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.
SEC-registered adviser
Sgl Financial, LLC
Latest filing Jun 4, 2026
First filing on the tape Apr 24, 2015 · 63 filings
SEC status approved since May 29, 2015
RAUM
$416M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$414M individuals and HNW
Advisors
14
registered through the firm on IAPD
RAUM per advisor
$29.7M
derived; firm RAUM over IAPD count
Employees
33
13 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
63 filings and snapshots on the tape
RAUM$416M as of Jun 4, 2026
Mar 29, 2016$54.4M then
HNW client RAUM$192M as of Jun 4, 2026
Mar 14, 2018$43.0M then
State-registered IARs (5.B.3)13 as of Jun 4, 2026
Mar 29, 201628 then
Employees (5.A)33 as of Jun 4, 2026
Mar 29, 201628 then
Private funds: no history
RAUM +90% over the last fiscal year+35% a year over threeIARs 15 to 13
Practice profile
derived from the filing of Jun 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $29.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $153,339derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.4derivedItem 5.A over advisors
- Advisors per office
- 3.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +90%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -22%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$222M53%
- High-net-worth individuals$192M46%
- Pension and profit-sharing plans$1.9M0.5%
- Individual clients
- 795reported
- HNW clients
- 88reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 2,713reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
14 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Gabriel David Lewit | Buffalo Grove, Il | Jun 21, 2011 | 20 y | 1 |
| Roger Jay CowenChartered Financial Consultant | West Hartford, Ct | Oct 19, 2012 | 46 y | 2 |
| Steven Richard Lewit | Buffalo Grove, Il | Apr 16, 2013 | 35 y | 0 |
| Dylan Jacob Cowen | Buffalo Grove, Il | Jun 12, 2013 | 16 y | 0 |
| Steven James Thomas | Buffalo Grove, Il | Jan 9, 2015 | 42 y | 0 |
| David Schmitz | Rhinelandar, Wi | May 14, 2015 | 32 y | 0 |
| Melvin Lubelski | Buffalo Grove, Il | Jun 13, 2022 | 25 y | 3 |
| Robert Joel Eisenberg | Buffalo Grove, Il | Aug 12, 2022 | 21 y | 5 |
| Martin William Kohlieber | Buffalo Grove, Il | Jul 20, 2023 | 10 y | 0 |
| Robert Duayne Moore | Norman, Ok | Sep 18, 2024 | 35 y | 2 |
| Dominic Daniel Demicco | Buffalo Grove, Il | Feb 18, 2025 | 11 y | 2 |
| Rahul Prakash Shirahatti | Buffalo Grove, Il | Jun 11, 2025 | 12 y | 1 |
| Lavonte Jones | Buffalo Grove, Il | Mar 20, 2026 | 10 y | 0 |
| Kaleb Gandy | Buffalo Grove, Il | Jun 5, 2026 | 12 y | 1 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 7.1% of current headcount5 left over 36 months
Left, latest
- Bryan Tyrell Stiger to Wellment FinancialSep 23, 2025 · RIA to RIA
- Joseph M Mcgraw to Morgan StanleyMay 27, 2025 · RIA to wirehouse
- Leonard Peter Hayduchok to Dedicated Financial Services LLCAug 5, 2024 · Other
- Ryan Michael Filiaggi to Turner Financial Group, Inc.Aug 5, 2024 · RIA to RIA
- Shane Mark Scott to Turner Financial Group, Inc.Aug 5, 2024 · RIA to RIA
- Anh Hamilton to Ns Capital, LLCFeb 24, 2023 · RIA to RIA
- Thomas Chrobak to Gradient Advisors, LLCApr 4, 2022 · RIA to RIA
- Thomas Henry Kelley to Kinetic Investment Management, Inc.May 12, 2021 · RIA to RIA
- Kevin Patrick Smith to Foundations Investment Advisors LLCJul 17, 2020 · RIA to RIA
- Michael Alexander Watkins to Horter Investment Management, LLCAug 14, 2019 · RIA to RIA
- Kevin B Divecha to Wealth Watch Advisors, IncNov 7, 2018 · RIA to RIA
- David Scott Tucker to Ae Wealth Management, LLCJul 20, 2018 · RIA to RIA
- James Andrew Barnash to Ssn Advisory, Inc.Jul 5, 2018 · RIA to affiliated broker-dealer or bank
