S•••••• F•••• I••••••••• G••••• I•••

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

$205M••• Locked

Discretionary RAUM

$99.2M

Private client RAUM

$205Mderived••• Locked

Private client share

100%derivedprivate client RAUM over total RAUM

Advisors on IAPD

0

Employees

26

• Occurred

  Jul 15, 2016
  Ria f•••• adv filing

  S•••••• F•••• I••••••••• G••••• I••• filed its initial SEC registration (Form ADV)

  Form ADVobserved 7 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:f0cbd46e-f373-b772-dc1a-3147734d3750

First observed

Jul 15, 2016

Last observed

Apr 25, 2018 102 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.