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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Former SEC-registered adviser
S••••••• G•••• M•••••••••
Legal name S••••••• G•••• M••••••••• L••
Latest filing May 23, 2025
First filing on the tape Feb 14, 2012 · 20 filings
SEC status approved since Mar 30, 2012
RAUM
$176M
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
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
12
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$176M as of May 23, 2025
Apr 1, 2013$490M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 23, 2025
Apr 1, 20130 then
Employees (5.A)6 as of May 23, 2025
Apr 1, 201315 then
Private funds12 as of May 23, 2025
Apr 1, 201310 then
RAUM -0.7% over the last fiscal year-24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 23, 2025; 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
- $14.7MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.7%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 pooled vehiclesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$176M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 12reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- 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
Private funds
13 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- B•••••• M••• · Chief Compliance Officercontrolsince 02/2022 · owns less than 5%
- B•••• A•••• A••••• · Chief Financial Officercontrolsince 02/2022 · owns less than 5%
- S•••••••• J••••••• A••••• · Managing Membercontrolsince 05/1999 · owns 75% or more
Related persons
Schedule D 7.A
- S••••••• C••••• O••••••••• I• G•• L••pooled vehicle sponsorn
- S••••••• C••••• O••••••••• I• G•• L•pooled vehicle sponsorn
- S••••••• G•••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · unset to Mar 27, 2025 to May 23, 2025
- Accounts · 10 to 12Feb 25, 2025 to Mar 27, 2025
- Pooled vehicle clients · 10 to 12Feb 25, 2025 to Mar 27, 2025
- Private funds · 10 to 12Feb 25, 2025 to Mar 27, 2025
- Discretionary RAUM · $177M to $176MFeb 25, 2025 to Mar 27, 2025
- Pooled vehicle RAUM · $177M to $176MFeb 25, 2025 to Mar 27, 2025
- RAUM · $177M to $176MFeb 25, 2025 to Mar 27, 2025
- Discretionary RAUM · $353M to $177MMar 29, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $353M to $177MMar 29, 2023 to Mar 27, 2024
- RAUM · $353M to $177MMar 29, 2023 to Mar 27, 2024
- Advisory employees · 4 to 3Sep 8, 2022 to Mar 29, 2023
- Discretionary RAUM · $404M to $353MSep 8, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $404M to $353MSep 8, 2022 to Mar 29, 2023
- RAUM · $404M to $353MSep 8, 2022 to Mar 29, 2023
- Employees · 9 to 6Feb 25, 2022 to Mar 29, 2022
- Discretionary RAUM · $339M to $404MFeb 25, 2022 to Mar 29, 2022
- Pooled vehicle RAUM · $339M to $404MFeb 25, 2022 to Mar 29, 2022
- RAUM · $339M to $404MFeb 25, 2022 to Mar 29, 2022
- HQ city · unset to HUNTINGTONMar 29, 2021 to Feb 25, 2022
- HQ state · unset to NYMar 29, 2021 to Feb 25, 2022
- Employees · 10 to 9Nov 17, 2020 to Mar 29, 2021
- Discretionary RAUM · $377M to $339MNov 17, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $377M to $339MNov 17, 2020 to Mar 29, 2021
- RAUM · $377M to $339MNov 17, 2020 to Mar 29, 2021
- HQ city · NEW YORK to unsetMar 27, 2020 to Nov 17, 2020
- HQ state · NY to unsetMar 27, 2020 to Nov 17, 2020
- Discretionary RAUM · $450M to $377MMar 28, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $450M to $377MMar 28, 2019 to Mar 27, 2020
- RAUM · $450M to $377MMar 28, 2019 to Mar 27, 2020
- Accounts · 8 to 10Mar 28, 2018 to Mar 28, 2019
- Discretionary RAUM · $480M to $450MMar 28, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $480M to $450MMar 28, 2018 to Mar 28, 2019
- RAUM · $480M to $450MMar 28, 2018 to Mar 28, 2019
- Charity clients · unset to 0.0May 4, 2017 to Mar 28, 2018
- Corporate clients · unset to 0.0May 4, 2017 to Mar 28, 2018
- HNW clients · unset to 0.0May 4, 2017 to Mar 28, 2018
- Individual clients · unset to 0.0May 4, 2017 to Mar 28, 2018
- Pension plan clients · unset to 0.0May 4, 2017 to Mar 28, 2018
- Pooled vehicle clients · unset to 10.0May 4, 2017 to Mar 28, 2018
- Assets in custody · $133M to $0May 4, 2017 to Mar 28, 2018
Signals
5 dated events
- S••••••• G•••• M••••••••• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $176.0M)Dec 20, 2025 · Left the SEC roster · derived
- S••••••• G•••• M••••••••• reported RAUM $177.1M, down 50% from $353.2M (2023-03-29 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- M••• B••••• (Chief Compliance Officer) appeared on Schedule A of S••••••• G•••• M•••••••••Feb 25, 2022 · Control person joined · fact
- Andrew Adam Bock (Chief Financial Officer) appeared on Schedule A of S••••••• G•••• M•••••••••Feb 25, 2022 · Control person joined · fact
- Darren S Glickman (Chief Financial Officer And Chief Compliance Officer) no longer on Schedule A of S••••••• G•••• M••••••••• (listed 2021-03-29, absent 2022-02-25)Feb 25, 2022 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- S••••••• G•••• M••••••••• · Independent Sponsorsshared crd · capital_provider
- S••••••• G•••• M••••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/spectrum-group-management-llc/peoplereportedpublic record, Form ADV, Sep 18, 2026
- Website
- S•••••••GP.COMreportedpublic record, Form ADV, Sep 18, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026