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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Former SEC-registered adviser

S• I••••••••• A•••••••

Former SEC-registered adviserHighland Park, IllinoisCRD 6564SEC 801-66533IAPD
Legal name S• I••••••••• I•••
Latest filing Sep 28, 2012
First filing on the tape Mar 30, 2012 · 4 filings
RAUM
$438M
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$438M as of Sep 28, 2012
Mar 30, 2012$469M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 28, 2012
Mar 30, 20120 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 28, 2012; 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
$962,460derivedRAUM 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • is a broker-dealer (6.A.1)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
455reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • J•••• G••• A••• · Chief Financial Officer/Financial And Operations Principalcontrol
    since 04/2008 · owns less than 5%
  • S••••••• D••••• M••• · Ceo/Chief Compliance Officer, Trustee Of D••••• S•••••• G••• T••••control
    since 06/2004 · owns less than 5%
  • S••••••• S••••• A••••• · Vice President/Chief Investment Officer, Trustee S••••• S•••••• G••• T••••control
    since 06/2004 · owns less than 5%
  • S•••••• B•••••• L••••• E• · Trustee L••••• S•••••• B••••• G••• T••••
    since 05/2009 · owns less than 5%
Entity owners
  • D••••• S•••••• G••• T•••• · Shareholder - Trustee Is A Contol Person; Non -Voting Shares
    direct · owns 25% to 50%
  • S••••• S•••••• G••• T•••• · Shareholder - Trustee Is A Control Person; Non-Voting Shares
    direct · owns 25% to 50%
  • L••••• S•••••• B••••• G••• T•••• · Shareholder - Trustee Is Not A Control Person; Non-Voting Shares
    direct · owns 25% to 50%
Related persons
Schedule D 7.A
Advisers that list S• I••••••••• A••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 448 to 455
    Jul 30, 2012 to Sep 28, 2012
  • Discretionary RAUM · $444M to $438M
    Jul 30, 2012 to Sep 28, 2012
  • RAUM · $444M to $438M
    Jul 30, 2012 to Sep 28, 2012
  • Related adviser · false to true
    Mar 30, 2012 to Jul 30, 2012
  • Accounts · 451 to 448
    Mar 30, 2012 to Jul 30, 2012
  • Discretionary RAUM · $469M to $444M
    Mar 30, 2012 to Jul 30, 2012
  • RAUM · $469M to $444M
    Mar 30, 2012 to Jul 30, 2012
  • Related bank · false to true
    Mar 30, 2012 to Jul 30, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
Former SEC-registered adviserderiveda 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