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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S•• I••••••••• A•••••••• I•••
Latest filing Jul 23, 2026
First filing on the tape Jan 3, 2012 · 36 filings
SEC status approved since Oct 14, 2014
RAUM
$392M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$339M individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$26.1M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$392M as of Jul 23, 2026
Jul 13, 2015$118M then
HNW client RAUM$207M as of Jul 23, 2026
Sep 28, 2018$137M then
State-registered IARs (5.B.3)5 as of Jul 23, 2026
Jul 13, 20152 then
Employees (5.A)7 as of Jul 23, 2026
Jul 13, 20155 then
Private funds: no history
RAUM +34% over the last fiscal year+21% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Jul 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $26.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $316,803derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.5derivedItem 5.A over advisors
- Advisors per office
- 15.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +23%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $392MreportedItem 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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$207M53%
- Individuals$133M34%
- Charitable organizations$28.2M7.2%
- Corporations and businesses$20.1M5.1%
- State and municipal entities$4.1M1.0%
- Individual clients
- 614reported
- HNW clients
- 98reported
- Pension plan clients
- n/areported
- Charitable clients
- 11reported
- Accounts
- 1,236reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.08 related_bd=true related_bank=false bd_reps=5.0derived
Advisors registered through the firm
15 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• E••••• W••••••• | Missoula, Mt | Sep 24, 2008 | 32 y | 0 |
| R••••• G•• I•••• S••••••••• | Missoula, Mt | Jan 21, 2011 | 42 y | 1 |
| J••••• D••••• E•••Certified Financial Planner | Missoula, Mt | Jan 21, 2011 | 20 y | 0 |
| D••••• G•••••• G••••• | Missoula, Mt | Feb 2, 2011 | 19 y | 2 |
| J••••• P••• D••••• | Missoula, Mt | Feb 7, 2011 | 18 y | 0 |
| D•••• A••••• P•••••••• | Missoula, Mt | Jan 5, 2018 | 13 y | 1 |
| Z•••••• T•••• C••••••• | Missoula, Mt | Jan 16, 2018 | 12 y | 0 |
| K•••••• L••••• F••••••• | Missoula, Mt | Jan 16, 2018 | 34 y | 3 |
| K•••• R••• B•••••• | Missoula, Mt | Jan 4, 2019 | 21 y | 0 |
| R••••• M•••••• R•••••••••Chartered Financial Analyst | Missoula, Mt | Jun 19, 2019 | 19 y | 1 |
| A••••• V••• H••••• | Missoula, Mt | Aug 24, 2022 | 12 y | 1 |
| M••••• J••• W••••• | Missoula, Mt | Feb 12, 2024 | 14 y | 1 |
| M••••••• B• R•••••• | Missoula, Mt | Mar 5, 2024 | 13 y | 0 |
| J•••••• H••• | Missoula, Mt | Aug 12, 2025 | 16 y | 2 |
| N•••••• A••• L••••• | Missoula, Mt | Feb 27, 2026 | 11 y | 0 |
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 headcount2 left over 36 months
Left, latest
- T••••• Y•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 1, 2024 · RIA to wirehouse
- K••••••• O••••• to A••••••••• F•••••••• S•••••••• L••Feb 1, 2024 · RIA to affiliated broker-dealer or bank
- E••• R••••• J•••• to P••••••••• F••••••••Jun 6, 2022 · RIA to RIA
- K•••••• B•••••• H•••••• to A•••••• R••••••• C••••••Mar 2, 2015 · Other