- Kimberly Sue Strosnider to Alphastar Capital ManagementJul 2, 2018 · RIA to RIA
- William Paul Boscow to Cl Wealth Management LLCJul 2, 2018 · RIA to affiliated broker-dealer or bank
Joined, latest
- Kaleb Gandy from Hantz Financial Services, Inc.Jun 5, 2026 · RIA to RIA
- Rahul Prakash Shirahatti from CoyleJun 11, 2025 · RIA to RIA
- Dominic Daniel Demicco from MML Investors Services, LLCFeb 18, 2025 · Affiliated broker-dealer or bank to independent RIA
- Joseph M Mcgraw from Charles Schwab & Co., Inc.Oct 29, 2024 · Affiliated broker-dealer or bank to independent RIA
- Robert Duayne Moore from American Investment ServicesSep 18, 2024 · Other
- Ryan Michael Filiaggi from Ip Financial Advisory Services LLCApr 18, 2024 · Affiliated broker-dealer or bank to independent RIA
- Bryan Tyrell Stiger from BettermentApr 17, 2024 · RIA to RIA
- Shane Mark Scott from Oxley Capital Management, LLCMay 31, 2023 · Other
- Robert Joel Eisenberg from Northwestern Mutual Investment Services,LLCAug 12, 2022 · Other
- Melvin Lubelski from Fifth Third Securities, Inc.Jun 13, 2022 · Affiliated broker-dealer or bank to independent RIA
- Kevin Patrick Smith from Creative Financial Designs, Inc.Aug 21, 2018 · Other
- Paul David Ambrosini from Ameriprise Financial Services, LLCJan 16, 2018 · Other
- William Paul Boscow from Pacer Advisors, Inc.Mar 23, 2017 · Other
- William Robert Winn from Ameriprise Advisor Services, Inc.May 20, 2016 · Other
- Richard Robert Dwyer from World Equity Group, Inc.May 12, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Turner Financial Group, Inc.Aug 5, 2024 · Lewes, De
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- David Gabriel Lewit · Chief Executive Officercontrolsince 05/2011 · owns 25% to 50%
- Richard Steven Lewit · Ownercontrolsince 05/2011 · owns 25% to 50%
- James Steven Thomas · Chief Operating Officer / Chief Compliance Officercontrolsince 07/2014 · owns 10% to 25%
Related persons
Schedule D 7.A
- Sgl Financialreal estaten
- Sgl Tax Advisory, LLCinsurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Buffalo Grove, Il · principal | 12 | 2 | 1 | ||
| West Hartford, Ct | 2 | 0 | 0 | ||
| Lewes, De | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Hamilton, NJ2 employees
- Lewes, DE2 employees
- West Hartford, CT2 employees
- Fredricksburg, VA1 employees
- Norman, OK1 employees
- Rhinelander, WI1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Apr 30, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $218,580,905 to $416,008,260, advisors 15 to 13, private clients 1135 to 883, offices 3 to 3 (2025-03-25 to 2026-04-30)peers: independent wealth managers, $100M to $500M (5,676)
- account count surgeChange between filings · filing Apr 30, 2026accounts (Item 5.F.2.f) moved from 1,251.0 to 2,713.0 (+117.0%) between the annual amendments of 2025-03-25 and 2026-04-30; the peer median change was +5.0% (3688 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,688) · 98% percentile
- RAUM up 50 %Change between filings · filing Apr 30, 2026RAUM (Item 5.F) moved from $218,580,905 to $416,008,260 (+90.0%) between the annual amendments of 2025-03-25 and 2026-04-30; the peer median change was +15.0% (4551 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,551) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 1,745 to 2,713Mar 16, 2026 to Apr 30, 2026
- HNW clients · 85 to 88Mar 16, 2026 to Apr 30, 2026
- Individual clients · 424 to 795Mar 16, 2026 to Apr 30, 2026
- Discretionary RAUM · $210M to $414MMar 16, 2026 to Apr 30, 2026
- HNW RAUM · $117M to $192MMar 16, 2026 to Apr 30, 2026
- Individual RAUM · $93.4M to $222MMar 16, 2026 to Apr 30, 2026
- Non-discretionary RAUM · $1.9M to $1.9MMar 16, 2026 to Apr 30, 2026
- Pension RAUM · $1.9M to $1.9MMar 16, 2026 to Apr 30, 2026
