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.
SEC-registered adviser
Strategic Wealth Advisors Group, Inc.
Latest filing Mar 30, 2026
First filing on the tape Mar 29, 2024 · 4 filings
SEC status approved since Apr 25, 2024
RAUM
$207M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$207M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$25.8M
derived; firm RAUM over IAPD count
Employees
13
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$207M as of Mar 30, 2026
Mar 27, 2025$140M then
HNW client RAUM$90.3M as of Mar 30, 2026
Mar 27, 2025$45.0M then
State-registered IARs (5.B.3)6 as of Mar 30, 2026
Mar 27, 20256 then
Employees (5.A)13 as of Mar 30, 2026
Mar 27, 202511 then
Private funds: no history
RAUM +47% over the last fiscal yearIARs 6 to 6
Practice profile
derived from the filing of Mar 30, 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
- RAUM per advisor
- $25.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $162,728derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 4.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +47%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +35%derived
- Compensation
- hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, pension consulting, selection of other advisers, educational seminarsreportedItem 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
- Individuals$116M56%
- High-net-worth individuals$90.3M44%
- Individual clients
- 471reported
- HNW clients
- 73reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,270reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- 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 |
|---|---|---|---|---|
| Timothy Scott Sullivan | Utica, Mi | Jan 3, 2017 | 17 y | 3 |
| David Jeffery Heim | Nixa, Mo | Feb 13, 2018 | 29 y | 1 |
| Emily Nitsa Pehlis | Utica, Mi | Aug 15, 2024 | 13 y | 1 |
| Charles Bryon Eastes | New Vienna, Oh | Dec 4, 2024 | 17 y | 1 |
| Hunter Lynn Mateer | Utica, Mi | Feb 18, 2025 | 10 y | 1 |
| Brandon Ramirez | Utica, Mi | Jun 26, 2025 | 12 y | 1 |
| Jason Alexander Recchia | Utica, Mi | Nov 4, 2025 | 13 y | 0 |
| Kenneth Arafat | Sterling Heights , Mi | Jun 8, 2026 | 10 y | 0 |
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 headcount2 left over 36 months
Left, latest
- Gabriel Philip D'Angelo to Rademacher Financial, Inc.Jul 24, 2025 · RIA to RIA
- Jacob Cueny to J.P. Morgan Securities LLCJul 18, 2024 · RIA to wirehouse
- Charles Brian Roehrer to Gpm Growth Investors, Inc.Jul 27, 2023 · RIA to RIA
- Jeffrey Martin Winter to Creativeone Wealth, LLCNov 13, 2017 · RIA to RIA
Joined, latest
- Brandon Ramirez from MML Investors Services, LLCJun 26, 2025 · Affiliated broker-dealer or bank to independent RIA
- Hunter Lynn Mateer from MML Investors Services, LLCFeb 18, 2025 · Affiliated broker-dealer or bank to independent RIA
- Charles Bryon Eastes from United Advisors AmericaDec 4, 2024 · RIA to RIA
- Emily Nitsa Pehlis from MML Investors Services, LLCAug 15, 2024 · Affiliated broker-dealer or bank to independent RIA
- Jacob Cueny from Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 5, 2024 · Wirehouse to independent RIA
- Charles Brian Roehrer from Vitale Wealth ManagementMar 10, 2023 · Other
- David Jeffery Heim from United Advisors AmericaFeb 13, 2018 · RIA to RIA
- Jeffrey Martin Winter from Gradient Advisors, LLCJan 9, 2017 · Other
- Timothy Scott Sullivan from Gradient Advisors, LLCJan 3, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Gradient Advisors, LLCDec 31, 2016 · Arden Hills, Mn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Scott Timothy Sullivan · President/Chief Compliance Officercontrolsince 05/2014 · owns 75% or more
Related persons
Schedule D 7.A
- Timothy Sullivanreal estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Utica, Mi · principal | 8 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 30, 2026accounts (Item 5.F.2.f) moved from 815.0 to 1,270.0 (+56.0%) between the annual amendments of 2025-03-27 and 2026-03-30; the peer median change was +5.0% (3688 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,688) · 96% percentile
- RAUM up 25 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $140,150,911 to $206,664,688 (+47.0%) between the annual amendments of 2025-03-27 and 2026-03-30; the peer median change was +15.0% (4551 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,551) · 95% percentile
What changed
consecutive filings, newest first
- Accounts · 815 to 1,270Mar 27, 2025 to Mar 30, 2026
- HNW clients · 24 to 73Mar 27, 2025 to Mar 30, 2026
- Individual clients · 378 to 471Mar 27, 2025 to Mar 30, 2026
- Employees · 11 to 13Mar 27, 2025 to Mar 30, 2026
- Financial planning clients · 101-250 to 0Mar 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $140M to $207MMar 27, 2025 to Mar 30, 2026
- HNW RAUM · $45.0M to $90.3MMar 27, 2025 to Mar 30, 2026
- Individual RAUM · $95.1M to $116MMar 27, 2025 to Mar 30, 2026
- RAUM · $140M to $207MMar 27, 2025 to Mar 30, 2026
- Accounts · 718 to 815Oct 30, 2024 to Mar 27, 2025
- Advisory employees · 2 to 6Oct 30, 2024 to Mar 27, 2025
- HNW clients · 17 to 24Oct 30, 2024 to Mar 27, 2025
- Individual clients · 303 to 378Oct 30, 2024 to Mar 27, 2025
- Employees · 9 to 11Oct 30, 2024 to Mar 27, 2025
- Financial planning clients · 26-50 to 101-250Oct 30, 2024 to Mar 27, 2025
- State-registered IARs · 3 to 6Oct 30, 2024 to Mar 27, 2025
- Discretionary RAUM · $101M to $140MOct 30, 2024 to Mar 27, 2025
- HNW RAUM · $27.2M to $45.0MOct 30, 2024 to Mar 27, 2025
- Individual RAUM · $73.9M to $95.1MOct 30, 2024 to Mar 27, 2025
- RAUM · $101M to $140MOct 30, 2024 to Mar 27, 2025
Signals
4 dated events
- Gabriel Philip D'Angelo left Strategic Wealth Advisors Group, Inc. for Rademacher Financial, Inc. (registered 2024-09-09)Jul 24, 2025 · Advisor changed firm · fact
- Jacob Cueny left Strategic Wealth Advisors Group, Inc. for J.P. Morgan Securities Llc (registered 2024-09-10)Jul 18, 2024 · Advisor changed firm · fact
- Strategic Wealth Advisors Group, Inc. filed its initial SEC registration (Form ADV)Mar 29, 2024 · First SEC registration · fact
- Charles Brian Roehrer left Strategic Wealth Advisors Group, Inc. for Gpm Growth Investors, Inc. (registered 2023-09-11)Jul 27, 2023 · Advisor changed firm · 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
- Website
- SWAGANALYSIS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 586-203-2275reportedpublic record, Form ADV, Mar 30, 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
- $25.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026