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

Spotlight Asset Group

Former SEC-registered adviserOakbrook Terrace, IllinoisCRD 288076SEC 801-110415IAPD
Legal name Spotlight Asset Group, Inc.
Latest filing Jun 20, 2024
First filing on the tape Apr 7, 2017 · 38 filings
RAUM
$205M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
100%
$204M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$205M as of Mar 29, 2024
Mar 19, 2018$105M then
HNW client RAUM$188M as of Mar 29, 2024
Mar 19, 2018$101M then
State-registered IARs (5.B.3)3 as of Mar 29, 2024
Mar 19, 20185 then
Employees (5.A)4 as of Mar 29, 2024
Mar 19, 201810 then
Private funds: no history
RAUM +15% over the last fiscal year-23% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jun 20, 2024; every figure names its basis
RAUM per advisor
$68.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
38derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.6MderivedHNW RAUM over HNW clients
Average account
$515,437derivedRAUM over accounts (5.F.2.f)
Discretionary
91%derivedof RAUM
Institutional
0.1%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
+15%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-40%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program
$178MreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$188M91%
  • Individuals$16.7M8.1%
  • Corporations and businesses$562,4520.3%
  • Pension and profit-sharing plans$219,5520.1%
Individual clients
61reported
HNW clients
52reported
Pension plan clients
1reported
Charitable clients
0reported
Accounts
398reported
Financial planning clients
11-25reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Albert Stephen Greco · President, Chief Executive Officer & Chief Compliance Officercontrol
      since 12/2016 · owns 25% to 50%
    • L. Bethany Riesenberg · Owner
      since 09/2018 · owns less than 5%
    • Nayan Shah · Owner
      since 08/2019 · owns 5% to 10%
    • Estelle Valsamis · Owner
      since 01/2019 · owns 5% to 10%
    • Loukas Zagaris · Owner
      since 11/2018 · owns 10% to 25%
    • Melani Zagaris · Owner
      since 01/2019 · owns 5% to 10%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Oakbrook Terrace, Il · principal000
    Offices
    Schedule D 1.F, the 25 largest
    • San Diego, CA1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 395 to 398
      Aug 24, 2023 to Mar 29, 2024
    • Corporate clients · 4 to 3
      Aug 24, 2023 to Mar 29, 2024
    • HNW clients · 90 to 52
      Aug 24, 2023 to Mar 29, 2024
    • Individual clients · 99 to 61
      Aug 24, 2023 to Mar 29, 2024
    • Pension plan clients · 8 to 1
      Aug 24, 2023 to Mar 29, 2024
    • Financial planning clients · 101-250 to 11-25
      Aug 24, 2023 to Mar 29, 2024
    • Discretionary RAUM · $173M to $187M
      Aug 24, 2023 to Mar 29, 2024
    • HNW RAUM · $153M to $188M
      Aug 24, 2023 to Mar 29, 2024
    • Individual RAUM · $23.6M to $16.7M
      Aug 24, 2023 to Mar 29, 2024
    • Non-discretionary RAUM · $5.9M to $17.9M
      Aug 24, 2023 to Mar 29, 2024
    • Pension RAUM · $836,839 to $219,552
      Aug 24, 2023 to Mar 29, 2024
    • RAUM · $179M to $205M
      Aug 24, 2023 to Mar 29, 2024
    • Accounts · 363 to 395
      Aug 9, 2022 to Mar 25, 2023
    • Advisory employees · 4 to 3
      Aug 9, 2022 to Mar 25, 2023
    • Corporate clients · 2 to 4
      Aug 9, 2022 to Mar 25, 2023
    • HNW clients · 49 to 90
      Aug 9, 2022 to Mar 25, 2023
    • Individual clients · 47 to 99
      Aug 9, 2022 to Mar 25, 2023
    • Pension plan clients · 2 to 8
      Aug 9, 2022 to Mar 25, 2023
    • Employees · 7 to 4
      Aug 9, 2022 to Mar 25, 2023
    • State-registered IARs · 4 to 3
      Aug 9, 2022 to Mar 25, 2023
