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.

Former SEC-registered adviser

Savant Investment Group, LLC

Former SEC-registered adviserEmeryville, CaliforniaCRD 108810SEC 801-40063IAPD
Latest filing Jun 29, 2021
First filing on the tape Mar 29, 2012 · 22 filings
RAUM
$675M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
67%
$449M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$675M as of Mar 24, 2021
Mar 29, 2012$668M then
HNW client RAUM$402M as of Mar 24, 2021
Feb 15, 2018$329M then
State-registered IARs (5.B.3)4 as of Mar 24, 2021
Mar 29, 20120 then
Employees (5.A)8 as of Mar 24, 2021
Mar 28, 201311 then
Private funds: no history
RAUM +3.7% over the last fiscal year+4.2% a year over threeIARs 5 to 4offices 1 to 0
Practice profile
derived from the filing of Jun 29, 2021; every figure names its basis
RAUM per advisor
$169MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
54derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.9MderivedHNW RAUM over HNW clients
Average account
$1.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
33%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+3.7%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.8%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, publications, educational seminarsreportedItem 5.G
Custody
$540,297, 2 clientsreportedItem 9.A
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
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$402M60%
  • Pension and profit-sharing plans$170M25%
  • Charitable organizations$54.1M8.0%
  • Individuals$46.6M6.9%
  • Corporations and businesses$2.1M0.3%
Individual clients
113reported
HNW clients
104reported
Pension plan clients
12reported
Charitable clients
14reported
Accounts
651reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$540,297 for 2 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
  • 3 left for Mariner
    Jan 26, 2022 · Emeryville, Ca · Firm absorbed
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Laurence Scott Lummer · Managing Membercontrol
      since 03/2013 · owns less than 5%
    • Laurence Scott Lummer · Chief Executive Officer And Principal Ownercontrol
      since 03/2015 · owns 75% or more of The Savant Group, Inc.
    • Mae Lorraine Sommers · Chief Compliance Officer
      since 03/2015 · owns less than 5%
    Entity owners
    • The Savant Group, Inc. · Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • HQ city · OAKLAND to EMERYVILLE
      May 20, 2021 to Jun 29, 2021
    • Assets in custody · unset to 540297.0
      Mar 24, 2021 to May 20, 2021
    • Custody of client assets · false to true
      Mar 24, 2021 to May 20, 2021
    • Accounts · 638 to 651
      Dec 24, 2020 to Mar 24, 2021
    • Advisory employees · 5 to 4
      Dec 24, 2020 to Mar 24, 2021
    • Charity clients · 15 to 14
      Dec 24, 2020 to Mar 24, 2021
    • HNW clients · 97 to 104
      Dec 24, 2020 to Mar 24, 2021
    • Individual clients · 114 to 113
      Dec 24, 2020 to Mar 24, 2021
    • Pension plan clients · 14 to 12
      Dec 24, 2020 to Mar 24, 2021
    • Employees · 9 to 8
      Dec 24, 2020 to Mar 24, 2021
    • Financial planning clients · 26-50 to 51-100
      Dec 24, 2020 to Mar 24, 2021
    • State-registered IARs · 5 to 4
      Dec 24, 2020 to Mar 24, 2021
    • Other offices · 1 to 0
      Dec 24, 2020 to Mar 24, 2021
    • Discretionary RAUM · $651M to $675M
      Dec 24, 2020 to Mar 24, 2021
    • HNW RAUM · $363M to $402M
      Dec 24, 2020 to Mar 24, 2021
    • Individual RAUM · $48.2M to $46.6M
      Dec 24, 2020 to Mar 24, 2021
    • Pension RAUM · $189M to $170M
      Dec 24, 2020 to Mar 24, 2021
    • RAUM · $651M to $675M
      Dec 24, 2020 to Mar 24, 2021
    • Accounts · 661 to 638
      Dec 2, 2019 to Mar 31, 2020
    • Advisory employees · 6 to 5
      Dec 2, 2019 to Mar 31, 2020
    • Charity clients · 14 to 15
      Dec 2, 2019 to Mar 31, 2020
    • HNW clients · 90 to 97
      Dec 2, 2019 to Mar 31, 2020
    • Individual clients · 110 to 114
      Dec 2, 2019 to Mar 31, 2020
    • Pension plan clients · 16 to 14
      Dec 2, 2019 to Mar 31, 2020
    • Employees · 11 to 9
      Dec 2, 2019 to Mar 31, 2020
    • Financial planning clients · 11-25 to 26-50
      Dec 2, 2019 to Mar 31, 2020
    • State-registered IARs · 6 to 5
      Dec 2, 2019 to Mar 31, 2020
    • Discretionary RAUM · $555M to $651M
      Dec 2, 2019 to Mar 31, 2020
    • HNW RAUM · $299M to $363M
      Dec 2, 2019 to Mar 31, 2020
    • Individual RAUM · $53.8M to $48.2M
      Dec 2, 2019 to Mar 31, 2020
    • Pension RAUM · $158M to $189M
      Dec 2, 2019 to Mar 31, 2020
    • RAUM · $555M to $651M
      Dec 2, 2019 to Mar 31, 2020
    • Accounts · 665 to 661
      Dec 17, 2018 to Feb 12, 2019
    • Advisory employees · 5 to 6
      Dec 17, 2018 to Feb 12, 2019
    • Charity clients · 13 to 14
      Dec 17, 2018 to Feb 12, 2019
    • HNW clients · 97 to 90
      Dec 17, 2018 to Feb 12, 2019
    • Individual clients · 135 to 110
      Dec 17, 2018 to Feb 12, 2019
    • Pension plan clients · 17 to 16
      Dec 17, 2018 to Feb 12, 2019
    • Employees · 10 to 11
      Dec 17, 2018 to Feb 12, 2019
    • State-registered IARs · 5 to 6
      Dec 17, 2018 to Feb 12, 2019
    Signals
    4 dated events
    • Joseph James Sims left Savant Investment Group, Llc for Mariner (registered 2021-12-16)
      Jan 26, 2022 · Advisor changed firm · fact
    • Scott Laurence Lummer left Savant Investment Group, Llc for Mariner (registered 2021-12-16)
      Jan 26, 2022 · Advisor changed firm · fact
    • Alexis J Howard left Savant Investment Group, Llc for Mariner (registered 2021-12-16)
      Jan 26, 2022 · Advisor changed firm · fact
    • Savant Investment Group, LLC's advisors moved to Mariner (Emeryville, CA): 3 of 3 registered, on the same day
      Jan 26, 2022 · Firm absorbed (people side) · derived
    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