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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SEC-registered adviser
S••••• L••••• G••••
Legal name C•••••• A••••••• G••••• L••
Latest filing Jan 22, 2026
First filing on the tape Sep 7, 2021 · 11 filings
SEC status approved since Sep 8, 2021
RAUM
$153M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$153M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$50.9M
derived; firm RAUM over IAPD count
Employees
7
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$153M as of Jan 22, 2026
Feb 15, 2022$127M then
HNW client RAUM$149M as of Jan 22, 2026
Feb 15, 2022$113M then
State-registered IARs (5.B.3)3 as of Jan 22, 2026
Feb 15, 20223 then
Employees (5.A)7 as of Jan 22, 2026
Feb 15, 20227 then
Private funds: no history
RAUM +24% over the last fiscal year+12% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jan 22, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $50.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 8derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $10.6MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -27%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- 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
- High-net-worth individuals$149M98%
- Individuals$3.8M2.5%
- Individual clients
- 10reported
- HNW clients
- 14reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 86reported
- Financial planning clients
- 1-10reported
- 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=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••••••• A•••• G•••••• | Scottsdale, Az | Sep 5, 2014 | 28 y | 1 |
| G•••••• F••••••• G•••••• | Scottsdale, Az | Oct 20, 2020 | 11 y | 0 |
| M•••••• J•••• M•••••••• | Scottsdale, Az | Jan 23, 2026 | 24 y | 3 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- M•••••• J•••• M•••••••• from U•••••••• V•••• A•••••••Sep 11, 2014 · Other
- G••••••• A•••• G•••••• from E•••• S••••••••• L••Sep 5, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• G•••••••• A•••• · Chief Compliance Officer And Managing Membercontrolsince 06/2014 · owns 75% or more
Related persons
Schedule D 7.A
- G•••••• F•••••••• G•••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Scottsdale, Az · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Reno, NV1 employees
What changed
consecutive filings, newest first
- Accounts · 78 to 86Sep 29, 2025 to Jan 22, 2026
- Advisory employees · 3 to 2Sep 29, 2025 to Jan 22, 2026
- HNW clients · 6 to 14Sep 29, 2025 to Jan 22, 2026
- Individual clients · 27 to 10Sep 29, 2025 to Jan 22, 2026
- Assets in custody · $5.8M to $23.8MSep 29, 2025 to Jan 22, 2026
- Employees · 8 to 7Sep 29, 2025 to Jan 22, 2026
- Insurance-licensed employees · 1 to 0Sep 29, 2025 to Jan 22, 2026
- Discretionary RAUM · $123M to $153MSep 29, 2025 to Jan 22, 2026
- HNW RAUM · $104M to $149MSep 29, 2025 to Jan 22, 2026
- Individual RAUM · $19.7M to $3.8MSep 29, 2025 to Jan 22, 2026
- RAUM · $123M to $153MSep 29, 2025 to Jan 22, 2026
- Financial planning clients · 1-10 to 1-10May 1, 2025 to May 6, 2025
- Business name · C•••••• S••••••••• to S••••• L••••• G••••Feb 4, 2025 to May 1, 2025
- Accounts · 68 to 78Jan 30, 2024 to Feb 4, 2025
- Individual clients · 34 to 27Jan 30, 2024 to Feb 4, 2025
- Employees · 7 to 8Jan 30, 2024 to Feb 4, 2025
- Insurance-licensed employees · 0 to 1Jan 30, 2024 to Feb 4, 2025
- Discretionary RAUM · $110M to $123MJan 30, 2024 to Feb 4, 2025
- HNW RAUM · $96.4M to $104MJan 30, 2024 to Feb 4, 2025
- Individual RAUM · $13.6M to $19.7MJan 30, 2024 to Feb 4, 2025
- RAUM · $110M to $123MJan 30, 2024 to Feb 4, 2025
- Accounts · 79 to 68Feb 6, 2023 to Jan 30, 2024
- HNW clients · 15 to 6Feb 6, 2023 to Jan 30, 2024
- Individual clients · 10 to 34Feb 6, 2023 to Jan 30, 2024
- Assets in custody · unset to 5828442.0Feb 6, 2023 to Jan 30, 2024
- Discretionary RAUM · $108M to $110MFeb 6, 2023 to Jan 30, 2024
- HNW RAUM · $106M to $96.4MFeb 6, 2023 to Jan 30, 2024
- Individual RAUM · $1.5M to $13.6MFeb 6, 2023 to Jan 30, 2024
- Non-discretionary RAUM · $4,282 to $0Feb 6, 2023 to Jan 30, 2024
- RAUM · $108M to $110MFeb 6, 2023 to Jan 30, 2024
- Accounts · 75 to 79Aug 16, 2022 to Feb 6, 2023
- Advisory employees · 2 to 3Aug 16, 2022 to Feb 6, 2023
- HNW clients · 6 to 15Aug 16, 2022 to Feb 6, 2023
- Individual clients · 30 to 10Aug 16, 2022 to Feb 6, 2023
- Financial planning clients · 0 to 1-10Aug 16, 2022 to Feb 6, 2023
- Discretionary RAUM · $127M to $108MAug 16, 2022 to Feb 6, 2023
- HNW RAUM · $113M to $106MAug 16, 2022 to Feb 6, 2023
- Individual RAUM · $14.3M to $1.5MAug 16, 2022 to Feb 6, 2023
- Non-discretionary RAUM · $0 to $4,282Aug 16, 2022 to Feb 6, 2023
- RAUM · $127M to $108MAug 16, 2022 to Feb 6, 2023
Signals
1 dated events
- C•••••• S••••••••• filed its initial SEC registration (Form ADV)Sep 7, 2021 · 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
- 775-322-4500reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 775-322-5169reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- sierralegacygroup.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 775-322-4500reportedpublic record, Form ADV, Jan 22, 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
- $50.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026