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••••• W••••• G••••

Independent wealth managerColorado Springs, ColoradoCRD 335242SEC 801-132262websiteIAPD
Legal name S••••• W••••• G•••• L••
Latest filing Jul 14, 2026
First filing on the tape Apr 7, 2025 · 7 filings
SEC status approved since Mar 27, 2025
RAUM
$2.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$2.3B individuals and HNW
Advisors
35
registered through the firm on IAPD
RAUM per advisor
$65.9M
derived; firm RAUM over IAPD count
Employees
80
29 advisory (5.B.1)
Offices
10
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$2.3B as of Jul 14, 2026
Apr 7, 2025$0 then
HNW client RAUM$1.5B as of Jul 14, 2026
Jul 21, 2025$762M then
State-registered IARs (5.B.3)32 as of Jul 14, 2026
Apr 7, 20250 then
Employees (5.A)80 as of Jul 14, 2026
Apr 7, 202569 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 32offices 9 to 10
Practice profile
derived from the filing of Jul 14, 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
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
RAUM per advisor
$65.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
89derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$267,156derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
3.2derived11 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program
$4.6BreportedItem 5.I
Custody
$158M, 277 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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • marketing includes testimonials (5.L.1.c)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.5B66%
  • Individuals$780M34%
Individual clients
2,533reported
HNW clients
584reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
8,632reported
Financial planning clients
251-500reported
Wrap fee programs
$2.3B sponsored, $2.3B managedreported
Custody of client assets
$158M for 277 clientsreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=15.0derived
Advisors registered through the firm
35 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J••••• J•• J•••••Certified Financial PlannerLakewood, Co Apr 9, 202511 y3
R••••• M•••••• S••••••Colorado Springs, Co Apr 9, 202513 y2
R••• W• H••••••Certified Financial PlannerColorado Springs, CoApr 9, 202523 y3
L•••• J•••••Certified Financial Planner, Chartered Financial ConsultantColorado Springs, CoApr 9, 202520 y3
M•••••• T•••••••Greenwood Village, Co Apr 9, 202514 y1
D••••• B••••••• D••Certified Financial PlannerColorado Springs, CoApr 9, 202510 y1
J•••• J•••• R•••••Certified Financial PlannerColorado Springs, Co Apr 9, 202519 y4
T•••• D••• T•••••••Colorado Springs, CoApr 9, 202527 y3
J•••• E•••• C••••••Certified Financial PlannerColorado Springs, Co Apr 9, 202517 y2
L••••• G••••••Iva, Sc Apr 9, 202519 y1
D••••• E••• C•••Certified Financial PlannerColorado Springs, Co Apr 9, 202534 y2
S•••• A••••• P••••••Greenwood Village, Co Apr 9, 202514 y1
D•••• R•••• N•••••Certified Financial PlannerFranklin, Tn Apr 9, 202515 y2
N••••• M•••••• A••••••••Certified Financial PlannerColorado Springs, CoApr 10, 202520 y2
M•••••• J• E•••••••••Colorado Springs, CoApr 10, 202518 y4
C•••••• R••••• M•••••Certified Financial Planner, Chartered Financial ConsultantS••••Sdale, Az Apr 14, 202544 y3
R••••• S• M••••Certified Financial PlannerColorado Springs, Co Apr 16, 202516 y3
D•••• S• N••••Certified Financial PlannerS••••Sdale, Az Apr 16, 202518 y4
K••• W•••• W••••••••Certified Financial PlannerRapid City, Sd Apr 28, 202537 y2
C••••••••• E•••• W••••Certified Financial PlannerColorado Springs, Co May 1, 202526 y3
C•••••••• K••• W••••••••Colorado Springs, Co May 1, 202513 y1
L•••• A••• M•••••••Meridian, Ms May 1, 202511 y1
J••••• A••• O••••Certified Financial PlannerColorado Springs, Co May 5, 202514 y1
G••• W•••• J••••Certified Financial PlannerColorado Springs, Co May 5, 202526 y3
S•••••• S•••••• C•••••••Colorado Springs, Co May 6, 202510 y1
M•••••• R•• C•••••••Certified Financial PlannerColorado Springs, Co Jan 5, 202628 y2
S••••• T••••• O•••••Havertown, Pa Jan 29, 202626 y3
S•••• E••••• W••••••••Colorado Springs, Co Feb 12, 202627 y1
C•••••• R•• G••••Chartered Financial AnalystColorado Springs, Co Feb 27, 202611 y3
G•••••• P••• T•••••Colorado Springs, CoApr 8, 202613 y0
A••••• C•••••• B•••••••••Colorado Springs, Co Apr 21, 202612 y1
J••••• P••• W••••••Colorado Springs, Co Apr 22, 202612 y1
A••••• C•••••• Q•••••••Pottstown, Pa May 13, 202614 y2
C•••• R• E•••••••Certified Financial PlannerColorado Springs, CoJun 5, 202610 y0
M•••••• F•••••• Z•••••Colorado Springs, Co Jun 15, 202613 y0
Advisor movement
2 left, 6 joined in 12 months
net +4 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 5.7% of current headcount2 left over 36 months
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • H••••••• R•••• W• · Vice Presidentcontrol
    since 02/2025 · owns less than 5%
  • J•••••• L•••• · Vice President, Senior Financial Advisorcontrol
    since 02/2025 · owns less than 5%
  • M••••• R•••••• S• · Senior Financial Advisor, Vice Presidentcontrol
    since 02/2025 · owns less than 5%
