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
Sg Trading Solutions, LLC
Latest filing May 15, 2026
First filing on the tape Jul 28, 2022 · 15 filings
SEC status approved since Aug 30, 2022
RAUM
$912M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$912M as of May 15, 2026
Mar 29, 2023$100M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of May 15, 2026
Mar 29, 20232 then
Employees (5.A)5 as of May 15, 2026
Mar 29, 20235 then
Private funds: no history
RAUM +70% over the last fiscal year+109% a year over threeIARs 2 to 2
Practice profile
derived from the filing of May 15, 2026; every figure names its basis
- RAUM per advisor
- $456MderivedRAUM 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
- $152MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +70%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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
- 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
- Investment companies$912M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Lee David Harden · Presidentcontrolsince 10/2010 · owns less than 5%
- Lee David Harden · Ownercontrolsince 10/2010 · owns 50% to 75% of Harden Capital, LLC
- Jennifer Harden · Ownercontrolsince 10/2010 · owns 50% to 75% of Harden Capital, LLC
- Rochelle Elisha Werner · Chief Compliance Officersince 11/2024 · owns less than 5%
Entity owners
- Harden Capital, LLC · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- Summit Global Investments, LLCinvestment advisernRAUM $2.3B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $535,196,409 to $911,716,174 (+70.0%) between the annual amendments of 2025-03-28 and 2026-03-27; the peer median change was +8.0% (673 comparable advisers, 91.0th percentile of changes)peers: asset managers, $500M to $1B (673) · 91% percentile
What changed
consecutive filings, newest first
- Accounts · 5 to 6Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $535M to $912MMar 28, 2025 to Mar 27, 2026
- RAUM · $535M to $912MMar 28, 2025 to Mar 27, 2026
- Accounts · 2 to 5Nov 25, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Nov 25, 2024 to Mar 28, 2025
- Discretionary RAUM · $208M to $535MNov 25, 2024 to Mar 28, 2025
- RAUM · $208M to $535MNov 25, 2024 to Mar 28, 2025
- Insurance-licensed employees · 2 to 3Aug 22, 2023 to Mar 28, 2024
- Discretionary RAUM · $100M to $208MAug 22, 2023 to Mar 28, 2024
- RAUM · $100M to $208MAug 22, 2023 to Mar 28, 2024
- Business name · SG TRADING SOLUTIONS, LCC to SG TRADING SOLUTIONS, LLCAug 1, 2022 to Aug 2, 2022
- Legal name · SG TRADING SOLUTIONS, LCC to SG TRADING SOLUTIONS, LLCAug 1, 2022 to Aug 2, 2022
- Organization form · Limited Liability Partnership to Limited Liability CompanyAug 1, 2022 to Aug 2, 2022
- Business name · SGI TRADING SOLUTIUONS, LLC to SG TRADING SOLUTIONS, LCCJul 28, 2022 to Jul 29, 2022
- Legal name · SGI TRADING SOLUTIUONS, LLC to SG TRADING SOLUTIONS, LCCJul 28, 2022 to Jul 29, 2022
Signals
4 dated events
- Sg Trading Solutions, Llc reported RAUM $911.7M, up 70% from $535.2M (2025-03-28 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- Sg Trading Solutions, Llc reported RAUM $535.2M, up 158% from $207.8M (2024-11-25 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- Sg Trading Solutions, Llc reported RAUM $207.8M, up 108% from $100.0M (2023-08-22 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Sgi Trading Solutiuons, Llc filed its initial SEC registration (Form ADV)Jul 28, 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
- Principal office phone
- (801) 683-2856reportedpublic record, Form ADV, May 15, 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
- Asset manager (funds and pooled vehicles)deriveda 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