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•• A••••••• L••
Latest filing Sep 8, 2026
First filing on the tape Apr 17, 2020 · 29 filings
SEC status approved since May 15, 2020
RAUM
$535M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$535M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$59.5M
derived; firm RAUM over IAPD count
Employees
9
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$535M as of Mar 27, 2026
Mar 3, 2021$234M then
HNW client RAUM$288M as of Mar 27, 2026
Mar 3, 2021$108M then
State-registered IARs (5.B.3)9 as of Mar 27, 2026
Mar 3, 20219 then
Employees (5.A)9 as of Mar 27, 2026
Mar 3, 20219 then
Private funds: no history
RAUM n/a over the last fiscal year+24% a year over three
Practice profile
derived from the filing of Sep 8, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- p••••••• 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
- $59.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 77derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $226,300derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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, hourly, fixed fees, otherreportedItem 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
- Custody
- $206M, 606 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$288M54%
- Individuals$248M46%
- Individual clients
- 533reported
- HNW clients
- 159reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2,366reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $206M for 606 clientsreported
- 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
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• M••• S••••••••• | Kirkland, Wa | Jul 27, 2016 | 15 y | 2 |
| L•••• D•••• D•••• | Kirkland, Wa | Aug 25, 2016 | 11 y | 0 |
| G••••••• E•••••••• C••••• | Kirkland, Wa | Sep 10, 2019 | 27 y | 0 |
| J••••• D••••• D••••• | Kirkland, Wa | May 19, 2020 | 11 y | 1 |
| T•••• H•••• L•••••Certified Financial Planner | Kirkland, Wa | Jun 26, 2023 | 11 y | 1 |
| C••• B•••••• B•••••Certified Financial Planner | Kirkland, Wa | May 9, 2025 | 29 y | 7 |
| N••••• S•••••• M•••• | Kirkland, Wa | Nov 19, 2025 | 14 y | 2 |
| B•••••• P••• A•••••• | Kirkland, Wa | Feb 23, 2026 | 15 y | 1 |
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 11% of current headcount4 left over 36 months
Left, latest
- C••• M••••• L•••••• to C••••••••• W•••••• L••Sep 26, 2025 · RIA to RIA
- C••• A•••• C••••••• to C••••••••• W•••••• L••Sep 10, 2025 · RIA to RIA
- C••••••• M• N••••• to S•••• I••••• S••••••••• L••Aug 2, 2024 · RIA to RIA
- Q•••••• G••••• M•••••••• to I••••••••• P•••••••• L••Mar 25, 2024 · RIA to RIA
Joined, latest
- B•••••• P••• A•••••• from L••••••• P••••••• W••••• M••••••••• L••Feb 23, 2026 · Other
- N••••• S•••••• M•••• from H•••••• I••••••••• I•••Nov 19, 2025 · RIA to RIA
- C••• B•••••• B••••• from J••••• C•••••• A••••••• L••May 9, 2025 · RIA to RIA
- T•••• H•••• L••••• from T•• R••••••••• S••••••• L••Jun 26, 2023 · RIA to RIA
- J••••• D••••• D••••• from T•• R••••••••• S••••••• L••May 19, 2020 · RIA to RIA
- C••• A•••• C••••••• from S•••••••• F•••••••• G••••• L••May 17, 2019 · RIA to RIA
- D•••• M••• S••••••••• from S•••••• A•••• M••••••••• L••Jul 27, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••• J•••••• R•••••• · Chief Compliance Officer/Chief Operating Officercontrolsince 12/2019 · owns less than 5%
- L••••• D••••• T• · Trusteecontrolsince 04/2022 · owns F of S•• W••••• M••••••••• V••••• T••••
- M•••• J•••••• M•••••• · Chief Investment Officersince 11/2018 · owns less than 5%
Entity owners
- S•• W••••• M••••••••• V••••• T•••• · Trustdirect · owns 75% or more
Related persons
Schedule D 7.A
- S•••• P••••••• G••••• I••real estatey
- S•••• T•• P••••••• L••insurancey
- S•••••• A•••• M••••••••• L••investment advisern
- S•••••• B••••••• V••••••••• • C••••••••• L••investment companyn
- S•••••• F•••••••• S•••••••• I•••real estaten
- S•••••• M•••••• • A••••••••• L••investment companyn
Advisers that list S•• A••••••• L•• as a related person
