DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

S•••• I••••••••• G••••

S•••• I••••••••• G••••, LLC, CRD 150377

LOUISVILLE, KY

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Search this name across graphsid dfx:ria:6f852924-6075-47d8-77d9-8d3a326cc3bc

Data as of Jun 19, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Dec 19, 2011 to Jun 19, 2012
6 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: $65.4M••• Locked
Discretionary RAUM: $63.2M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 211

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• J••••• E•••••	Member	Na	yes	05/2009	Dec 19, 2011	Jun 19, 2012
D••••••• J•••••••• E••••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2011	Dec 19, 2011	Jun 19, 2012

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Feb 10, 2012	$65.4M	$63.2M	n/a	n/a	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$65.4M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (4)

← D••••••• J•••••••• E••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 19, 2011 to presentfactForm ADV
← S••••• M•••••• H•••OwnerMANAGING MEMBER, ownership code E, individual
Dec 19, 2011 to presentfactForm ADV
← M••••••• R•••••• E•••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Dec 19, 2011 to presentfactForm ADV
← B•••••••• J••••• E•••••OwnerMEMBER, ownership code NA, individual
Dec 19, 2011 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6f852924-6075-47d8-77d9-8d3a326cc3bc
First observed: Dec 19, 2011
Last observed: Jun 19, 2012 173 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.