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•••••• L••

No RAUM reportedDubuque, IowaCRD 342692SEC 801-136461IAPD
Latest filing Aug 25, 2026
First filing on the tape Jun 24, 2026 · 3 filings
SEC status 120-day approval since Jun 10, 2026
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
19
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
27
18 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$0 as of Aug 25, 2026
Jun 24, 2026$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)18 as of Aug 25, 2026
Jun 24, 202618 then
Employees (5.A)27 as of Aug 25, 2026
Jun 24, 202627 then
Private funds: no history
Practice profile
derived from the filing of Aug 25, 2026; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
4.8derived4 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 fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
19 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
S•••• G••••• L••••••••Chartered Financial ConsultantDubuque, IaJun 24, 202628 y1
K•••• S•• S•••••••Dubuque, IaJun 24, 202624 y1
M••• T• F••••••••Dubuque, IaJun 24, 202624 y3
A•••• R• B•••••Certified Financial PlannerDubuque, IaJun 24, 202622 y1
A•••• D••••Dubuque, IaJun 24, 202612 y1
S••••• A•• W•••••••••Dubuque, IaJun 24, 202621 y1
J••••• A••••• L••••••••Certified Financial PlannerDubuque, IaJun 24, 202613 y1
S••••• G•••• M••••••••Dubuque, IaJun 24, 202612 y5
B••••••• M•••• G•••••••••Dubuque, IaJun 24, 202610 y1
L•••• B••Certified Financial PlannerDubuque, IaJun 24, 202610 y1
C••••• R• K•••••Dubuque, IaJun 24, 202615 y1
R••• K••••••Certified Financial PlannerDubuque, IaJun 24, 202611 y1
H••••• F•••••••Dubuque, IaJun 24, 202613 y1
N••• S•••••••Dubuque, IaJun 24, 202611 y1
A••••• A•• H••••••Marquette, Mi Jun 24, 202624 y3
G•••••• M••••• J••••Dubuque, Ia Jun 24, 202610 y4
R•••• J••••• W••••••Certified Financial PlannerDubuque, IaJun 24, 202632 y1
G••• L••• R••••Dubuque, IaJun 24, 202630 y1
D••••• J••• B••••Dubuque, Ia Jun 30, 202626 y1
Advisor movement
0 left, 19 joined in 12 months
net +19 in 12 months0 left in 90 days19 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Joined, latest
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L••••••••• J•••••• A••••• · Presidentcontrol
        since 06/2026 · owns less than 5%
      • L••••••••• S••••• G••••• · Chief Executive Officercontrol
        since 06/2026 · owns less than 5%
      • S•••••••• S••••• L•••• · Chief Compliance Officercontrol
        since 05/2026 · owns less than 5%
      Entity owners
      • B••••••• G••••• P•••••••• L•• · 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
      Dubuque, Ia · principal19190
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      3 dated events
      • 13 advisors left A••••••••• F•••••••• S•••••••• L•• (Dubuque, IA) for S••••••••• W•••••• L•• within 8 days
        Jun 29, 2026 · Team lift-out · derived
      • 4 advisors left A••••••••• F•••••••• S•••••••• L•• (Delavan, WI) for S••••••••• W•••••• L•• within 11 days
        Jun 26, 2026 · Team lift-out · derived
      • Stacy Sizemore, registered through T•• I••••••••• A•••• M••••••••• L•• (Portland, OR), is a direct owner of S••••••••• W•••••• L••, an adviser first registered 2026-06-24; in 2023-2025, 164 of 330 such owners registered at this class of firm moved to the new adviser within a year, median 92 days after the filing
        Jun 24, 2026 · Owner of a newly registered adviser · 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
      Principal office phone
      563-552-7000reportedpublic record, Form ADV, Aug 25, 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
      No RAUM reportedderiveda 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