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••••• U•• I•••

Former SEC-registered adviserNew York, New YorkCRD 226666SEC 801-107145IAPD
Latest filing Jun 30, 2017
First filing on the tape Jan 6, 2016 · 4 filings
RAUM
$29.3M
reported, Item 5.F
Discretionary
97%
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
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$29.3M as of Jun 30, 2017
Jul 1, 2016$26.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Jun 30, 2017
Jul 1, 20161 then
Employees (5.A)4 as of Jun 30, 2017
Jul 1, 20165 then
Private funds: no history
RAUM +10% over the last fiscal yearIARs 1 to 3
Practice profile
derived from the filing of Jun 30, 2017; every figure names its basis
RAUM per advisor
$9.8MderivedRAUM 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
$174,221derivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+10%derivedbetween the last two annual amendments
Advisor growth, one year
+200%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
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
168reported
Financial planning clients
1-10reported
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
      • A•••••••• D••••••• K•••••• · Directorcontrol
        since 07/2015 · owns less than 5%
      • C••••••• F•••••• J•••• · Chief Executuve Officercontrol
        since 07/2015 · owns 10% to 25%
      • F•••••••• R••••• N••••••• · Cco, Ciocontrol
        since 09/2015 · owns 25% to 50%
      • G••••• H••••••• · Directorcontrol
        since 07/2015 · owns less than 5%
      Entity owners
      • S•• G••••• S••••••••• L••• · Owner
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • S•• G••••• S••••••••• L••
        broker-dealery
      Offices
      Schedule D 1.F, the 25 largest
      • Deland, FL
      What changed
      consecutive filings, newest first
      • Accounts · 182 to 168
        Jul 1, 2016 to Jun 30, 2017
      • Advisory employees · 1 to 2
        Jul 1, 2016 to Jun 30, 2017
      • Employees · 5 to 4
        Jul 1, 2016 to Jun 30, 2017
      • Financial planning clients · 0 to 1-10
        Jul 1, 2016 to Jun 30, 2017
      • State-registered IARs · 1 to 3
        Jul 1, 2016 to Jun 30, 2017
      • Discretionary RAUM · $21.0M to $28.4M
        Jul 1, 2016 to Jun 30, 2017
      • Non-discretionary RAUM · $5.5M to $892,467
        Jul 1, 2016 to Jun 30, 2017
      • RAUM · $26.6M to $29.3M
        Jul 1, 2016 to Jun 30, 2017
      • Accounts · 0 to 182
        Jan 6, 2016 to Jun 2, 2016
      • Employees · 2 to 5
        Jan 6, 2016 to Jun 2, 2016
      • Financial planning clients · unset to 0
        Jan 6, 2016 to Jun 2, 2016
      • Discretionary RAUM · $0 to $21.0M
        Jan 6, 2016 to Jun 2, 2016
      • Non-discretionary RAUM · $0 to $5.5M
        Jan 6, 2016 to Jun 2, 2016
      • RAUM · $0 to $26.6M
        Jan 6, 2016 to Jun 2, 2016
      Signals
      1 dated events
      • S•• G••••• U•• I••• filed its initial SEC registration (Form ADV)
        Jan 6, 2016 · 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