••••••Dec 8, 2023 · RIA to a newly registered adviser
- J•••• M•••••• C••••••• from M•••••••••Dec 6, 2023 · Other
- M••••••• B••••• J•••• from V•••••• W••••• M••••••••• L••Aug 7, 2023 · RIA to a newly registered adviser
- D••••• J••••• R••••• from R••• F•••••••• L••May 10, 2023 · Other
- J•••• C••••••• M••••••• from M••••••• F•••••••• P••••••• L••May 5, 2023 · Other
- S••••• S•••••• T••••••••• from F•• • C•••••• W••••• M•••••••••May 1, 2023 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• T•••••• L•• · President, Membercontrolsince 11/2023 · owns 50% to 75%
- M•••••••• C••••• M•••••• · Membersince 11/2023 · owns 5% to 10%
- M••••••• M•••••• R•• · Membersince 11/2023 · owns 5% to 10%
- R•••••• D•••••• J••••• · Membersince 11/2023 · owns 5% to 10%
- T••••••••• S•••••• S•••••• · Cco, Membersince 11/2023 · owns 5% to 10%
Related persons
Schedule D 7.A
- S•• I•••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Durham, Nc · principal | 14 | 3 | 0 | ||
| Chicago, Il | 0 | 0 | 0 | ||
| Philadelphia, Pa | 0 | 0 | 0 | ||
| Robbinsdale, Mn | 0 | 0 | 0 | ||
| San Diego, Ca | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Apr 22, 2026accounts (Item 5.F.2.f) moved from 846.0 to 1,895.0 (+124.0%) between the annual amendments of 2025-03-04 and 2026-04-22; the peer median change was +2.0% (136 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, under $100M (136) · 95% percentile
What changed
consecutive filings, newest first
- Advisory employees · 15 to 14Apr 22, 2026 to Jun 16, 2026
- Employees · 22 to 21Apr 22, 2026 to Jun 16, 2026
- State-registered IARs · 15 to 14Apr 22, 2026 to Jun 16, 2026
- Other offices · 15 to 14Apr 22, 2026 to Jun 16, 2026
- Advisory employees · 16 to 15Feb 23, 2026 to Apr 22, 2026
- Employees · 23 to 22Feb 23, 2026 to Apr 22, 2026
- State-registered IARs · 16 to 15Feb 23, 2026 to Apr 22, 2026
- Other offices · 17 to 15Feb 23, 2026 to Apr 22, 2026
- Accounts · 846 to 1,895Nov 26, 2025 to Feb 23, 2026
- HNW clients · 20 to 16Nov 26, 2025 to Feb 23, 2026
- Individual clients · 1,405 to 1,641Nov 26, 2025 to Feb 23, 2026
- Pension plan clients · unset to 0.0Nov 26, 2025 to Feb 23, 2026
- Employees · 20 to 23Nov 26, 2025 to Feb 23, 2026
- Other offices · 16 to 17Nov 26, 2025 to Feb 23, 2026
- Discretionary RAUM · $29.2M to $63.7MNov 26, 2025 to Feb 23, 2026
- HNW RAUM · $2.9M to $5.9MNov 26, 2025 to Feb 23, 2026
- Individual RAUM · $26.3M to $57.8MNov 26, 2025 to Feb 23, 2026
- Non-discretionary RAUM · $25,673 to $0Nov 26, 2025 to Feb 23, 2026
- Pension RAUM · $25,673 to $0Nov 26, 2025 to Feb 23, 2026
- RAUM · $29.2M to $63.7MNov 26, 2025 to Feb 23, 2026
- Advisory employees · 13 to 16Aug 20, 2025 to Nov 26, 2025
- Employees · 18 to 20Aug 20, 2025 to Nov 26, 2025
- State-registered IARs · 13 to 16Aug 20, 2025 to Nov 26, 2025
- Other offices · 13 to 16Aug 20, 2025 to Nov 26, 2025
- Advisory employees · 12 to 13Jun 2, 2025 to Jul 15, 2025
- Employees · 17 to 18Jun 2, 2025 to Jul 15, 2025
- Financial planning clients · More than 500 to More than 500Jun 2, 2025 to Jul 15, 2025
- State-registered IARs · 12 to 13Jun 2, 2025 to Jul 15, 2025
- Other offices · 12 to 13Jun 2, 2025 to Jul 15, 2025
- Advisory employees · 15 to 12Mar 4, 2025 to Jun 2, 2025
- Employees · 20 to 17Mar 4, 2025 to Jun 2, 2025
- State-registered IARs · 15 to 12Mar 4, 2025 to Jun 2, 2025
- Other offices · 15 to 12Mar 4, 2025 to Jun 2, 2025
- Advisory employees · 17 to 15Jan 10, 2025 to Mar 4, 2025
- Employees · 22 to 20Jan 10, 2025 to Mar 4, 2025
- State-registered IARs · 17 to 15Jan 10, 2025 to Mar 4, 2025
- Other offices · 17 to 15Jan 10, 2025 to Mar 4, 2025
- Accounts · 230 to 846Oct 18, 2024 to Jan 10, 2025
- Advisory activities · 3 to 4Oct 18, 2024 to Jan 10, 2025
- HNW clients · 6 to 20Oct 18, 2024 to Jan 10, 2025
Signals
8 dated events
- K••••••• B••••••• B••• left S•• W••••• for Nectarine (registered 2026-01-15)Sep 29, 2025 · Advisor changed firm · fact
- M••••••• B••••• J•••• left S•• W••••• for A••••• F•••••••• (registered 2025-06-10)Jun 2, 2025 · Advisor changed firm · fact
- D••••• J••••• R••••• left S•• W••••• for R••• F•••••••• L•• (registered 2025-07-11)Mar 4, 2025 · Advisor changed firm · fact
- J•••• C••••••• M••••••• left S•• W••••• for Nectarine (registered 2025-07-28)Feb 7, 2025 · Advisor changed firm · fact
- S••••••• W•••• S••••••••• left S•• W••••• for X••• S••••••• (registered 2024-08-23)Jul 26, 2024 · Advisor changed firm · fact
- J••••• T••••• H••••• left S•• W••••• for C•••••••• F•••••••• G•••• A••••••• (registered 2024-03-11)Mar 7, 2024 · Advisor changed firm · fact
- S•• W••••• reported 14 offices beyond its principal office, up from 7 (2023-10-30 to 2024-01-02)Jan 2, 2024 · Office count change · derived
- S•• W••••• filed its initial SEC registration (Form ADV)Mar 14, 2023 · 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 email
- support@slpwealth.comreportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/slp-wealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- slpwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (910) 315-0973reportedpublic record, Form ADV, Aug 24, 2026
- Contact form
- slpwealth.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $4.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026