- K••••• K••••• H•••••••• to I••••••••• F•••••••• G••••• L••Mar 19, 2014 · Other
- M•••••• M•••••• S•••••••• to M••••• S••••••Oct 4, 2013 · Other
- E••• P•••••• V•••••••• to C••••• I••••••••• S••••••• L••May 22, 2012 · Other
- E••••• D••• R•• to E•• I••••••••• A•••••••• L••Jul 6, 2011 · Other
Joined, latest
- M••••• J••• W••••• from P••• A••••• S••••••••• L••Feb 12, 2024 · Affiliated broker-dealer or bank to independent RIA
- T••••• Y•••• from L•• F•••••••• L••Jan 4, 2023 · RIA to RIA
- A••••• V••• H••••• from I••••••••• M••••••••• G••••Aug 24, 2022 · Other
- E••• R••••• J•••• from S••• L••• • C••••••Apr 4, 2022 · Other
- K••••••• O••••• from S••• L••• • C••••••Mar 29, 2022 · Other
- R••••• M•••••• R••••••••• from F•••••• W••••• A•••••••Jun 19, 2019 · RIA to RIA
- K•••••• B•••••• H•••••• from W•••••• • R•••Oct 3, 2013 · Other
- K••••• K••••• H•••••••• from L•••• A••••• • C•• L••Oct 1, 2013 · Other
- M•••••• M•••••• S•••••••• from E••••• J••••Apr 22, 2013 · Other
- D••••• G•••••• G••••• from W•••• F•••• A•••••••Feb 2, 2011 · Other
- E••••• D••• R•• from S••• L••• • C••••••Jan 24, 2011 · Other
- R••••• G•• I•••• S••••••••• from B•• A•••• M••••••••• I•••Jan 21, 2011 · Other
- E••• P•••••• V•••••••• from S••• L••• • C••••••Jan 21, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• D•••• N••••• · Directorcontrolsince 02/2006 · owns less than 5%
- C••••• B••••• A•••••• · Directorcontrolsince 06/2014 · owns less than 5%
- F••••• D••••• M•••• · Chief Financial Officer/ Chief Compliance Officer/Secretarycontrolsince 03/2023 · owns less than 5%
- K•••••• M••••••• F• · Directorcontrolsince 02/2006 · owns less than 5%
- L•••• S••••• G•••••• · Chairman Of The Boardcontrolsince 02/2006 · owns less than 5%
- V••••• J•••••• D•••• · Directorcontrolsince 02/2006 · owns less than 5%
- W•••••••• S••••• E••••• · Presidentcontrolsince 03/2023 · owns less than 5%
- L•••• S••••• G•••••• · Ownercontrolsince 02/2006 · owns 25% to 50% of Sg L••• Financial Services Corp
- W•••••••• S••••• E••••• · Ownercontrolsince 07/2017 · owns 25% to 50% of Sg L••• Financial Services Corp
- S••••••••• R•••••• G•• I•••• · Directorsince 11/2022 · owns 10% to 25%
Entity owners
- S• L••• F•••••••• S••••••• C•••• · Holding Corporationdirect · owns 75% or more
Related persons
Schedule D 7.A
- S••• L••• • C••••••broker-dealerinvestment adviserreal estatenRAUM $35.3M
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Missoula, Mt · principal | 15 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 940 to 1,236Sep 13, 2024 to Sep 26, 2025
- Advisory employees · 7 to 6Sep 13, 2024 to Sep 26, 2025
- BD registered reps · 4 to 5Sep 13, 2024 to Sep 26, 2025
- Charity clients · 10 to 11Sep 13, 2024 to Sep 26, 2025
- HNW clients · 81 to 98Sep 13, 2024 to Sep 26, 2025
- Individual clients · 472 to 614Sep 13, 2024 to Sep 26, 2025
- Employees · 8 to 7Sep 13, 2024 to Sep 26, 2025
- Financial planning clients · unset to Sep 13, 2024 to Sep 26, 2025
- State-registered IARs · 4 to 5Sep 13, 2024 to Sep 26, 2025
- Discretionary RAUM · $351M to $392MSep 13, 2024 to Sep 26, 2025
- HNW RAUM · $165M to $207MSep 13, 2024 to Sep 26, 2025
- Individual RAUM · $113M to $133MSep 13, 2024 to Sep 26, 2025
- RAUM · $351M to $392MSep 13, 2024 to Sep 26, 2025
- Accounts · 743 to 940Aug 6, 2024 to Sep 13, 2024
