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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SEC-registered adviser
S• C•••••• M••••••••• L••
Latest filing Mar 12, 2026
First filing on the tape Mar 13, 2012 · 21 filings
SEC status approved since Apr 13, 2005
RAUM
$1.4B
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
10
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$1.4B as of Mar 12, 2026
Mar 13, 2012$167M then
HNW client RAUM$44.0M as of Feb 20, 2020
Mar 15, 2018$88.4M then
State-registered IARs (5.B.3)0 as of Mar 12, 2026
Mar 13, 20130 then
Employees (5.A)10 as of Mar 12, 2026
Mar 13, 20138 then
Private funds3 as of Mar 12, 2026
Mar 13, 20122 then
RAUM +44% over the last fiscal year+62% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 12, 2026; 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
- $55.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.5%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
- +44%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $506M, 3 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.3B93%
- Corporations and businesses$49.2M3.6%
- Sovereign wealth funds$48.0M3.5%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 25reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $506M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.93 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••• S••••• T•••• F•••• L• | Hedge Fund | $168M | 88 | Feb 18, 2014 |
| C•••• S••••• O••••••• F•••• L•• | Hedge Fund | $43.5M | 25 | Mar 13, 2012 |
| C•••• S••••• F••• L• | Hedge Fund | $34.0M | 1 | Mar 13, 2012 |
| T••• F•••• L•no longer reported | Hedge Fund | $7.9M | 34 | Feb 15, 2022 |
Owners and control persons
Schedule A and B, latest filing
- R•••••• N•••••••• · Chief Compliance Officercontrolsince 02/2010 · owns less than 5%
- S••••••••• G••• · Presidentcontrolsince 04/2002 · owns 75% or more
- S••••••••• E••••• A•••• · Managing Directorcontrolsince 04/2023 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Jackson, WY1 employees
What changed
consecutive filings, newest first
- Advisory employees · 7 to 6May 13, 2025 to Mar 12, 2026
- Pooled vehicle clients · 12 to 13May 13, 2025 to Mar 12, 2026
- Assets in custody · $315M to $506MMay 13, 2025 to Mar 12, 2026
- Employees · 11 to 10May 13, 2025 to Mar 12, 2026
- Discretionary RAUM · $957M to $1.4BMay 13, 2025 to Mar 12, 2026
- Pooled vehicle RAUM · $857M to $1.3BMay 13, 2025 to Mar 12, 2026
- RAUM · $957M to $1.4BMay 13, 2025 to Mar 12, 2026
- Financial planning clients · unset to Mar 25, 2025 to May 13, 2025
- Accounts · 20 to 25Mar 7, 2024 to Mar 25, 2025
- Advisory employees · 5 to 7Mar 7, 2024 to Mar 25, 2025
- Pooled vehicle clients · 9 to 12Mar 7, 2024 to Mar 25, 2025
- Assets in custody · $245M to $315MMar 7, 2024 to Mar 25, 2025
- Employees · 8 to 11Mar 7, 2024 to Mar 25, 2025
- Discretionary RAUM · $436M to $957MMar 7, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $393M to $857MMar 7, 2024 to Mar 25, 2025
- RAUM · $436M to $957MMar 7, 2024 to Mar 25, 2025
- Accounts · 15 to 20Oct 18, 2023 to Mar 7, 2024
- Advisory employees · 4 to 5Oct 18, 2023 to Mar 7, 2024
- Pooled vehicle clients · 6 to 9Oct 18, 2023 to Mar 7, 2024
- Assets in custody · $217M to $245MOct 18, 2023 to Mar 7, 2024
- Employees · 7 to 8Oct 18, 2023 to Mar 7, 2024
- Discretionary RAUM · $323M to $436MOct 18, 2023 to Mar 7, 2024
- Pooled vehicle RAUM · $269M to $393MOct 18, 2023 to Mar 7, 2024
- RAUM · $323M to $436MOct 18, 2023 to Mar 7, 2024
- Accounts · 18 to 15Feb 15, 2022 to Feb 24, 2023
- Advisory employees · 5 to 4Feb 15, 2022 to Feb 24, 2023
- Assets in custody · $207M to $217MFeb 15, 2022 to Feb 24, 2023
- Employees · 8 to 7Feb 15, 2022 to Feb 24, 2023
- Private funds · 4 to 3Feb 15, 2022 to Feb 24, 2023
- Discretionary RAUM · $357M to $323MFeb 15, 2022 to Feb 24, 2023
- Pooled vehicle RAUM · $260M to $269MFeb 15, 2022 to Feb 24, 2023
- RAUM · $357M to $323MFeb 15, 2022 to Feb 24, 2023
- Accounts · 19 to 18Mar 18, 2021 to Feb 15, 2022
- Advisory employees · 6 to 5Mar 18, 2021 to Feb 15, 2022
- Assets in custody · $140M to $207MMar 18, 2021 to Feb 15, 2022
- Employees · 10 to 8Mar 18, 2021 to Feb 15, 2022
- Private funds · 3 to 4Mar 18, 2021 to Feb 15, 2022
- Discretionary RAUM · $353M to $357MMar 18, 2021 to Feb 15, 2022
- Pooled vehicle RAUM · $285M to $260MMar 18, 2021 to Feb 15, 2022
- RAUM · $353M to $357MMar 18, 2021 to Feb 15, 2022
Signals
5 dated events
- S• C•••••• M••••••••• L•• reported RAUM $1.4B, up 44% from $957.4M (2025-05-13 to 2026-03-12)Mar 12, 2026 · RAUM change · derived
- S• C•••••• M••••••••• L•• reported RAUM $957.4M, up 119% from $436.3M (2024-03-07 to 2025-03-25)Mar 25, 2025 · RAUM change · derived
- S• C•••••• M••••••••• L•• reported RAUM $436.3M, up 35% from $322.7M (2023-10-18 to 2024-03-07)Mar 7, 2024 · RAUM change · derived
- Adger Ethan Steinberg (Managing Director) appeared on Schedule A of S• C•••••• M••••••••• L••Mar 7, 2024 · Control person joined · fact
- S• C•••••• M••••••••• L•• reported RAUM $352.7M, down 39% from $574.1M (2020-02-20 to 2021-03-18)Mar 18, 2021 · RAUM change · derived
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
- sgcapitalmgt.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 312-923-0150reportedpublic record, Form ADV, Mar 12, 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
- Asset manager (funds and pooled vehicles)deriveda 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