DFX Intelligence

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

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RIA / WealthRegistered adviserstate registeredstate registeredRAUM under $100M

S••••••• A•••••• G••••

S••••••• INVESTMENT A••••••, INC., CRD 147357

MESA, AZ

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Search this name across graphsid dfx:ria:dc7bb8c8-f35e-cc82-2788-b5e7ec90053c

Data as of Jun 11, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jun 11, 2020 to Jun 11, 2020
1 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: state registeredderivedon the IAPD state feed, not SEC-registered
Regulatory AUM: $11.7M••• Locked
Discretionary RAUM: $6.7M
Private client RAUM: $11.7Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Employees: 7
Advisory employees: 6

Relationships

Registered with (6)

← I•• J••••• K•••••••••Advisorregistration: previous registration
Jan 8, 2020 to Aug 12, 2022factForm ADV
← E••• T••• E•••Advisorregistration: previous registration
Mar 25, 2011 to Feb 29, 2016factForm ADV
← J•••• L••• S••••Advisorregistration: previous registration
May 8, 2014 to Dec 22, 2015factForm ADV
← S•••••• K••• B••••

Dated events

Occurred
Aug 12, 2022
A•••••• firm change
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dc7bb8c8-f35e-cc82-2788-b5e7ec90053c
First observed: Jun 11, 2020
Last observed: Jun 11, 2020 76 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.