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.

Firm class

former SEC adviserderivedabsent from the latest SEC roster

Regulatory AUM

$11.3MItem 5.F on the latest filing (2020-01-16); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$11.3M

Private client RAUM

$7.0MderivedItem 5.D individuals plus high net worth individuals

Private client share

61%derivedprivate client RAUM over total RAUM

Advisors on IAPD

0

Employees

2

Advisory employees

2

Offices

0Schedule D 1.F, beyond the principal office

Accounts

131

Individual clients

106

High net worth clients

25

Private funds

1Schedule D 7.B(1)

Private fund GAV

$4.4Mgross asset value as reported per fund; never fund size

Custody, client assets

$4.4M

SEC number

801-112162

CRD

291173

Filings on the tape

14

First filed

Nov 14, 2017

Latest filed

Jan 16, 2020

Organised

Corporation, Delaware

• Occurred

  Nov 14, 2017
  First Form ADV filing

  Sgim filed its initial SEC registration (Form ADV)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:a61893a4-9a63-a7d2-2285-cbb6d5f4f8d7

First observed

Nov 14, 2017

Last observed

Jan 16, 2020 81 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.