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•••• M••••••••• L••
Latest filing Mar 12, 2026
First filing on the tape Dec 22, 2020 · 10 filings
SEC status approved since Jan 22, 2021
RAUM
$159M
reported, Item 5.F
Discretionary
8.7%
of RAUM
Private clients
91%
$145M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$159M as of Mar 12, 2026
Mar 7, 2022$216M then
HNW client RAUM$145M as of Mar 12, 2026
Mar 7, 2022$195M then
State-registered IARs (5.B.3)0 as of Mar 12, 2026
Mar 7, 20220 then
Employees (5.A)6 as of Mar 12, 2026
Mar 7, 202215 then
Private funds: 1
RAUM +17% over the last fiscal year+7.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 12, 2026; every figure names its basis
Archetypes, each a printed rule
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- 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
- $20.7MderivedHNW RAUM over HNW clients
- Average account
- $14.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 8.7%derivedof RAUM
- Institutional
- 0.0%derivedpensions, 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
- +17%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 assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for investment companiesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$145M91%
- Investment companies$13.8M8.7%
- Individual clients
- n/areported
- HNW clients
- 7reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 11reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.91 fund_share=0.09 institutional_share=0.0 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•• S••••••••• P•••••••• L•no longer reported | Hedge Fund | $0 | 3 | Dec 22, 2020 |
Owners and control persons
Schedule A and B, latest filing
- D•••••••• T•••• C••••••• · Head Of Distribution, Managing Directorcontrolsince 02/2023 · owns less than 5%
- H•••••• S••••••• M•••• · Chief Compliance Officercontrolsince 02/2023 · owns less than 5%
- M••••••• I••• G• · Presidentcontrolsince 01/2023 · owns 10% to 25%
- M•••••• K••••• M•••••• · Head Of Trading, Product And Risk Managementcontrolsince 06/2023 · owns 5% to 10%
- O•••••• J••• D• · Chief Analytics Officercontrolsince 01/2022 · owns less than 5%
- S••••• G••••••• H••••• · Chief Executive Officercontrolsince 11/2020 · owns less than 5%
- S•••••• M••••••• · Chief Financial Officercontrolsince 11/2020 · owns less than 5%
- S••••• G••••••• H••••• · Trustee Of The G•••••• H• S•••• R•••••••• T•••• U•• D••• 4••••••••controlsince 11/2020 · owns F of G•••••• H• S•••• R•••••••• T•••• U•• D••• 4••••••••
- S•••••• M••••••• · Trustee Of The S•••••• S•••• Desdendants Trustcontrolsince 03/2020 · owns F of S•••••• S•••• D••••••••• T••••
Entity owners
- S•••• C•••••• G••••• L••• · Ownerdirect · owns 50% to 75%
- G•••••• H• S•••• R•••••••• T•••• U•• D•• 4•••••••• · 100% Owner Of R•••••• H••••••• L••indirect · owns 75% or more of R•••••• H••••••• L••
- G•••••• H• S•••• R•••••••• T•••• U•• D••• 4•••••••• · 99% Owner Of R•••••• M••••••••• C•••••• L••indirect · owns 75% or more of R•••••• M••••••••• C•••••• L••
- R•••••• H••••••• L•• · 1% General Partner Of S•••• Capital Group LPindirect · owns F of S•••• C•••••• G••••• L•••
- R•••••• H••••••• L•• · 1% Owner Of R•••••• M••••••••• C•••••• L••indirect · owns F of R•••••• M••••••••• C•••••• L••
- R•••••• M••••••••• C•••••• L•• · 99% Limited Partner Of S•••• Capital Group LPindirect · owns 75% or more of S•••• C•••••• G••••• L•••
- S•••••• S•••• D••••••••• T•••• · Ownerdirect · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- New York, NY3 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 8 to 11Mar 4, 2025 to Mar 12, 2026
- Advisory employees · 5 to 4Mar 4, 2025 to Mar 12, 2026
- Employees · 7 to 6Mar 4, 2025 to Mar 12, 2026
- Discretionary RAUM · $15.5M to $13.8MMar 4, 2025 to Mar 12, 2026
- HNW RAUM · $120M to $145MMar 4, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $120M to $145MMar 4, 2025 to Mar 12, 2026
- RAUM · $136M to $159MMar 4, 2025 to Mar 12, 2026
- Advisory employees · 7 to 5Mar 28, 2024 to Mar 4, 2025
- Employees · 9 to 7Mar 28, 2024 to Mar 4, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 4, 2025
- HQ city · unset to NAPERVILLEMar 28, 2024 to Mar 4, 2025
- HQ state · unset to ILMar 28, 2024 to Mar 4, 2025
- Other offices · 2 to 1Mar 28, 2024 to Mar 4, 2025
- Discretionary RAUM · $17.2M to $15.5MMar 28, 2024 to Mar 4, 2025
