DFX Intelligence
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SEC-registered adviser
S••••••••• C••••••• L•••
Latest filing Jul 7, 2026
First filing on the tape Dec 22, 2011 · 34 filings
SEC status approved since Aug 10, 2001
RAUM
$93.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
74%
$69.4M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$46.8M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$93.7M as of Jul 7, 2026
Mar 26, 2012$122M then
HNW client RAUM$47.7M as of Jul 7, 2026
Oct 6, 2025$54.9M then
State-registered IARs (5.B.3)2 as of Jul 7, 2026
Feb 25, 20130 then
Employees (5.A)4 as of Jul 7, 2026
Feb 25, 201346 then
Private funds: no history
RAUM -7.8% over the last fiscal year+1.0% a year over threeIARs 0 to 2
Practice profile
derived from the filing of Jul 7, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $46.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $917,529derivedHNW RAUM over HNW clients
- Average account
- $393,503derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 26%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -7.8%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 assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Wrap fee program
- $26.2MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$47.7M51%
- Insurance companies$24.3M26%
- Individuals$21.7M23%
- Individual clients
- 91reported
- HNW clients
- 52reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 238reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.74 fund_share=0.0 institutional_share=0.26 related_bd=true related_bank=false bd_reps=4.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• L••• M••• | Boca Raton, Fl | Oct 25, 2006 | 33 y | 1 |
| J••••• L••• T••••• | Boca Raton, Fl | Oct 25, 2006 | 36 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• N•••••••• A••••• · Ccocontrolsince 10/2018 · owns less than 5%
- C•••••• J••••••• W•••• · Coocontrolsince 01/2003 · owns less than 5%
- M•••• J•••• L••• · Director Of S••••••••• G••••, LLCcontrolsince 01/2005 · owns less than 5%
- T•••••• J•••••• L••• · Executive Manager - President And Director Of S•••••••••Group, LLCcontrolsince 01/2005 · owns less than 5%
Entity owners
- S••••••••• G•••• L•• · Holding Companydirect · owns 75% or more
- R• F••••• T•••• · Activeindirect · owns 50% to 75% of S••••••••• G•••• L••
Related persons
Schedule D 7.A
- A••••••• I••••••••• C•••investment advisern
- S••••••••• I••••••••• I•••broker-dealern
- S••••••••• L••• A•• A••••••••• L••••••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boca Raton, Fl · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 235 to 238Oct 6, 2025 to Feb 26, 2026
- Advisory employees · 6 to 2Oct 6, 2025 to Feb 26, 2026
- BD registered reps · 6 to 4Oct 6, 2025 to Feb 26, 2026
- HNW clients · 80 to 52Oct 6, 2025 to Feb 26, 2026
- Individual clients · 61 to 91Oct 6, 2025 to Feb 26, 2026
- Employees · 12 to 4Oct 6, 2025 to Feb 26, 2026
- Discretionary RAUM · $92.4M to $93.7MOct 6, 2025 to Feb 26, 2026
- HNW RAUM · $54.9M to $47.7MOct 6, 2025 to Feb 26, 2026
- Individual RAUM · $13.9M to $21.7MOct 6, 2025 to Feb 26, 2026
- RAUM · $92.4M to $93.7MOct 6, 2025 to Feb 26, 2026
- Accounts · 279 to 235Mar 17, 2025 to Oct 6, 2025
- HNW clients · unset to 80.0Mar 17, 2025 to Oct 6, 2025
- Individual clients · 254 to 61Mar 17, 2025 to Oct 6, 2025
- Employees · 6 to 12Mar 17, 2025 to Oct 6, 2025
- Financial planning clients · 0 to 0Mar 17, 2025 to Oct 6, 2025
- State-registered IARs · 0 to 2Mar 17, 2025 to Oct 6, 2025
- Discretionary RAUM · $102M to $92.4MMar 17, 2025 to Oct 6, 2025
- HNW RAUM · unset to 54865000.0Mar 17, 2025 to Oct 6, 2025
- Individual RAUM · $78.7M to $13.9MMar 17, 2025 to Oct 6, 2025
- RAUM · $102M to $92.4MMar 17, 2025 to Oct 6, 2025
- Accounts · 306 to 279Mar 26, 2024 to Feb 24, 2025
- Individual clients · 282 to 254Mar 26, 2024 to Feb 24, 2025
- Discretionary RAUM · $101M to $102MMar 26, 2024 to Feb 24, 2025
- Individual RAUM · $79.5M to $78.7MMar 26, 2024 to Feb 24, 2025
- RAUM · $101M to $102MMar 26, 2024 to Feb 24, 2025
- Accounts · 304 to 306Aug 30, 2023 to Mar 15, 2024
- Advisory employees · 5 to 6Aug 30, 2023 to Mar 15, 2024
- BD registered reps · 5 to 6Aug 30, 2023 to Mar 15, 2024
- Individual clients · 280 to 282Aug 30, 2023 to Mar 15, 2024
- Employees · 5 to 6Aug 30, 2023 to Mar 15, 2024
- Discretionary RAUM · $90.9M to $101MAug 30, 2023 to Mar 15, 2024
- Individual RAUM · $73.0M to $79.5MAug 30, 2023 to Mar 15, 2024
- RAUM · $90.9M to $101MAug 30, 2023 to Mar 15, 2024
- Accounts · 323 to 304Sep 29, 2022 to Mar 8, 2023
- Advisory employees · 6 to 5Sep 29, 2022 to Mar 8, 2023
- BD registered reps · 6 to 5Sep 29, 2022 to Mar 8, 2023
- Individual clients · 291 to 280Sep 29, 2022 to Mar 8, 2023
- Employees · 35 to 5Sep 29, 2022 to Mar 8, 2023
- Discretionary RAUM · $106M to $90.9MSep 29, 2022 to Mar 8, 2023
- Individual RAUM · $79.4M to $73.0MSep 29, 2022 to Mar 8, 2023
Signals
1 dated events
- David Vurgait (President & Executive Mgr) no longer on Schedule A of S••••••••• C••••••• L••• (listed 2019-03-25, absent 2019-10-16)Oct 16, 2019 · 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.
How to reach
public business contact points only, each with its source
- Website
- S•••••••••.COMreportedpublic record, Form ADV, Jul 7, 2026
- Principal office phone
- 305-921-8101reportedpublic record, Form ADV, Jul 7, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $46.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026