DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

S•••• G••••• • C• I••••••••• A•••••••• L•••••

Former SEC-registered adviserHouston, TexasCRD 107827SEC 801-36485IAPD
Latest filing Apr 25, 2023
First filing on the tape Mar 30, 2012 · 24 filings
RAUM
$829M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$829M as of Mar 30, 2023
Mar 30, 2012$5.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2023
Mar 30, 20120 then
Employees (5.A)15 as of Mar 30, 2023
Mar 26, 201326 then
Private funds5 as of Mar 30, 2020
Mar 31, 20177 then
RAUM -81% over the last fiscal year-48% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 25, 2023; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$22.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
97%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-81%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$389M47%
  • State and municipal entities$366M44%
  • Charitable organizations$49.6M6.0%
  • Corporations and businesses$24.1M2.9%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
26reported
Charitable clients
1reported
Accounts
37reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F••• R•• I•• L••no longer reportedReal Estate Fund$56.5M2Mar 29, 2016
      S••• R••••••••• B••••• L••• V•••••• I•• L•no longer reportedReal Estate Fund$6.0M6Oct 16, 2014
      S••• R••••••••• B••••• L••• V•••••• I• L•no longer reportedReal Estate Fund$780,7617Mar 29, 2016
      S••• R••••••••• B••••• L••• V•••••• L•no longer reportedReal Estate Fund$37,0147Mar 31, 2014
      S••• R••••••••• B••••• L••• V•••••• I• L•no longer reportedReal Estate Fund$14,8766Oct 16, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • H••••• J••••• G•••••• · Chief Executive Officercontrol
        since 12/1992 · owns less than 5%
      • S••••• G•••••• B•••••• · Chairmancontrol
        since 07/1990 · owns less than 5%
      • S••••• G•••••• B•••••• · Shareholder In Sgcontrol
        since 07/1990 · owns 50% to 75% of S•• V•••••••• I••• A• D••••••• C••••••••• A•• S•••••••• B• M••••• T• S•••• G••••• • C••• A• T•••• C•••••••••
      • D•••• M•••• W••••• · Chief Compliance Officer
        since 02/2013 · owns less than 5%
      • R•••••••• M•••••••• V•••• · Chief Administrative Officer
        since 09/2022 · owns less than 5%
      • V••••••••• A••••••• R••••• · Chief Financial Officer
        since 01/2022 · owns less than 5%
      Entity owners
      • S•• A•••••••• I••• •••••••• S•••• G••••• H•••• • C••• · General Partner
        direct · owns less than 5%
      • S•• V•••••••• I••• A• D••••••• C••••••••• A•• S•••••••• B• M••••• T• S•••• G••••• • C••• A• T•••• C••••••••• · Limited Partner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY12 employees
      What changed
      consecutive filings, newest first
      • Accounts · 47 to 37
        Dec 5, 2022 to Mar 30, 2023
      • Corporate clients · 3 to 2
        Dec 5, 2022 to Mar 30, 2023
      • Pension plan clients · 33 to 26
        Dec 5, 2022 to Mar 30, 2023
      • Employees · 17 to 15
        Dec 5, 2022 to Mar 30, 2023
      • Discretionary RAUM · $863M to $829M
        Dec 5, 2022 to Mar 30, 2023
      • Pension RAUM · $406M to $389M
        Dec 5, 2022 to Mar 30, 2023
      • RAUM · $863M to $829M
        Dec 5, 2022 to Mar 30, 2023
      • Accounts · 75 to 47
        Aug 5, 2022 to Dec 5, 2022
      • Advisory employees · 10 to 5
        Aug 5, 2022 to Dec 5, 2022
