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

Strategic Global Advisors, LLC

Former SEC-registered adviserNewport Beach, CaliforniaCRD 139309SEC 801-66360IAPD
Latest filing Sep 15, 2016
First filing on the tape Mar 28, 2012 · 11 filings
RAUM
$2.5B
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
13
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$2.5B as of Mar 30, 2016
Mar 28, 2012$313M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 28, 20120 then
Employees (5.A)13 as of Mar 30, 2016
Mar 27, 20137 then
Private funds: no history
RAUM +123% over the last fiscal year+79% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 15, 2016; 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
$62.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
+123%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 individuals, portfolio management for businesses and institutions, portfolio management for investment companies, otherreportedItem 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
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
41reported
Financial planning clients
n/areported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Thaddeus Gary Baierl · Member & Chief Investment Officercontrol
        since 03/2006 · owns 10% to 25%
      • Ann Cynthia Tusan · Member & Chief Executive Officercontrol
        since 12/2005 · owns 25% to 50%
      • Matthew John Whittaker · Chief Operating Officer/Chief Compliance Officercontrol
        since 10/2013 · owns less than 5%
      • Kim Huyen Gerbereux · Managing Membercontrol
        since 12/2015 · owns F of Nile Capital Fund, LP
      • Edele Hovnanian · Managing Membercontrol
        since 05/2007 · owns F of Hovnanian-Sga, LLC
      • Edele Hovnanian · Trusteecontrol
        since 12/2011 · owns F of Hirair And Anna Hovnanian 2011 Family Trust
      • Duane Melvin Lindsey · Membercontrol
        since 12/2015 · owns 25% to 50% of Nile Capital Fund, LP
      • Vaughn Lisa Pell · Membercontrol
        since 12/2015 · owns 25% to 50% of Nile Capital Fund, LP
      • Lynn Tara Knuf · Chief Financial Officer
        since 01/2016 · owns less than 5%
      Entity owners
      • Hirair And Anna Hovnanian 2011 Family Trust · Member
        indirect · owns 75% or more of Hovnanian-Sga, LLC
      • Hovnanian-Sga, LLC · Member
        direct · owns 10% to 25%
      • Nile Capital Fund, LP · Member
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • ,
      What changed
      consecutive filings, newest first
      • Accounts · 32 to 41
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 6 to 8
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 9 to 13
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $1.1B to $2.5B
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $1.1B to $2.5B
        Mar 31, 2015 to Mar 30, 2016
      • Accounts · 27 to 32
        Sep 26, 2014 to Mar 31, 2015
      • Advisory employees · 5 to 6
        Sep 26, 2014 to Mar 31, 2015
      • Employees · 8 to 9
        Sep 26, 2014 to Mar 31, 2015
      • Discretionary RAUM · $715M to $1.1B
        Sep 26, 2014 to Mar 31, 2015
      • RAUM · $715M to $1.1B
        Sep 26, 2014 to Mar 31, 2015
      • Accounts · 22 to 27
        Oct 18, 2013 to Mar 25, 2014
      • Advisory activities · 3 to 4
        Oct 18, 2013 to Mar 25, 2014
      • Employees · 7 to 8
        Oct 18, 2013 to Mar 25, 2014
      • Discretionary RAUM · $441M to $715M
        Oct 18, 2013 to Mar 25, 2014
      • RAUM · $441M to $715M
        Oct 18, 2013 to Mar 25, 2014
      • Accounts · 21 to 22
        May 11, 2012 to Mar 27, 2013
      • Advisory employees · unset to 5.0
        May 11, 2012 to Mar 27, 2013
      • Advisory activities · 2 to 3
        May 11, 2012 to Mar 27, 2013
      • Employees · unset to 7.0
        May 11, 2012 to Mar 27, 2013
      • Discretionary RAUM · $313M to $441M
        May 11, 2012 to Mar 27, 2013
      • RAUM · $313M to $441M
        May 11, 2012 to Mar 27, 2013
      Signals
      No event on the tape.
      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