  • M•••••• C••••••• R••••• · Chief Executive Officercontrol
    since 02/2025 · owns less than 5%
  • N•••••••• C•••••••• L••• · Chief Operations Officercontrol
    since 02/2025 · owns less than 5%
  • W••••• C••••••••• E•••• · Vice Presidentcontrol
    since 02/2025 · owns less than 5%
  • W••••••••• K•••• W•••• · Vice Presidentcontrol
    since 02/2025 · owns less than 5%
  • W••••••••• S••••• E••••• · Chief Compliance Officercontrol
    since 12/2025 · owns less than 5%
Entity owners
  • S••••• W••••• G••••• I••• · Owner
    direct · 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
OfficeAdvisorsJoinedLeftTeams outForming
Colorado Springs, Co · principal35102
Greenwood Village, Co400
Meridian, Ms300
Rapid City, Sd310
S••••Sdale, Az300
Franklin, Tn320
Ridgeland, Ms200
Memphis, Tn200
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 4,911 to 8,632
    Feb 17, 2026 to Mar 31, 2026
  • Advisory employees · 27 to 29
    Feb 17, 2026 to Mar 31, 2026
  • BD registered reps · 14 to 15
    Feb 17, 2026 to Mar 31, 2026
  • Charity clients · unset to 0.0
    Feb 17, 2026 to Mar 31, 2026
  • Corporate clients · unset to 0.0
    Feb 17, 2026 to Mar 31, 2026
  • HNW clients · 359 to 584
    Feb 17, 2026 to Mar 31, 2026
  • Individual clients · 2,185 to 2,533
    Feb 17, 2026 to Mar 31, 2026
  • Pension plan clients · unset to 0.0
    Feb 17, 2026 to Mar 31, 2026
  • Pooled vehicle clients · unset to 0.0
    Feb 17, 2026 to Mar 31, 2026
  • Assets in custody · $953M to $158M
    Feb 17, 2026 to Mar 31, 2026
  • Employees · 68 to 80
    Feb 17, 2026 to Mar 31, 2026
  • Financial planning clients · 0 to 251-500
    Feb 17, 2026 to Mar 31, 2026
  • State-registered IARs · 0 to 32
    Feb 17, 2026 to Mar 31, 2026
  • Other offices · 9 to 10
    Feb 17, 2026 to Mar 31, 2026
  • Discretionary RAUM · $1.4B to $2.3B
    Feb 17, 2026 to Mar 31, 2026
  • HNW RAUM · $762M to $1.5B
    Feb 17, 2026 to Mar 31, 2026
  • Individual RAUM · $592M to $780M
    Feb 17, 2026 to Mar 31, 2026
  • Pension RAUM · unset to 0.0
    Feb 17, 2026 to Mar 31, 2026
  • Pooled vehicle RAUM · unset to 0.0
    Feb 17, 2026 to Mar 31, 2026
  • RAUM · $1.4B to $2.3B
    Feb 17, 2026 to Mar 31, 2026
  • Wrap assets (manager) · $1.4B to $2.3B
    Feb 17, 2026 to Mar 31, 2026
  • Wrap assets (sponsor) · $1.4B to $2.3B
    Feb 17, 2026 to Mar 31, 2026
  • Financial planning clients · 0 to 0
    Jul 21, 2025 to Aug 4, 2025
  • Accounts · 0 to 4,911
    Apr 7, 2025 to Jul 21, 2025
  • Advisory employees · 25 to 27
    Apr 7, 2025 to Jul 21, 2025
  • BD registered reps · 25 to 14
    Apr 7, 2025 to Jul 21, 2025
  • HNW clients · unset to 359.0
    Apr 7, 2025 to Jul 21, 2025
  • Individual clients · unset to 2185.0
    Apr 7, 2025 to Jul 21, 2025
  • Assets in custody · unset to 953116076.0
    Apr 7, 2025 to Jul 21, 2025
  • Custody of client assets · false to true
    Apr 7, 2025 to Jul 21, 2025
  • Employees · 69 to 68
    Apr 7, 2025 to Jul 21, 2025
  • Discretionary RAUM · $0 to $1.4B
    Apr 7, 2025 to Jul 21, 2025
  • HNW RAUM · unset to 761851514.0
    Apr 7, 2025 to Jul 21, 2025
  • Individual RAUM · unset to 591908781.0
    Apr 7, 2025 to Jul 21, 2025
  • RAUM · $0 to $1.4B
    Apr 7, 2025 to Jul 21, 2025
  • Wrap assets (manager) · $0 to $1.4B
    Apr 7, 2025 to Jul 21, 2025
  • Wrap assets (sponsor) · $0 to $1.4B
    Apr 7, 2025 to Jul 21, 2025
Signals
4 dated events
  • C••••• M••••••• A••• left S••••• W••••• G•••• for E• W••••• A••••••• (registered 2026-06-24)
    Jun 22, 2026 · Advisor changed firm · fact
  • S••••• W••••• G•••• reported 32 state-registered advisory representatives, up from 0 (2026-02-17 to 2026-03-31)
    Mar 31, 2026 · Advisor headcount change · derived
  • S••••• W••••• G•••• reported RAUM $2.3B, up 70% from $1.4B (2026-02-17 to 2026-03-31)
    Mar 31, 2026 · RAUM change · derived
  • M•••••• A•••••• T••••••••• left S••••• W••••• G•••• for L•• E••••••••• L•• (registered 2026-05-26)
    Mar 25, 2026 · Advisor changed firm · 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
info@summitwealthgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email
erobertson@summitwealthgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email
smarks@summitwealthgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email
kengel@summitwealthgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email
sschmidt@summitwealthgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email
smignella@summitwealthgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email
jnevarez@summitwealthgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email
swhitesell@summitwealthgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email
trainey@summitwealthgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email
tsilva@summitwealthgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email
twright@summitwealthgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email
vhavercamp@summitwealthgroup.comreportedpublished 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
$65.9Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026