- Advisory employees · 6 to 7Aug 6, 2024 to Sep 13, 2024
- Charity clients · 12 to 10Aug 6, 2024 to Sep 13, 2024
- HNW clients · 82 to 81Aug 6, 2024 to Sep 13, 2024
- Individual clients · 366 to 472Aug 6, 2024 to Sep 13, 2024
- Employees · 9 to 8Aug 6, 2024 to Sep 13, 2024
- Discretionary RAUM · $292M to $351MAug 6, 2024 to Sep 13, 2024
- HNW RAUM · $145M to $165MAug 6, 2024 to Sep 13, 2024
- Individual RAUM · $84.5M to $113MAug 6, 2024 to Sep 13, 2024
- RAUM · $292M to $351MAug 6, 2024 to Sep 13, 2024
- Accounts · 632 to 743Mar 14, 2023 to Sep 27, 2023
- Advisory employees · 7 to 6Mar 14, 2023 to Sep 27, 2023
- BD registered reps · 6 to 4Mar 14, 2023 to Sep 27, 2023
- Charity clients · 10 to 12Mar 14, 2023 to Sep 27, 2023
- Corporate clients · 11 to 10Mar 14, 2023 to Sep 27, 2023
- HNW clients · 83 to 82Mar 14, 2023 to Sep 27, 2023
- Individual clients · 303 to 366Mar 14, 2023 to Sep 27, 2023
- Insurance-licensed employees · 6 to 0Mar 14, 2023 to Sep 27, 2023
- State-registered IARs · 6 to 4Mar 14, 2023 to Sep 27, 2023
- Discretionary RAUM · $212M to $292MMar 14, 2023 to Sep 27, 2023
- HNW RAUM · $108M to $145MMar 14, 2023 to Sep 27, 2023
- Individual RAUM · $72.4M to $84.5MMar 14, 2023 to Sep 27, 2023
- RAUM · $212M to $292MMar 14, 2023 to Sep 27, 2023
- Accounts · 496 to 632May 27, 2022 to Sep 28, 2022
- Advisory employees · 6 to 7May 27, 2022 to Sep 28, 2022
- Charity clients · 11 to 10May 27, 2022 to Sep 28, 2022
- Corporate clients · 9 to 11May 27, 2022 to Sep 28, 2022
Signals
8 dated events
- T••••• Y•••• left S•• I••••••••• A•••••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-06-06)Feb 1, 2024 · a•••••• firm change · fact
- K••••••• O••••• left S•• I••••••••• A•••••••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-07-18)Feb 1, 2024 · a•••••• firm change · fact
- Noelle Tessa Greene (Chief Compliance Officer) no longer on Schedule A of S•• I••••••••• A•••••••• I••• (listed 2022-09-28, absent 2023-03-14)Mar 14, 2023 · Control person left · inference
- E••• R••••• J•••• left S•• I••••••••• A•••••••• I••• for P••••••••• F•••••••• (registered 2023-11-21)Jun 6, 2022 · a•••••• firm change · fact
- Jean Kimberly Smith (Cco) no longer on Schedule A of S•• I••••••••• A•••••••• I••• (listed 2020-06-29, absent 2020-09-29)Sep 29, 2020 · Control person left · inference
- Noelle Tessa Greene (Chief Compliance Officer) appeared on Schedule A of S•• I••••••••• A•••••••• I•••Sep 29, 2020 · Control person joined · fact
- Marie Darla Felix (Chief Financial Officer) appeared on Schedule A of S•• I••••••••• A•••••••• I•••Sep 29, 2020 · Control person joined · fact
- S•• I••••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Sep 30, 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
- Business phone
- 406-721-0922reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 406-721-0999reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-823-8234reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/sgl-investment-advisors/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- SGL•••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 406-721-0999reportedpublic record, Form ADV, Jul 23, 2026
- Team page
- SGLONGFINANCIAL.COM/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $26.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026