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

Strongvest Global Advisors, LLC

Former SEC-registered adviserCharlotte, North CarolinaCRD 285192SEC 801-108711IAPD
Latest filing Mar 30, 2020
First filing on the tape Nov 16, 2016 · 5 filings
RAUM
n/a
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
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$8.5M as of Mar 28, 2019
Mar 30, 2017$2.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 30, 20172 then
Employees (5.A)4 as of Mar 30, 2020
Mar 30, 20175 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 0offices 0 to 1
Practice profile
derived from the filing of Mar 30, 2020; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
otherreportedItem 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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • Kyle Daniel Cerminara · Chief Executive Officercontrol
        since 07/2016 · owns less than 5%
      • Francis John Puglia · Treasurercontrol
        since 11/2018 · owns less than 5%
      • Lance Jeffrey Sutton · Chief Compliance Officercontrol
        since 07/2016 · owns less than 5%
      • Robert Kavel Ryan Turner · Presidentcontrol
        since 07/2016 · owns less than 5%
      • Kyle Daniel Cerminara · Manager And Membercontrol
        since 06/2012 · owns 25% to 50% of Fundamental Global Investors, LLC
      • Mckay Lewis Johnson · Manager And Membercontrol
        since 06/2012 · owns 25% to 50% of Fundamental Global Investors, LLC
      • Hugh Joseph Moglia · Manager And Membercontrol
        since 06/2012 · owns 25% to 50% of Fundamental Global Investors, LLC
      Entity owners
      • Ballantyne Strong, Inc. · Member
        direct · owns 75% or more · public reporting company
      • Fundamental Global Investors, LLC · Member
        indirect · owns 25% to 50% of Ballantyne Strong, Inc. · public reporting company
      Related persons
      Schedule D 7.A
      • Cwa Asset Management Group
        investment advisernRAUM $4.5B
      • Cwa Fgi Special Opportunities Fund Gp, LLC
        pooled vehicle sponsorn
      • Fg Partners Gp, LLC
        pooled vehicle sponsorn
      • Fgi 1347 Gp, LLC
        pooled vehicle sponsorn
      • Fgi Funds Management, LLC
        investment adviserbankn
      • Fgi Global Asset Allocation Gp, LLC
        pooled vehicle sponsorn
      • Fgi Holdings Gp, LLC
        pooled vehicle sponsorn
      • Fgi International Usvi, LLC
        investment adviserbankn
      • Fgi Metrolina Gp, LLC
        pooled vehicle sponsorn
      • Fundamental Activist Fund I Gp, LLC
        pooled vehicle sponsorn
      • Fundamental Global Advisors LLC
        investment advisern
      • Fundamental Global Investors, LLC
        investment adviserbankyRAUM $128M
      • Fundamental Global Partners Gp, LLC
        pooled vehicle sponsorn
      • Fundamental Global Venture Partners Gp, LLC
        pooled vehicle sponsorn
      • Cwa Naples, LLC
        investment advisernRAUM $191M
      • Td Ameritrade, Inc.
        broker-dealerinvestment advisern
      Offices
      Schedule D 1.F, the 25 largest
      • Mooresville, NC4 employees
      What changed
      consecutive filings, newest first
      • Accounts · 1.0 to unset
        Mar 28, 2019 to Mar 30, 2020
      • Employees · 6 to 4
        Mar 28, 2019 to Mar 30, 2020
      • HQ city · MOORESVILLE to CHARLOTTE
        Mar 28, 2019 to Mar 30, 2020
      • State-registered IARs · 2 to 0
        Mar 28, 2019 to Mar 30, 2020
      • Other offices · 0 to 1
        Mar 28, 2019 to Mar 30, 2020
      • Discretionary RAUM · 8489296.0 to unset
        Mar 28, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · 0.0 to unset
        Mar 28, 2019 to Mar 30, 2020
      • RAUM · 8489296.0 to unset
        Mar 28, 2019 to Mar 30, 2020
      • Discretionary RAUM · $9.0M to $8.5M
        Mar 29, 2018 to Mar 28, 2019
      • RAUM · $9.0M to $8.5M
        Mar 29, 2018 to Mar 28, 2019
      • Employees · 5 to 6
        Mar 30, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Discretionary RAUM · $2.5M to $9.0M
        Mar 30, 2017 to Mar 29, 2018
      • RAUM · $2.5M to $9.0M
        Mar 30, 2017 to Mar 29, 2018
      • Accounts · 0 to 1
        Nov 16, 2016 to Mar 30, 2017
      • Discretionary RAUM · $0 to $2.5M
        Nov 16, 2016 to Mar 30, 2017
      • RAUM · $0 to $2.5M
        Nov 16, 2016 to Mar 30, 2017
      Signals
      3 dated events
      • Francis John Puglia (Treasurer) appeared on Schedule A of Strongvest Global Advisors, Llc
        Mar 28, 2019 · Control person joined · fact
      • Vincent Lance Schulz (Treasurer) no longer on Schedule A of Strongvest Global Advisors, Llc (listed 2018-03-29, absent 2019-03-28)
        Mar 28, 2019 · Control person left · inference
      • Strongvest Global Advisors, Llc filed its initial SEC registration (Form ADV)
        Nov 16, 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