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••••• A•••••• G•••• L••

Former SEC-registered adviserLas Vegas, NevadaCRD 173525SEC 801-80490IAPD
Latest filing Mar 29, 2016
First filing on the tape Oct 13, 2014 · 9 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM: $0
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 29, 2016
Mar 31, 20151 then
Employees (5.A)4 as of Mar 29, 2016
Mar 31, 20152 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 29, 2016; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 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)
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
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
      • R••••••• B••••••• C••• · Chief Compliance Officercontrol
        since 11/2014 · owns less than 5%
      • J••••• L••• A••• · Ownercontrol
        since 01/2015 · owns 50% to 75% of J••• I••••••••• L••
      • J••••• N••• H••••• · Ownercontrol
        since 01/2015 · owns 50% to 75% of J••• I••••••••• L••
      • W•••••••• B•••••••• D• · Ownercontrol
        since 01/2014 · owns 75% or more of C••••••••• C••••
      Entity owners
      • C••••••••• C•••• · Owner
        direct · owns 50% to 75%
      • J••• I••••••••• L•• · Owner
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · unset to 0.0
        May 29, 2015 to Aug 26, 2015
      • Advisory activities · 1 to 5
        May 29, 2015 to Aug 26, 2015
      • Discretionary RAUM · unset to 0.0
        May 29, 2015 to Aug 26, 2015
      • Non-discretionary RAUM · unset to 0.0
        May 29, 2015 to Aug 26, 2015
      • RAUM · unset to 0.0
        May 29, 2015 to Aug 26, 2015
      • Advisory employees · 2 to 1
        Mar 31, 2015 to Mar 31, 2015
      • Employees · 2 to 4
        Mar 31, 2015 to Mar 31, 2015
      • State-registered IARs · 2 to 1
        Oct 29, 2014 to Nov 10, 2014
      • Accounts · 0.0 to unset
        Oct 13, 2014 to Oct 29, 2014
      • Advisory employees · 1 to 2
        Oct 13, 2014 to Oct 29, 2014
      • Advisory activities · 2 to 1
        Oct 13, 2014 to Oct 29, 2014
      • Employees · 1 to 2
        Oct 13, 2014 to Oct 29, 2014
      • State-registered IARs · 1 to 2
        Oct 13, 2014 to Oct 29, 2014
      • Discretionary RAUM · 0.0 to unset
        Oct 13, 2014 to Oct 29, 2014
      • Non-discretionary RAUM · 0.0 to unset
        Oct 13, 2014 to Oct 29, 2014
      • RAUM · 0.0 to unset
        Oct 13, 2014 to Oct 29, 2014
      Signals
      1 dated events
      • S••••• A•••••• G•••• L•• filed its initial SEC registration (Form ADV)
        Oct 13, 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.
      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