- RAUM · $212M to $416MMar 16, 2026 to Apr 30, 2026
- Accounts · 1,251 to 1,745Feb 9, 2026 to Mar 16, 2026
- Advisory employees · 15 to 13Feb 9, 2026 to Mar 16, 2026
- HNW clients · 466 to 85Feb 9, 2026 to Mar 16, 2026
- Individual clients · 669 to 424Feb 9, 2026 to Mar 16, 2026
- Employees · 31 to 33Feb 9, 2026 to Mar 16, 2026
- State-registered IARs · 15 to 13Feb 9, 2026 to Mar 16, 2026
- Discretionary RAUM · $217M to $210MFeb 9, 2026 to Mar 16, 2026
- HNW RAUM · $89.0M to $117MFeb 9, 2026 to Mar 16, 2026
- Individual RAUM · $128M to $93.4MFeb 9, 2026 to Mar 16, 2026
- Non-discretionary RAUM · $1.5M to $1.9MFeb 9, 2026 to Mar 16, 2026
- Pension RAUM · $1.5M to $1.9MFeb 9, 2026 to Mar 16, 2026
- RAUM · $219M to $212MFeb 9, 2026 to Mar 16, 2026
- Financial planning clients · More than 500 to More than 500Mar 25, 2025 to May 20, 2025
- Accounts · 1,524 to 1,251Jan 14, 2025 to Mar 25, 2025
- Advisory employees · 16 to 15Jan 14, 2025 to Mar 25, 2025
- HNW clients · 203 to 466Jan 14, 2025 to Mar 25, 2025
- Individual clients · 305 to 669Jan 14, 2025 to Mar 25, 2025
- Employees · 23 to 31Jan 14, 2025 to Mar 25, 2025
- State-registered IARs · 16 to 15Jan 14, 2025 to Mar 25, 2025
- Other offices · 5 to 3Jan 14, 2025 to Mar 25, 2025
- Discretionary RAUM · $214M to $217MJan 14, 2025 to Mar 25, 2025
- HNW RAUM · $87.2M to $89.0MJan 14, 2025 to Mar 25, 2025
- Individual RAUM · $126M to $128MJan 14, 2025 to Mar 25, 2025
- Non-discretionary RAUM · $0 to $1.5MJan 14, 2025 to Mar 25, 2025
- Pension RAUM · $1.3M to $1.5MJan 14, 2025 to Mar 25, 2025
- RAUM · $214M to $219MJan 14, 2025 to Mar 25, 2025
- Employees · 19 to 23Mar 30, 2024 to Jan 14, 2025
- Other offices · 6 to 5Mar 30, 2024 to Jan 14, 2025
- Accounts · 1,283 to 1,524Mar 14, 2023 to Mar 30, 2024
- Advisory employees · 12 to 16Mar 14, 2023 to Mar 30, 2024
- HNW clients · 347 to 203Mar 14, 2023 to Mar 30, 2024
Signals
11 dated events
- Sgl Financial, Llc reported RAUM $416.0M, up 96% from $211.8M (2026-03-16 to 2026-04-30)Apr 30, 2026 · RAUM change · derived
- Bryan Tyrell Stiger left Sgl Financial, Llc for Wellment Financial (registered 2025-11-10)Sep 23, 2025 · Advisor changed firm · fact
- Joseph M Mcgraw left Sgl Financial, Llc for Morgan Stanley (registered 2025-03-06)May 27, 2025 · Advisor changed firm · fact
- Shane Mark Scott left Sgl Financial, Llc for Turner Financial Group, Inc. (registered 2024-07-25)Aug 5, 2024 · Advisor changed firm · fact
- Ryan Michael Filiaggi left Sgl Financial, Llc for Turner Financial Group, Inc. (registered 2024-07-31)Aug 5, 2024 · Advisor changed firm · fact
- Leonard Peter Hayduchok left Sgl Financial, Llc for Dedicated Financial Services Llc (registered 2017-08-23)Aug 5, 2024 · Advisor changed firm · fact
- 2 advisors left Sgl Financial, LLC (Lewes, DE) for Turner Financial Group, Inc. on the same dayAug 5, 2024 · Team lift-out · derived
- Anh Hamilton left Sgl Financial, Llc for Ns Capital, Llc (registered 2023-03-13)Feb 24, 2023 · Advisor changed firm · fact
- Thomas Chrobak left Sgl Financial, Llc for Gradient Advisors, Llc (registered 2022-02-11)Apr 4, 2022 · Advisor changed firm · fact
- Sgl Financial, Llc reported 10 offices beyond its principal office, down from 22 (2019-11-06 to 2020-02-07)Feb 7, 2020 · Office count change · derived
- Wealth Financial Advisory Services, Llc filed its initial SEC registration (Form ADV)Apr 24, 2015 · 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/sglfinancialreportedpublic record, Form ADV, Sep 17, 2026
- Website
- share.google/HOQKv6W7RIGGBW0w5reportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 8474993330reportedpublic record, Form ADV, Jun 4, 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
- $29.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026