DFX Intelligence

S•••••• 1• F•••••••• G••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

S•••••• 1• F•••••••• G••••

S•••••• 1• F•••••••• G••••, INC., CRD 226568

LOMBARD, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5805b74c-a2b8-7c56-ab92-4bb356160501

Data as of Nov 11, 2015 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Aug 4, 2015 to Nov 11, 2015
3 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 3
Advisory employees: 2
Accounts: 0

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• M•••••• A••••••	VICE PRESIDENT	D	yes	03/2011	Aug 4, 2015	Nov 11, 2015
I••••••• C••••• F••••	PRESIDENT / CHIEF COMPLIANCE OFFICER	D	yes	03/2011	Aug 4, 2015	Nov 11, 2015

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
H•••••••• A•••••• G••••• L••	2	Jan 22, 2016	Sep 14, 2016	LOMBARD, IL	Team lift out	Other	100.0%

Relationships

Controls (2)

← I••••••• C••••• F••••OwnerPRESIDENT / CHIEF COMPLIANCE OFFICER, ownership code D, individual
Aug 4, 2015 to presentfactForm ADV
← C•••••••• M•••••• A••••••OwnerVICE PRESIDENT, ownership code D, individual
Aug 4, 2015 to presentfactForm ADV

Moved with (1)

→ H•••••••• A•••••• G••••• L••Registered adviser2 advisors, team lift out, same day
Jan 22, 2016 to Sep 14, 2016factForm ADV

Registered with (2)

Dated events

Occurred
Aug 4, 2015
First Form ADV filing
S•••••• 1• F•••••••• G•••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5805b74c-a2b8-7c56-ab92-4bb356160501
First observed: Aug 4, 2015
Last observed: Nov 11, 2015 132 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.