    • Discretionary RAUM · $227M to $173M
      Aug 9, 2022 to Mar 25, 2023
    • HNW RAUM · $183M to $153M
      Aug 9, 2022 to Mar 25, 2023
    • Individual RAUM · $18.7M to $23.6M
      Aug 9, 2022 to Mar 25, 2023
    • Non-discretionary RAUM · $2.6M to $5.9M
      Aug 9, 2022 to Mar 25, 2023
    • Pension RAUM · $8.3M to $836,839
      Aug 9, 2022 to Mar 25, 2023
    • Pooled vehicle RAUM · unset to 0.0
      Aug 9, 2022 to Mar 25, 2023
    • RAUM · $229M to $179M
      Aug 9, 2022 to Mar 25, 2023
    • Accounts · 364 to 363
      Nov 30, 2021 to Mar 4, 2022
    • Individual clients · 48 to 47
      Nov 30, 2021 to Mar 4, 2022
    • Discretionary RAUM · $226M to $227M
      Nov 30, 2021 to Mar 4, 2022
    • HNW RAUM · $206M to $183M
      Nov 30, 2021 to Mar 4, 2022
    • Individual RAUM · $18.3M to $18.7M
      Nov 30, 2021 to Mar 4, 2022
    • Non-discretionary RAUM · $6.5M to $2.6M
      Nov 30, 2021 to Mar 4, 2022
    • Pension RAUM · $8.5M to $8.3M
      Nov 30, 2021 to Mar 4, 2022
    • RAUM · $233M to $229M
      Nov 30, 2021 to Mar 4, 2022
    • Accounts · 1,240 to 364
      Mar 10, 2021 to Nov 30, 2021
    • Advisory employees · 9 to 4
      Mar 10, 2021 to Nov 30, 2021
    • Charity clients · 3 to 0
      Mar 10, 2021 to Nov 30, 2021
    • Corporate clients · 3 to 2
      Mar 10, 2021 to Nov 30, 2021
    • HNW clients · 133 to 49
      Mar 10, 2021 to Nov 30, 2021
    Signals
    14 dated events
    • Spotlight Asset Group's advisors moved to Pandora Wealth, Inc. (Oakbrook Terrace, IL): 3 of 3 registered, on the same day
      Nov 22, 2024 · Firm absorbed (people side) · derived
    • David Chien Tsow left Spotlight Asset Group for Pandora Wealth, Inc. (registered 2024-07-17)
      Nov 22, 2024 · Advisor changed firm · fact
    • Stephen Albert Greco left Spotlight Asset Group for Pandora Wealth, Inc. (registered 2024-07-17)
      Nov 22, 2024 · Advisor changed firm · fact
    • Sergio De La Torre left Spotlight Asset Group for Pandora Wealth, Inc. (registered 2024-11-21)
      Nov 22, 2024 · Advisor changed firm · fact
    • Brian Glenn Blackwell left Spotlight Asset Group for Lido (registered 2023-01-25)
      Jan 13, 2023 · Advisor changed firm · fact
    • Eileen Bridget Ward (Chief Compliance Officer) no longer on Schedule A of Spotlight Asset Group (listed 2021-11-30, absent 2022-03-04)
      Mar 4, 2022 · Control person left · inference
    • Spotlight Asset Group reported RAUM $232.7M, down 48% from $446.8M (2021-03-10 to 2021-11-30)
      Nov 30, 2021 · RAUM change · derived
    • E Michael Mitchell (Vice President, Director Of Financial Planning) no longer on Schedule A of Spotlight Asset Group (listed 2021-01-12, absent 2021-03-10)
      Mar 10, 2021 · Control person left · inference
    • Eileen Bridget Ward (Chief Compliance Officer) appeared on Schedule A of Spotlight Asset Group
      Apr 28, 2020 · Control person joined · fact
    • Adam Jason Howard (Owner) no longer on Schedule A of Spotlight Asset Group (listed 2020-02-03, absent 2020-02-06)
      Feb 6, 2020 · Control person left · inference
    • Woodworth Jonathan Jamieson (Director Of Trading) no longer on Schedule A of Spotlight Asset Group (listed 2020-02-03, absent 2020-02-06)
      Feb 6, 2020 · Control person left · inference
    • Spotlight Asset Group reported RAUM $366.2M, up 54% from $237.8M (2019-09-09 to 2019-11-05)
      Nov 5, 2019 · RAUM change · derived
    • L. Bethany Riesenberg (Chief Financial Officer) appeared on Schedule A of Spotlight Asset Group
      Feb 6, 2019 · Control person joined · fact
    • Spotlight Asset Group filed its initial SEC registration (Form ADV)
      Apr 7, 2017 · 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