- 117201 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Kirkland, Wa · principal | 9 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · More than 500 to More than 500Mar 27, 2026 to Sep 8, 2026
- Succession · false to unsetMar 27, 2026 to Sep 8, 2026
- Accounts · 2,177 to 2,366Oct 2, 2025 to Mar 27, 2026
- Advisory employees · 6 to 8Oct 2, 2025 to Mar 27, 2026
- HNW clients · 142 to 159Oct 2, 2025 to Mar 27, 2026
- Individual clients · 486 to 533Oct 2, 2025 to Mar 27, 2026
- Assets in custody · $168M to $206MOct 2, 2025 to Mar 27, 2026
- Employees · 8 to 9Oct 2, 2025 to Mar 27, 2026
- State-registered IARs · 7 to 9Oct 2, 2025 to Mar 27, 2026
- Discretionary RAUM · $463M to $535MOct 2, 2025 to Mar 27, 2026
- HNW RAUM · $264M to $288MOct 2, 2025 to Mar 27, 2026
- Individual RAUM · $199M to $248MOct 2, 2025 to Mar 27, 2026
- RAUM · $463M to $535MOct 2, 2025 to Mar 27, 2026
- Advisory employees · 7 to 6Jun 4, 2025 to Oct 2, 2025
- Employees · 9 to 8Jun 4, 2025 to Oct 2, 2025
- State-registered IARs · 8 to 7Jun 4, 2025 to Oct 2, 2025
- Financial planning clients · More than 500 to More than 500May 1, 2025 to Jun 4, 2025
- Accounts · 2,006 to 2,177Sep 5, 2024 to May 1, 2025
- HNW clients · 107 to 142Sep 5, 2024 to May 1, 2025
- Individual clients · 509 to 486Sep 5, 2024 to May 1, 2025
- Assets in custody · $61.8M to $168MSep 5, 2024 to May 1, 2025
- Employees · 10 to 9Sep 5, 2024 to May 1, 2025
- State-registered IARs · 10 to 8Sep 5, 2024 to May 1, 2025
- Discretionary RAUM · $393M to $463MSep 5, 2024 to May 1, 2025
- HNW RAUM · $208M to $264MSep 5, 2024 to May 1, 2025
- Individual RAUM · $193M to $199MSep 5, 2024 to May 1, 2025
- Non-discretionary RAUM · $7.5M to $0Sep 5, 2024 to May 1, 2025
- RAUM · $401M to $463MSep 5, 2024 to May 1, 2025
- Accounts · 1,912 to 2,006Oct 23, 2023 to Mar 22, 2024
- Advisory employees · 8 to 7Oct 23, 2023 to Mar 22, 2024
- HNW clients · 80 to 107Oct 23, 2023 to Mar 22, 2024
- Individual clients · 508 to 509Oct 23, 2023 to Mar 22, 2024
- Assets in custody · $111M to $61.8MOct 23, 2023 to Mar 22, 2024
- Employees · 11 to 10Oct 23, 2023 to Mar 22, 2024
- State-registered IARs · 11 to 10Oct 23, 2023 to Mar 22, 2024
- Discretionary RAUM · $338M to $393MOct 23, 2023 to Mar 22, 2024
- HNW RAUM · $159M to $208MOct 23, 2023 to Mar 22, 2024
- Individual RAUM · $185M to $193MOct 23, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $6.0M to $7.5MOct 23, 2023 to Mar 22, 2024
- RAUM · $344M to $401MOct 23, 2023 to Mar 22, 2024
Signals
7 dated events
- C••• M••••• L•••••• left S•• A••••••• L•• for C••••••••• W•••••• L•• (registered 2025-11-03)Sep 26, 2025 · Advisor changed firm · fact
- C••• A•••• C••••••• left S•• A••••••• L•• for C••••••••• W•••••• L•• (registered 2025-10-13)Sep 10, 2025 · Advisor changed firm · fact
- C••••••• M• N••••• left S•• A••••••• L•• for S•••• I••••• S••••••••• L•• (registered 2024-07-18)Aug 2, 2024 · Advisor changed firm · fact
- Q•••••• G••••• M•••••••• left S•• A••••••• L•• for I••••••••• P•••••••• L•• (registered 2024-02-07)Mar 25, 2024 · Advisor changed firm · fact
- Ann K•••••••• S••••••••• (Managing Member) no longer on Schedule A of S•• A••••••• L•• (listed 2022-03-31, absent 2022-10-25)Oct 25, 2022 · Control person left · inference
- T D•••• L•••• (Trustee) appeared on Schedule A of S•• A••••••• L••Oct 25, 2022 · Control person joined · fact
- S•• A••••••• L•• filed its initial SEC registration (Form ADV)Apr 17, 2020 · 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
- b••••••• email
- admin@myspg.comreportedpublished by the firm, firm site, Sep 16, 2026
- b••••••• phone
- 425-821-9442reportedpublished by the firm, firm site, Sep 16, 2026
- b••••••• phone
- 888-503-0799reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/S••••-P•••••••-GROUPreportedpublic record, Form ADV, Sep 18, 2026
- Website
- MYSPG.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 425-821-9442reportedpublic record, Form ADV, Sep 8, 2026
- Team page
- myspg.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $59.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026