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RIA Intelligence

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Former SEC-registered adviser

S•••• I••••••••• M••••••••• I•••

Former SEC-registered adviserCRD 143629SEC 801-79455IAPD

Latest filing May 9, 2016

First filing on the tape Mar 19, 2012 · 18 filings

RAUM

$57.9M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$28.9M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

reported on Schedule D

History

18 filings and snapshots on the tape

RAUM$57.9M as of Mar 4, 2016

Mar 19, 2012$74.6M then

HNW client RAUM: no history

State-registered IARs (5.B.3)4 as of Mar 4, 2016

Mar 19, 20120 then

Employees (5.A)4 as of Mar 4, 2016

Jan 28, 20154 then

Private funds: no history

RAUM -37% over the last fiscal yearIARs 4 to 3

Practice profile

derived from the filing of May 9, 2016; every figure names its basis

RAUM per advisor: $28.9MderivedRAUM 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: $125,284derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%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: -37%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consultingreportedItem 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)

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: 462reported
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

2 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
L•••• D••• S••••	Lehi, Ut	Apr 25, 2007	43 y	0
T••••• R••• S••••	Lehi, Ut	Dec 18, 2024	13 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 headcount3 left over 36 months

Left, latest

S•••• G••••• S•••• to N••••••• M•••••• C•••••• L••
Nov 13, 2024 · Other
T••• R•••••• C•••• to N••••••• M•••••• C•••••• L••
Nov 13, 2024 · Other
A•••• B•••• W•••••• to N••••••• M•••••• C•••••• L••
Nov 12, 2024 · Other
J••• D•••• D••••••• to F•••••••• A•••••••• I••••••••• M•••••••••
Jan 27, 2015 · Other

Joined, latest

T••••• R••• S•••• from F••••••• P••••••• A•• W•••••••• A•••••••
Dec 18, 2024 · Other
S•••• G••••• S•••• from K•••••• C•••••• M•••••• I•••
Jul 28, 2008 · Other
J••• D•••• D••••••• from L•••• D• S•••• A•• C••••••
Apr 25, 2007 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for N••••••• M•••••• C•••••• L••
Nov 13, 2024 · Gig Harbor, Wa

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

S••••• L••••• D••• · President & Chief Compliance Officercontrol
since 03/2007 · owns 75% or more
S••••• S••••• G••••• · Vice President & Assistant Portfolio Managercontrol
since 04/2016 · owns less than 5%
W••••••• A••••• B•••• · Vice President & Marketing Directorcontrol
since 04/2016 · owns less than 5%

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Lehi, Ut	2	0	0
Gig Harbor, Wa	0	0	0
Spearfish, Sd	0	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

State-registered IARs · 4 to 3
Apr 26, 2016 to May 5, 2016
Advisory activities · 2 to 3
Apr 22, 2016 to Apr 26, 2016
Advisory activities · 1 to 2
Mar 21, 2016 to Apr 14, 2016
Accounts · 304 to 462
Jan 28, 2015 to Mar 4, 2016
Discretionary RAUM · $91.8M to $57.9M
Jan 28, 2015 to Mar 4, 2016
RAUM · $91.8M to $57.9M
Jan 28, 2015 to Mar 4, 2016
Accounts · 763 to 304
May 28, 2014 to Jan 28, 2015
Advisory employees · 5 to 3
May 28, 2014 to Jan 28, 2015
Employees · 5 to 4
May 28, 2014 to Jan 28, 2015
State-registered IARs · 5 to 4
May 28, 2014 to Jan 28, 2015
Discretionary RAUM · $103M to $91.8M
May 28, 2014 to Jan 28, 2015
RAUM · $103M to $91.8M
May 28, 2014 to Jan 28, 2015
Related insurance company · true to false
May 28, 2014 to Jan 28, 2015
Advisory employees · 3 to 5
Apr 30, 2014 to May 2, 2014
State-registered IARs · 4 to 5
Apr 30, 2014 to May 2, 2014
Accounts · 675 to 763
Jun 8, 2012 to Mar 22, 2014
Advisory employees · 0 to 3
Jun 8, 2012 to Mar 22, 2014
Employees · unset to 5.0
Jun 8, 2012 to Mar 22, 2014
State-registered IARs · 0 to 4
Jun 8, 2012 to Mar 22, 2014
Discretionary RAUM · $74.3M to $103M
Jun 8, 2012 to Mar 22, 2014
Non-discretionary RAUM · $347,000 to $0
Jun 8, 2012 to Mar 22, 2014
RAUM · $74.6M to $103M
Jun 8, 2012 to Mar 22, 2014
Advisory activities · 2 to 1
Mar 19, 2012 to Jun 6, 2012
Related insurance company · false to true
Mar 19, 2012 to Jun 6, 2012

Signals

5 dated events

T••• R•••••• C•••• left S•••• I••••••••• M••••••••• I••• for N••••••• M•••••• C•••••• L•• (registered 2025-02-26)
Nov 13, 2024 · Advisor changed firm · fact
S•••• G••••• S•••• left S•••• I••••••••• M••••••••• I••• for N••••••• M•••••• C•••••• L•• (registered 2025-02-26)
Nov 13, 2024 · Advisor changed firm · fact
2 advisors left S•••• I••••••••• M••••••••• I••• (Gig Harbor, WA) for N••••••• M•••••• C•••••• L•• on the same day
Nov 13, 2024 · Team lift-out · derived
A•••• B•••• W•••••• left S•••• I••••••••• M••••••••• I••• for N••••••• M•••••• C•••••• L•• (registered 2025-02-26)
Nov 12, 2024 · Advisor changed firm · fact
S•••• I••••••••• M••••••••• I••• filed its initial SEC registration (Form ADV)
Mar 22, 2014 · First SEC registration · fact

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

Firm profile: linkedin.com/company/sabin-investment-management-inc-reportedpublic record, Form ADV, Sep 21, 2026
Website: S••••INVEST.COMreportedpublic record, Form ADV, Sep 21, 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: Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: $28.9Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026