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•• G•••••
Legal name S•• G••••• P•••••• A••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Apr 22, 2024 · 5 filings
SEC status approved since May 22, 2024
RAUM
$38.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$38.3M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$38.3M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$38.3M as of Mar 30, 2026
Mar 26, 2025$4.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 26, 20250 then
Employees (5.A)3 as of Mar 30, 2026
Mar 26, 20252 then
Private funds: no history
RAUM +826% over the last fiscal yearIARs 0 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $38.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 87derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $440,704derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +826%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1143%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$38.3M100%
- Individual clients
- 87reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 87reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• H••••••• M•••••• | Maringa | Aug 4, 2026 | 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
- T•••••• P•••• · Managing Directorcontrolsince 12/2023 · owns less than 5%
- B••••••••• F••••• · Partnercontrolsince 06/2023 · owns 25% to 50% of S•• C••••••• E• P••••••••• L•••
- C••••••• C••• · Partnercontrolsince 06/2023 · owns 25% to 50% of S•• C••••••• E• P••••••••• L•••
- V•••••• A••••••••• J••• · Chief Compliance Officersince 12/2023 · owns less than 5%
Entity owners
- S•• C••••••• E• P••••••••• L••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- B•••• P••••••• C•••••••• D• S•••••• L•••real estaten
- S•• A•••••• A•••••••• D• I••••••••• S•• L•••broker-dealern
- S•• G•••••• D• R••••••• L•••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 7 to 87Mar 26, 2025 to Mar 30, 2026
- Advisory employees · 1 to 2Mar 26, 2025 to Mar 30, 2026
- Individual clients · 7 to 87Mar 26, 2025 to Mar 30, 2026
- Employees · 2 to 3Mar 26, 2025 to Mar 30, 2026
- Insurance-licensed employees · 0 to 1Mar 26, 2025 to Mar 30, 2026
- State-registered IARs · 0 to 1Mar 26, 2025 to Mar 30, 2026
- Discretionary RAUM · $4.1M to $38.3MMar 26, 2025 to Mar 30, 2026
- Individual RAUM · $4.1M to $38.3MMar 26, 2025 to Mar 30, 2026
- RAUM · $4.1M to $38.3MMar 26, 2025 to Mar 30, 2026
- Related adviser · true to falseMar 26, 2025 to Mar 30, 2026
- Accounts · unset to 7.0May 13, 2024 to Mar 26, 2025
- BD registered reps · 0 to 1May 13, 2024 to Mar 26, 2025
- Charity clients · unset to 0.0May 13, 2024 to Mar 26, 2025
- Corporate clients · unset to 0.0May 13, 2024 to Mar 26, 2025
- HNW clients · unset to 0.0May 13, 2024 to Mar 26, 2025
- Individual clients · unset to 7.0May 13, 2024 to Mar 26, 2025
- Pension plan clients · unset to 0.0May 13, 2024 to Mar 26, 2025
- Pooled vehicle clients · unset to 0.0May 13, 2024 to Mar 26, 2025
- Financial planning clients · unset to May 13, 2024 to Mar 26, 2025
- HQ state · unset to May 13, 2024 to Mar 26, 2025
- Discretionary RAUM · unset to 4142306.0May 13, 2024 to Mar 26, 2025
- Individual RAUM · unset to 4142306.0May 13, 2024 to Mar 26, 2025
- Non-discretionary RAUM · unset to 0.0May 13, 2024 to Mar 26, 2025
- RAUM · unset to 4142306.0May 13, 2024 to Mar 26, 2025
- Organization form · Limited Liability Partnership to Limited Liability CompanyApr 26, 2024 to May 13, 2024
- Business name · S•• G••••• P•••••• A••••••• L•• to S•• G•••••Apr 22, 2024 to Apr 26, 2024
Signals
1 dated events
- S•• G••••• P•••••• A••••••• L•• filed its initial SEC registration (Form ADV)Apr 22, 2024 · 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
- 1 (754) 209 - 3101reportedpublic 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $38.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026