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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S•••••• A••••••• G••••• L••
Latest filing Mar 25, 2026
First filing on the tape May 24, 2022 · 19 filings
SEC status approved since Jun 23, 2022
RAUM
$105M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
81%
$85.3M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$11.7M
derived; firm RAUM over IAPD count
Employees
11
8 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$105M as of Mar 25, 2026
Mar 30, 2023$31.7M then
HNW client RAUM$60.6M as of Mar 25, 2026
Mar 30, 2023$16.9M then
State-registered IARs (5.B.3)8 as of Mar 25, 2026
Mar 30, 20231 then
Employees (5.A)11 as of Mar 25, 2026
Mar 30, 20233 then
Private funds: no history
RAUM +72% over the last fiscal year+49% a year over threeIARs 6 to 8
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $11.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 12derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $940,824derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 1.5derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +72%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +30%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $5.4M, 22 clientsreportedItem 9.A
- 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$60.6M58%
- Individuals$24.7M23%
- Charitable organizations$20.1M19%
- Corporations and businesses$2,9100.0%
- Individual clients
- 84reported
- HNW clients
- 25reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 112reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.4M for 22 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.81 fund_share=0.0 institutional_share=0.19 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• A• K••••• | Chicago, Il | Nov 7, 2022 | 18 y | 1 |
| C••• C••••••••• F•••• | Denver, Co | Sep 16, 2025 | 13 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 headcount0 left over 36 months
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
- H•••• J•••••• W•••••• · Chief Compliance Officer And Chief Operating Officercontrolsince 12/2022 · owns 5% to 10%
- S••••••• D•••••• E••••• · Chief Executive Officer And Investment Advisor Representativecontrolsince 04/2022 · owns 75% or more
- D•••••• R••••••• S• · Shareholdersince 04/2022 · owns less than 5%
Related persons
Schedule D 7.A
- S•••••• C•••••• G••••investment advisernRAUM $213M
- J••••• W• H•••insurancey
Advisers that list S•••••• A••••••• G••••• L•• as a related person
- 281122 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Halfmoon, Ny · principal | 9 | 1 | 0 | ||
| Chicago, Il | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Bellevue, WA1 employees
- Gainesville, GA1 employees
- Glendale, AZ1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 25, 2026RAUM (Item 5.F) moved from $61,367,958 to $105,372,244 (+72.0%) between the annual amendments of 2025-03-26 and 2026-03-25; the peer median change was +15.0% (4550 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 88 to 112Jan 30, 2026 to Mar 25, 2026
- Advisory employees · 6 to 8Jan 30, 2026 to Mar 25, 2026
- BD registered reps · 0 to 1Jan 30, 2026 to Mar 25, 2026
- HNW clients · 18 to 25Jan 30, 2026 to Mar 25, 2026
- Individual clients · 66 to 84Jan 30, 2026 to Mar 25, 2026
- Assets in custody · $14.2M to $5.4MJan 30, 2026 to Mar 25, 2026
- Employees · 9 to 11Jan 30, 2026 to Mar 25, 2026
- Insurance-licensed employees · 2 to 5Jan 30, 2026 to Mar 25, 2026
- State-registered IARs · 6 to 8Jan 30, 2026 to Mar 25, 2026