- HNW RAUM · $123M to $120MMar 28, 2024 to Mar 4, 2025
- Non-discretionary RAUM · $123M to $120MMar 28, 2024 to Mar 4, 2025
- RAUM · $141M to $136MMar 28, 2024 to Mar 4, 2025
- Employees · 12 to 9Mar 8, 2023 to Mar 28, 2024
- HQ city · NAPERVILLE to unsetMar 8, 2023 to Mar 28, 2024
- HQ state · IL to unsetMar 8, 2023 to Mar 28, 2024
- Other offices · 1 to 2Mar 8, 2023 to Mar 28, 2024
- Discretionary RAUM · $17.4M to $17.2MMar 8, 2023 to Mar 28, 2024
- HNW RAUM · $112M to $123MMar 8, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $112M to $123MMar 8, 2023 to Mar 28, 2024
- RAUM · $130M to $141MMar 8, 2023 to Mar 28, 2024
- Accounts · 10 to 8Nov 8, 2022 to Mar 8, 2023
- Advisory employees · 11 to 7Nov 8, 2022 to Mar 8, 2023
- Advisory activities · 3 to 2Nov 8, 2022 to Mar 8, 2023
- HNW clients · 8 to 7Nov 8, 2022 to Mar 8, 2023
- Pooled vehicle clients · 1.0 to unsetNov 8, 2022 to Mar 8, 2023
- Assets in custody · 0.0 to unsetNov 8, 2022 to Mar 8, 2023
- Custody of client assets · true to falseNov 8, 2022 to Mar 8, 2023
- Employees · 15 to 12Nov 8, 2022 to Mar 8, 2023
- Other offices · 0 to 1Nov 8, 2022 to Mar 8, 2023
- Private funds · 1 to unsetNov 8, 2022 to Mar 8, 2023
- Discretionary RAUM · $20.3M to $17.4MNov 8, 2022 to Mar 8, 2023
- HNW RAUM · $195M to $112MNov 8, 2022 to Mar 8, 2023
- Non-discretionary RAUM · $195M to $112MNov 8, 2022 to Mar 8, 2023
- Pooled vehicle RAUM · 0.0 to unsetNov 8, 2022 to Mar 8, 2023
- RAUM · $216M to $130MNov 8, 2022 to Mar 8, 2023
Signals
16 dated events
- Whittfield Allan Waddell (Chief Operating Officer) no longer on Schedule A of S•• A•••• M••••••••• L•• (listed 2023-03-08, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Lance Marc Paley (Co-President) no longer on Schedule A of S•• A•••• M••••••••• L•• (listed 2023-03-08, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- S••• Ian S••••••••• (General Counsel) no longer on Schedule A of S•• A•••• M••••••••• L•• (listed 2023-03-08, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Michael Kevin Murphy (Head Of Trading, Product And Risk Management) appeared on Schedule A of S•• A•••• M••••••••• L••Mar 28, 2024 · Control person joined · fact
- Carleton Todd Dilatush (Head Of Distribution, Managing Director) appeared on Schedule A of S•• A•••• M••••••••• L••Mar 28, 2024 · Control person joined · fact
- Mario Suzanne Hammer (Chief Compliance Officer) appeared on Schedule A of S•• A•••• M••••••••• L••Mar 8, 2023 · Control person joined · fact
- G Ian Merrill (Co President) appeared on Schedule A of S•• A•••• M••••••••• L••Mar 8, 2023 · Control person joined · fact
- Whittfield Allan Waddell (Chief Operating Officer) appeared on Schedule A of S•• A•••• M••••••••• L••Mar 8, 2023 · Control person joined · fact
- Lance Marc Paley (Co-President) appeared on Schedule A of S•• A•••• M••••••••• L••Mar 8, 2023 · Control person joined · fact
- S••• Ian S••••••••• (General Counsel) appeared on Schedule A of S•• A•••• M••••••••• L••Mar 8, 2023 · Control person joined · fact
- John D Opdyke (Chief Analytics Officer) appeared on Schedule A of S•• A•••• M••••••••• L••Mar 8, 2023 · Control person joined · fact
- Francis Michael Swallow (Chief Compliance Officer) no longer on Schedule A of S•• A•••• M••••••••• L•• (listed 2022-11-08, absent 2023-03-08)Mar 8, 2023 · Control person left · inference
- Moncus Marneda Milhiser (Chief Compliance Officer) no longer on Schedule A of S•• A•••• M••••••••• L•• (listed 2022-03-07, absent 2022-11-08)Nov 8, 2022 · Control person left · inference
- Francis Michael Swallow (Chief Compliance Officer) appeared on Schedule A of S•• A•••• M••••••••• L••Nov 8, 2022 · Control person joined · fact
- Moncus Marneda Milhiser (Chief Compliance Officer) appeared on Schedule A of S•• A•••• M••••••••• L••Dec 22, 2021 · Control person joined · fact
- S•• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Dec 22, 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
- Business email
- info@scgamllc.comreportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/scg-asset-management-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- scgamllc.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-784-3952reportedpublic record, Form ADV, Mar 12, 2026
- Contact form
- scgamllc.com/contactreportedpublished 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026