      • Charity clients · 6 to 1
        Aug 5, 2022 to Dec 5, 2022
      • Corporate clients · 4 to 3
        Aug 5, 2022 to Dec 5, 2022
      • Pension plan clients · 45 to 33
        Aug 5, 2022 to Dec 5, 2022
      • Employees · 25 to 17
        Aug 5, 2022 to Dec 5, 2022
      • Discretionary RAUM · $4.4B to $863M
        Aug 5, 2022 to Dec 5, 2022
      • Non-discretionary RAUM · $50,050 to $0
        Aug 5, 2022 to Dec 5, 2022
      • Pension RAUM · $1.0B to $406M
        Aug 5, 2022 to Dec 5, 2022
      • RAUM · $4.4B to $863M
        Aug 5, 2022 to Dec 5, 2022
      • Accounts · 91 to 75
        Mar 30, 2021 to Mar 30, 2022
      • Advisory employees · 12 to 10
        Mar 30, 2021 to Mar 30, 2022
      • Corporate clients · 5 to 4
        Mar 30, 2021 to Mar 30, 2022
      • Pension plan clients · 43 to 45
        Mar 30, 2021 to Mar 30, 2022
      • Employees · 28 to 25
        Mar 30, 2021 to Mar 30, 2022
      • Discretionary RAUM · $5.4B to $4.4B
        Mar 30, 2021 to Mar 30, 2022
      • Non-discretionary RAUM · $50,027 to $50,050
        Mar 30, 2021 to Mar 30, 2022
      • Pension RAUM · $1.0B to $1.0B
        Mar 30, 2021 to Mar 30, 2022
      • RAUM · $5.4B to $4.4B
        Mar 30, 2021 to Mar 30, 2022
      • Accounts · 92 to 91
        Sep 25, 2020 to Mar 30, 2021
      • Charity clients · 13 to 6
        Sep 25, 2020 to Mar 30, 2021
      • Corporate clients · 7 to 5
        Sep 25, 2020 to Mar 30, 2021
      • Pension plan clients · 47 to 43
        Sep 25, 2020 to Mar 30, 2021
      • Employees · 27 to 28
        Sep 25, 2020 to Mar 30, 2021
      • Discretionary RAUM · $5.4B to $5.4B
        Sep 25, 2020 to Mar 30, 2021
      • Non-discretionary RAUM · $50,009 to $50,027
        Sep 25, 2020 to Mar 30, 2021
      • Pension RAUM · $981M to $1.0B
        Sep 25, 2020 to Mar 30, 2021
      • RAUM · $5.4B to $5.4B
        Sep 25, 2020 to Mar 30, 2021
      • Accounts · 98 to 92
        Apr 20, 2020 to Sep 25, 2020
      • Advisory employees · 14 to 12
        Apr 20, 2020 to Sep 25, 2020
      • Advisory activities · 2 to 1
        Apr 20, 2020 to Sep 25, 2020
      • Charity clients · 12 to 13
        Apr 20, 2020 to Sep 25, 2020
      • Pooled vehicle clients · 5.0 to unset
        Apr 20, 2020 to Sep 25, 2020
      Signals
      4 dated events
      • S•••• G••••• • C• I••••••••• A•••••••• L••••• reported RAUM $862.9M, down 81% from $4.4B (2022-08-05 to 2022-12-05)
        Dec 5, 2022 · RAUM change · derived
      • Andrew Peter Heine (Managing Director, Head Of Fixed Income) no longer on Schedule A of S•••• G••••• • C• I••••••••• A•••••••• L••••• (listed 2022-08-05, absent 2022-12-05)
        Dec 5, 2022 · Control person left · inference
      • J Brian Tortorella (Managing Director, Head Of Mortgage And Real Estate Debt) no longer on Schedule A of S•••• G••••• • C• I••••••••• A•••••••• L••••• (listed 2020-04-20, absent 2020-09-25)
        Sep 25, 2020 · Control person left · inference
      • Sims Donna Wilson (President) no longer on Schedule A of S•••• G••••• • C• I••••••••• A•••••••• L••••• (listed 2020-03-30, absent 2020-04-20)
        Apr 20, 2020 · Control person left · inference
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026
      Across the graphs

      S•••• G••••• • C• I••••••••• A•••••••• L••••• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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