- Discretionary RAUM · $61.4M to $105MJan 30, 2026 to Mar 25, 2026
- HNW RAUM · $38.1M to $60.6MJan 30, 2026 to Mar 25, 2026
- Individual RAUM · $15.6M to $24.7MJan 30, 2026 to Mar 25, 2026
- RAUM · $61.4M to $105MJan 30, 2026 to Mar 25, 2026
- Accounts · 121 to 88Nov 7, 2024 to Mar 26, 2025
- HNW clients · 9 to 18Nov 7, 2024 to Mar 26, 2025
- Individual clients · 31 to 66Nov 7, 2024 to Mar 26, 2025
- Financial planning clients · 1-10 to 1-10Nov 7, 2024 to Mar 26, 2025
- Other offices · 6 to 5Nov 7, 2024 to Mar 26, 2025
- Discretionary RAUM · $35.5M to $61.4MNov 7, 2024 to Mar 26, 2025
- HNW RAUM · $17.6M to $38.1MNov 7, 2024 to Mar 26, 2025
- Individual RAUM · $9.1M to $15.6MNov 7, 2024 to Mar 26, 2025
- RAUM · $35.5M to $61.4MNov 7, 2024 to Mar 26, 2025
- Wrap assets (manager) · 0.0 to unsetNov 7, 2024 to Mar 26, 2025
- Wrap assets (sponsor) · 0.0 to unsetNov 7, 2024 to Mar 26, 2025
- Other offices · 5 to 6Mar 27, 2024 to May 14, 2024
- Accounts · 92 to 121Feb 12, 2024 to Mar 27, 2024
- Advisory employees · 1 to 6Feb 12, 2024 to Mar 27, 2024
- Advisory activities · 3 to 4Feb 12, 2024 to Mar 27, 2024
- HNW clients · 7 to 9Feb 12, 2024 to Mar 27, 2024
- Individual clients · 23 to 31Feb 12, 2024 to Mar 27, 2024
- Assets in custody · unset to 14239600.0Feb 12, 2024 to Mar 27, 2024
- Custody of client assets · false to trueFeb 12, 2024 to Mar 27, 2024
- Employees · 3 to 9Feb 12, 2024 to Mar 27, 2024
- Insurance-licensed employees · 1 to 2Feb 12, 2024 to Mar 27, 2024
- State-registered IARs · 1 to 6Feb 12, 2024 to Mar 27, 2024
- Other offices · 4 to 5Feb 12, 2024 to Mar 27, 2024
- Discretionary RAUM · $31.7M to $35.5MFeb 12, 2024 to Mar 27, 2024
- HNW RAUM · $16.9M to $17.6MFeb 12, 2024 to Mar 27, 2024
- Individual RAUM · $7.4M to $9.1MFeb 12, 2024 to Mar 27, 2024
- RAUM · $31.7M to $35.5MFeb 12, 2024 to Mar 27, 2024
Signals
8 dated events
- Seth David Mcbee no longer registered at S•••••• A••••••• G••••• L••; no later IA registration on IAPDJul 25, 2024 · Advisor departure · fact
- S Cathy Dutton (Chief Compliance Officer) no longer on Schedule A of S•••••• A••••••• G••••• L•• (listed 2022-11-07, absent 2023-01-03)Jan 3, 2023 · Control person left · inference
- William Jansen Hein (Chief Compliance Officer And Chief Operating Officer) appeared on Schedule A of S•••••• A••••••• G••••• L••Jan 3, 2023 · Control person joined · fact
- S•••••• A••••••• G••••• L•• reported 0 offices beyond its principal office, down from 5 (2022-06-27 to 2022-10-21)Oct 21, 2022 · Office count change · derived
- J Ervin Starr (Manager Of Financial Planning And Investment Advisor Representative) no longer on Schedule A of S•••••• A••••••• G••••• L•• (listed 2022-06-27, absent 2022-10-21)Oct 21, 2022 · Control person left · inference
- D Peter Smith (Investment Advisor Representative) no longer on Schedule A of S•••••• A••••••• G••••• L•• (listed 2022-06-27, absent 2022-10-21)Oct 21, 2022 · Control person left · inference
- A Derek Kessen (Investment Advisor Representative) no longer on Schedule A of S•••••• A••••••• G••••• L•• (listed 2022-06-27, absent 2022-10-21)Oct 21, 2022 · Control person left · inference
- S•••••• A••••••• G••••• L•• filed its initial SEC registration (Form ADV)May 24, 2022 · 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
- Website
- stewardadvisorsgroup.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (518) 406-5624reportedpublic record, Form ADV, Mar 25, 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
- $11.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026