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

Sinclair Group Inc

Former SEC-registered adviserCleveland, OhioCRD 159948SEC 801-72958IAPD
Latest filing Sep 6, 2017
First filing on the tape Dec 8, 2011 · 14 filings
RAUM
$127M
reported, Item 5.F
Discretionary
0.0%
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
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$127M gross assets
History
14 filings and snapshots on the tape
RAUM$127M as of Mar 31, 2017
Apr 1, 2013$188M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Apr 1, 20130 then
Employees (5.A)4 as of Mar 31, 2017
Apr 1, 20136 then
Private funds2 as of Mar 31, 2017
Mar 30, 20122 then
RAUM -12% over the last fiscal year-17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 6, 2017; 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
$63.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
-12%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 vehicles, selection of other advisersreportedItem 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
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
2reported
Financial planning clients
0reported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Richard Terrance Ahern · Chief Executive Officer & Shareholdercontrol
        since 07/1986 · owns 75% or more
      • Patrick Joseph Olszak · Chief Operating Officercontrol
        since 08/2008 · owns less than 5%
      • Marie Holly Cavalier · Chief Compliance Officer
        since 01/2014 · owns less than 5%
      • Michael Brian White · Chief Financial Officer
        since 01/2015 · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list Sinclair Group Inc as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Succession · false to true
        Jul 25, 2017 to Sep 6, 2017
      • Organization form · Corporation to Limited Liability Company
        Mar 31, 2017 to Jul 25, 2017
      • Non-discretionary RAUM · $145M to $127M
        Mar 23, 2016 to Mar 31, 2017
      • RAUM · $145M to $127M
        Mar 23, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $255M to $145M
        Mar 30, 2015 to Mar 23, 2016
      • RAUM · $255M to $145M
        Mar 30, 2015 to Mar 23, 2016
      • Non-discretionary RAUM · $220M to $255M
        Jan 22, 2015 to Mar 30, 2015
      • RAUM · $220M to $255M
        Jan 22, 2015 to Mar 30, 2015
      • Employees · 6 to 4
        Jan 21, 2014 to Mar 31, 2014
      • Non-discretionary RAUM · $188M to $220M
        Jan 21, 2014 to Mar 31, 2014
      • RAUM · $188M to $220M
        Jan 21, 2014 to Mar 31, 2014
      • Advisory employees · unset to 3.0
        Aug 7, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        Aug 7, 2012 to Apr 1, 2013
      • Business name · SINCLAIR GROUP LLC to SINCLAIR GROUP INC
        Aug 7, 2012 to Apr 1, 2013
      • Employees · unset to 6.0
        Aug 7, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Aug 7, 2012 to Apr 1, 2013
      • Non-discretionary RAUM · $208M to $188M
        Aug 7, 2012 to Apr 1, 2013
      • RAUM · $208M to $188M
        Aug 7, 2012 to Apr 1, 2013
      • Accounts · unset to 2.0
        Mar 30, 2012 to Aug 7, 2012
      • Legal name · SINCLAIR GROUP LLC to SINCLAIR GROUP INC
        Mar 30, 2012 to Aug 7, 2012
      • Discretionary RAUM · unset to 0.0
        Mar 30, 2012 to Aug 7, 2012
      • Non-discretionary RAUM · unset to 207686281.0
        Mar 30, 2012 to Aug 7, 2012
      • RAUM · unset to 207686281.0
        Mar 30, 2012 to Aug 7, 2012
      • Succession · true to false
        Mar 30, 2012 to Aug 7, 2012
      • Advisory activities · 4 to 2
        Jan 3, 2012 to Mar 30, 2012
      • Organization form · Limited Liability Company to Corporation
        Jan 3, 2012 to Mar 30, 2012
      • Private funds · unset to 2
        Jan 3, 2012 to Mar 30, 2012
      • Succession · false to true
        Jan 3, 2012 to Mar 30, 2012
      Signals
      1 dated events
      • Sinclair Group Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Mar 30, 2012 · Succession (Item 4) · fact
      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
      Across the graphs

      Sinclair Group Inc is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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