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•• I••••••••• M••••••••• L••
Latest filing Jun 16, 2026
First filing on the tape Jul 3, 2024 · 5 filings
SEC status approved since Aug 15, 2024
RAUM
$464M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$464M as of Jun 16, 2026
Mar 25, 2025$156M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 16, 2026
Mar 25, 20250 then
Employees (5.A)11 as of Jun 16, 2026
Mar 25, 20256 then
Private funds: no history
RAUM +198% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 16, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $232MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +190%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$464M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••• V•••••• · Portfolio Managercontrolsince 06/2024 · owns less than 5%
- C••••• K••••••• S•••• · Presidentcontrolsince 06/2024 · owns less than 5%
- M•••••••• W•••••• C••••••• · General Counsel And Chief Compliance Officercontrolsince 06/2024 · owns less than 5%
- T•••••••• I••• J•••••• W••••••• · Cfo/Coocontrolsince 06/2024 · owns less than 5%
- M•••••• G••• · Ownercontrolsince 02/1998 · owns 50% to 75% of F•••• U••••• B••• A•• T•••• C••••••
Entity owners
- R••••• A•••• M••••••••• C••••••• L•• · Sole Managing Memberdirect · owns 75% or more
- F•••• U••••• B••• A•• T•••• C•••••• · Memberindirect · owns 75% or more of R••••• A•••• M••••••••• C••••••• L••
Related persons
Schedule D 7.A
- F•••• U••••• B••• A•• T•••• C••••••y
- M•••• I••••••••• M••••••••• L•investment advisernRAUM $321M
- R••••• A••••••••• M••••••••• L•••investment advisernRAUM $54.5M
- U•••• I•••••••• P•••••••real estaten
Offices
Schedule D 1.F, the 25 largest
- Plano, TX1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $155,648,138 to $450,969,591 (+190.0%) between the annual amendments of 2025-03-25 and 2026-03-31; the peer median change was +4.0% (1147 comparable advisers, 99.0th percentile of changes)peers: asset managers, $100M to $500M (1,147) · 99% percentile
What changed
consecutive filings, newest first
- Advisory employees · 1 to 2Mar 31, 2026 to Jun 16, 2026
- Business name · W••••• F•••• I••••• M••••••••• to S•• I••••••••• M••••••••• L••Mar 31, 2026 to Jun 16, 2026
- Employees · 10 to 11Mar 31, 2026 to Jun 16, 2026
- Legal name · W••••• F•••• I••••• M•••••••••, LLC to S•• I••••••••• M••••••••• L••Mar 31, 2026 to Jun 16, 2026
- Discretionary RAUM · $451M to $464MMar 31, 2026 to Jun 16, 2026
- RAUM · $451M to $464MMar 31, 2026 to Jun 16, 2026
- BD registered reps · 0 to 1Mar 25, 2025 to Mar 31, 2026
- Employees · 6 to 10Mar 25, 2025 to Mar 31, 2026
- Discretionary RAUM · $156M to $451MMar 25, 2025 to Mar 31, 2026
- RAUM · $156M to $451MMar 25, 2025 to Mar 31, 2026
- Accounts · 0 to 2Aug 5, 2024 to Mar 25, 2025
- Financial planning clients · unset to Aug 5, 2024 to Mar 25, 2025
- Discretionary RAUM · $0 to $156MAug 5, 2024 to Mar 25, 2025
- RAUM · $0 to $156MAug 5, 2024 to Mar 25, 2025
Signals
2 dated events
- S•• I••••••••• M••••••••• L•• reported RAUM $451.0M, up 190% from $155.6M (2025-03-25 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- W••••• F•••• I••••• M••••••••• filed its initial SEC registration (Form ADV)Jul 3, 2024 · ria f•••• adv filing · 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
- Firm profile
- linkedin.com/company/slw-investment-managementreportedpublic record, Form ADV, Sep 19, 2026
- Website
- s••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 214-871-5200reportedpublic record, Form ADV, Jun 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026