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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

STRATEGIC GLOBAL ADVISORS, LLC

CRD 139309

NEWPORT BEACH, CA

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:5dc4b3ec-2b14-dd80-de9a-238b3b27c188

Data as of Sep 15, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Sep 15, 2016
11 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: $2.5BItem 5.F on the latest filing (2016-09-15); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.5B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 13
Advisory employees: 8
Accounts: 41
SEC number: 801-66360
CRD: 139309
Filings on the tape: 11
First filed: Mar 28, 2012
Latest filed: Sep 15, 2016
Organised: Limited Liability Company, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BAIERL, GARY, THADDEUS	MEMBER & CHIEF INVESTMENT OFFICER	B	yes	03/2006	Mar 28, 2012	Sep 15, 2016
GERBEREUX, HUYEN, KIM	MANAGING MEMBER	F	yes	12/2015	Mar 30, 2016	Sep 15, 2016
HIRAIR AND ANNA HOVNANIAN 2011 FAMILY TRUST	Member	E	yes	12/2011	Apr 15, 2016	Sep 15, 2016
HOVNANIAN, EDELE	Trustee	F	yes	12/2011	Mar 28, 2012	Sep 15, 2016
HOVNANIAN, EDELE	MANAGING MEMBER	F	yes	05/2007	Mar 28, 2012	Sep 15, 2016
LINDSEY, MELVIN, DUANE	Member	C	yes	12/2015	Mar 30, 2016	Sep 15, 2016
PELL, LISA, VAUGHN	Member	C	yes	12/2015	Mar 30, 2016	Sep 15, 2016
TUSAN, CYNTHIA, ANN	MEMBER & CHIEF EXECUTIVE OFFICER	C	yes	12/2005	Mar 28, 2012	Sep 15, 2016
WHITTAKER, JOHN, MATTHEW	CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER	Na	yes	10/2013	Oct 18, 2013	Sep 15, 2016
HOVNANIAN-SGA, LLC	Member	B	no	05/2007	Mar 28, 2012	Sep 15, 2016
KNUF, TARA, LYNN	CHIEF FINANCIAL OFFICER	Na	no	01/2016	Mar 30, 2016	Sep 15, 2016
NILE CAPITAL FUND, LP	Member	B	no	12/2015	Mar 30, 2016	Sep 15, 2016

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 30, 2016	$2.5B	$2.5B	13	8	n/a	n/a	n/a
2014	Mar 31, 2015	$1.1B	$1.1B	9	6	n/a	n/a	n/a
2013	Mar 25, 2014	$715M	$715M	8	5	n/a	n/a	n/a
2012	Mar 27, 2013	$441M	$441M	7	5	n/a	n/a	n/a
2011	Mar 28, 2012	$313M	$313M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$2.5B	$1.1B	123.3%	$441M	79.5%	13	9	n/a	n/a

Relationships

Controls (8)

← TUSAN, CYNTHIA, ANNOwnerMEMBER & CHIEF EXECUTIVE OFFICER, ownership code C, individual
Mar 28, 2012 to presentfactForm ADV
← HOVNANIAN, EDELEOwnerTRUSTEE, ownership code F, individual
Mar 28, 2012 to presentfactForm ADV
← BAIERL, GARY, THADDEUSOwnerMEMBER & CHIEF INVESTMENT OFFICER, ownership code B, individual
Mar 28, 2012 to presentfactForm ADV
← LINDSEY, MELVIN, DUANEOwnerMEMBER, ownership code C, individual
Mar 30, 2016 to presentfactForm ADV
← WHITTAKER, JOHN, MATTHEWOwnerCHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 18, 2013 to presentfactForm ADV
← GERBEREUX, HUYEN, KIMOwnerMANAGING MEMBER, ownership code F, individual
Mar 30, 2016 to presentfactForm ADV
← PELL, LISA, VAUGHNOwnerMEMBER, ownership code C, individual
Mar 30, 2016 to presentfactForm ADV
← HIRAIR AND ANNA HOVNANIAN 2011 FAMILY TRUSTOwnerMEMBER, ownership code E, domestic entity
Apr 15, 2016 to presentfactForm ADV

Owns (3)

← KNUF, TARA, LYNNOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 30, 2016 to presentfactForm ADV
← HOVNANIAN-SGA, LLCOwnerMEMBER, ownership code B, domestic entity
Mar 28, 2012 to presentfactForm ADV
← NILE CAPITAL FUND, LPOwnerMEMBER, ownership code B, domestic entity
Mar 30, 2016 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5dc4b3ec-2b14-dd80-de9a-238b3b27c188
First observed: Mar 28, 2012
Last observed: Sep 15, 2016 121 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.

STRATEGIC GLOBAL ADVISORS, LLC

CRD 139309

NEWPORT BEACH, CA

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:5dc4b3ec-2b14-dd80-de9a-238b3b27c188

Data as of Sep 15, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:09 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BAIERL, GARY, THADDEUS

MEMBER & CHIEF INVESTMENT OFFICER

yes

03/2006

Mar 28, 2012

Sep 15, 2016

GERBEREUX, HUYEN, KIM

MANAGING MEMBER

yes

12/2015

Mar 30, 2016

Sep 15, 2016

HIRAIR AND ANNA HOVNANIAN 2011 FAMILY TRUST

Member

yes

12/2011

Apr 15, 2016

Sep 15, 2016

HOVNANIAN, EDELE

Trustee

yes

12/2011

Mar 28, 2012

Sep 15, 2016

HOVNANIAN, EDELE

MANAGING MEMBER

yes

05/2007

Mar 28, 2012

Sep 15, 2016

LINDSEY, MELVIN, DUANE

Member

yes

12/2015

Mar 30, 2016

Sep 15, 2016

PELL, LISA, VAUGHN

Member

yes

12/2015

Mar 30, 2016

Sep 15, 2016

TUSAN, CYNTHIA, ANN

MEMBER & CHIEF EXECUTIVE OFFICER

yes

12/2005

Mar 28, 2012

Sep 15, 2016

WHITTAKER, JOHN, MATTHEW

CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER

yes

10/2013

Oct 18, 2013

Sep 15, 2016

HOVNANIAN-SGA, LLC

Member

05/2007

Mar 28, 2012

Sep 15, 2016

KNUF, TARA, LYNN

CHIEF FINANCIAL OFFICER

01/2016

Mar 30, 2016

Sep 15, 2016

NILE CAPITAL FUND, LP

Member

12/2015

Mar 30, 2016

Sep 15, 2016

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 30, 2016

$2.5B

n/a

2014

Mar 31, 2015

$1.1B

n/a

2013

Mar 25, 2014

$715M

n/a

2012

Mar 27, 2013

$441M

n/a

2011

Mar 28, 2012

$313M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$2.5B

$1.1B

123.3%

$441M

79.5%

n/a