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 Global Advisors, LLC
Latest filing Mar 30, 2026
First filing on the tape Dec 12, 2016 · 19 filings
SEC status approved since Jan 4, 2017
RAUM
$3.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.1%
$2.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
19
10 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$3.0B as of Mar 30, 2026
Mar 30, 2017$3.0B then
HNW client RAUM$2.4M as of Mar 30, 2026
Mar 27, 2018$18.1M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 30, 20170 then
Employees (5.A)19 as of Mar 30, 2026
Mar 30, 201721 then
Private funds: no history
RAUM +21% over the last fiscal year-2.2% a year over threeIARs 0 to 0offices 1 to 2
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $89.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 70%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$1.5B51%
- Other investment advisers$755M25%
- Pension and profit-sharing plans$319M11%
- Charitable organizations$250M8.3%
- Corporations and businesses$158M5.2%
- High-net-worth individuals$2.4M0.1%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 34reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $43.3M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.25 institutional_share=0.7 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Thaddeus Gary Baierl · Member & Chief Investment Officercontrolsince 03/2006 · owns 10% to 25%
- David Joel Reynolds · Chief Compliance Officercontrolsince 07/2018 · owns less than 5%
- Ann Cynthia Tusan · Managing Member & Chief Executive Officercontrolsince 12/2005 · owns 25% to 50%
- Michelle Elyse Waldinger · Chief Operating Officercontrolsince 12/2018 · owns less than 5%
- Kim Huyen Gerbereux · Managing Membercontrolsince 12/2015 · owns 50% to 75% of Nile Capital Group II LLC
- (Nmn) Edele Hovnanian · Trusteecontrolsince 12/2011 · owns F of Hirair And Anna Hovnanian 2011 Family Trust
- (Nmn) Edele Hovnanian · Managing Membercontrolsince 05/2007 · owns F of Hovnanian-Sga, LLC
- Duane Melvin Lindsey · Limited Partnercontrolsince 12/2015 · owns 25% to 50% of Nile Capital Fund, LP
- Duane Melvin Lindsey · Membercontrolsince 12/2015 · owns 25% to 50% of Nile Capital Group II LLC
- Vaughn Lisa Pell · Limited Partnercontrolsince 12/2015 · owns 25% to 50% of Nile Capital Fund, LP
Entity owners
- Nile Capital Fund, LP · Memberdirect · owns 25% to 50%
- Hirair And Anna Hovnanian 2011 Family Trust · Memberindirect · owns 75% or more of Hovnanian-Sga, LLC
- Nile Capital Group II LLC · General Partnerindirect · owns F of Nile Capital Fund, LP
- Hovnanian-Sga, LLC · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 32 to 34Jun 20, 2025 to Mar 30, 2026
- Charity clients · unset to 5.0Jun 20, 2025 to Mar 30, 2026
- Employees · 17 to 19Jun 20, 2025 to Mar 30, 2026
- Other offices · 1 to 2Jun 20, 2025 to Mar 30, 2026
- Discretionary RAUM · $2.5B to $3.0BJun 20, 2025 to Mar 30, 2026
- HNW RAUM · $1.9M to $2.4MJun 20, 2025 to Mar 30, 2026
- Pension RAUM · $252M to $319MJun 20, 2025 to Mar 30, 2026
- RAUM · $2.5B to $3.0BJun 20, 2025 to Mar 30, 2026
- Wrap assets (manager) · $21.8M to $43.3MJun 20, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 28, 2025 to Jun 20, 2025
- Advisory employees · 11 to 10Nov 20, 2024 to Mar 28, 2025
- BD registered reps · 1 to 0Nov 20, 2024 to Mar 28, 2025
- Employees · 22 to 17Nov 20, 2024 to Mar 28, 2025
- Discretionary RAUM · $2.8B to $2.5BNov 20, 2024 to Mar 28, 2025
- HNW RAUM · $1.7M to $1.9MNov 20, 2024 to Mar 28, 2025
- Pension RAUM · $239M to $252MNov 20, 2024 to Mar 28, 2025
- RAUM · $2.8B to $2.5BNov 20, 2024 to Mar 28, 2025
- Wrap assets (manager) · $16.2M to $21.8MNov 20, 2024 to Mar 28, 2025
- Accounts · 35 to 32Jun 30, 2023 to Mar 28, 2024
- Advisory employees · 12 to 11Jun 30, 2023 to Mar 28, 2024
- Employees · 23 to 22Jun 30, 2023 to Mar 28, 2024
- Other offices · 0 to 1Jun 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $3.2B to $2.8BJun 30, 2023 to Mar 28, 2024
- HNW RAUM · $1.4M to $1.7MJun 30, 2023 to Mar 28, 2024
- Pension RAUM · $286M to $239MJun 30, 2023 to Mar 28, 2024
- RAUM · $3.2B to $2.8BJun 30, 2023 to Mar 28, 2024
- Wrap assets (manager) · $14.7M to $16.2MJun 30, 2023 to Mar 28, 2024
- Accounts · 34 to 35Mar 30, 2022 to Mar 31, 2023
- Advisory employees · 14 to 12Mar 30, 2022 to Mar 31, 2023
- BD registered reps · 3 to 1Mar 30, 2022 to Mar 31, 2023
- Employees · 29 to 23Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $4.4B to $3.2BMar 30, 2022 to Mar 31, 2023
- HNW RAUM · $223,732 to $1.4MMar 30, 2022 to Mar 31, 2023
- Pension RAUM · $314M to $286MMar 30, 2022 to Mar 31, 2023
- RAUM · $4.4B to $3.2BMar 30, 2022 to Mar 31, 2023
- Wrap assets (manager) · $16.1M to $14.7MMar 30, 2022 to Mar 31, 2023
- Accounts · 43 to 34Mar 30, 2021 to Mar 30, 2022
- Advisory employees · 13 to 14Mar 30, 2021 to Mar 30, 2022
- Advisory activities · 4 to 3Mar 30, 2021 to Mar 30, 2022
- BD registered reps · 4 to 3Mar 30, 2021 to Mar 30, 2022
Signals
8 dated events
- Joseph Brett Gallagher (President) no longer on Schedule A of Strategic Global Advisors, Llc (listed 2024-03-28, absent 2024-11-20)Nov 20, 2024 · Control person left · inference
- Strategic Global Advisors, Llc reported RAUM $3.2B, down 26% from $4.4B (2022-03-30 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Strategic Global Advisors, Llc reported RAUM $5.1B, up 30% from $3.9B (2019-03-29 to 2020-03-26)Mar 26, 2020 · RAUM change · derived
- Michelle Elyse Waldinger (Chief Operating Officer) appeared on Schedule A of Strategic Global Advisors, LlcJan 28, 2019 · Control person joined · fact
- Joseph Brett Gallagher (President) appeared on Schedule A of Strategic Global Advisors, LlcJan 28, 2019 · Control person joined · fact
- Strategic Global Advisors, Llc reported RAUM $4.1B, up 35% from $3.0B (2017-03-30 to 2018-03-27)Mar 27, 2018 · RAUM change · derived
- Strategic Global Advisors, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Dec 12, 2016 · Succession (Item 4) · fact
- Strategic Global Advisors, Llc filed its initial SEC registration (Form ADV)Dec 12, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/strategic-global-advisors-llcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- SGADVISORS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 949-706-2640reportedpublic 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
- Other 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