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•••• L••
Latest filing Apr 28, 2026
First filing on the tape Jun 18, 2024 · 7 filings
SEC status approved since Jul 18, 2024
RAUM
$206M
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
28
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$206M as of Apr 28, 2026
Jan 28, 2025$117M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 28, 2026
Jan 28, 20250 then
Employees (5.A)28 as of Apr 28, 2026
Jan 28, 20256 then
Private funds1 as of Apr 28, 2026
Jan 28, 20251 then
RAUM +42% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 28, 2026; every figure names its basis
- 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $206MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +42%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $6.5M, 1 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
- 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)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$206M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.5M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••• R••••• T•••• I••• | Real Estate Fund | $58.0M | 6 | Mar 15, 2024 |
Owners and control persons
Schedule A and B, latest filing
- K••• A•••• L•• · Chief Compliance Officercontrolsince 05/2024 · owns less than 5%
- S••••••• B••••• H••••• · Presidentcontrolsince 01/2024 · owns less than 5%
- T••••••••• L••••••• M••• · M••••••controlsince 10/2023 · owns less than 5%
- T••••••••• L••••••• M••• · Member / M••••••controlsince 01/2024 · owns 75% or more of C••••• K•• I••••••••• G•••• L••
Entity owners
- C••••• K•• I••••••••• G•••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- A•• I••••••••• F••• H••••••• L••pooled vehicle sponsorn
- A•• I••••••••• F••• M•••••• L••investment advisern
- A•• M••••••••• L••investment advisernRAUM $276M
- S•••••• M•••••• L••investment advisernRAUM $312M
Advisers that list S•• G•••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 7 to 9May 22, 2025 to Mar 31, 2026
- Assets in custody · $2.4M to $6.5MMay 22, 2025 to Mar 31, 2026
- Employees · 7 to 28May 22, 2025 to Mar 31, 2026
- Discretionary RAUM · $145M to $206MMay 22, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $145M to $206MMay 22, 2025 to Mar 31, 2026
- RAUM · $145M to $206MMay 22, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 28, 2025 to May 22, 2025
- Advisory employees · 6 to 7Jan 28, 2025 to Mar 28, 2025
- Assets in custody · $117M to $2.4MJan 28, 2025 to Mar 28, 2025
- Employees · 6 to 7Jan 28, 2025 to Mar 28, 2025
- Discretionary RAUM · $117M to $145MJan 28, 2025 to Mar 28, 2025
- Pooled vehicle RAUM · $117M to $145MJan 28, 2025 to Mar 28, 2025
- RAUM · $117M to $145MJan 28, 2025 to Mar 28, 2025
- Assets in custody · $58.0M to $117MJun 24, 2024 to Jan 28, 2025
- Discretionary RAUM · $58.0M to $117MJun 24, 2024 to Jan 28, 2025
- Pooled vehicle RAUM · $58.0M to $117MJun 24, 2024 to Jan 28, 2025
- RAUM · $58.0M to $117MJun 24, 2024 to Jan 28, 2025
- Private funds · 2 to 1Jun 18, 2024 to Jun 24, 2024
Signals
1 dated events
- S•• G•••• L•• filed its initial SEC registration (Form ADV)Jun 18, 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
- Website
- theTCG.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 561-510-1919reportedpublic record, Form ADV, Apr 28, 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
Across the graphs
S•• G•••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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