SG TRADING SOLUTIONS, LLC
Adviser information for SG TRADING SOLUTIONS, LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2 | $207.8M |
| Non-Discretionary | 0 | $0 |
| Total | 2 | $207.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 2 | $207.8M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-126459 |
|---|---|
| SEC ERA File Number | 801-126459 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 322928 |
| Legal Entity Identifier | None |
Principal Office
620 S MAIN STREETBOUNTIFUL
UT
United States
Monday - Friday, 9 AM TO 5 PM
Tel: (801) 683-2856, Fax: None
Chief Compliance Officer
CARL DOANE
620 S MAIN ST
BOUNTIFUL
UT
United States
Tel:
(801) 683-2856
C***@********M
(Full email address available in API data)
Regulatory Contact
CARL DOANE
CFO
620 S MAIN ST
BOUNTIFUL
UT
United States
Tel:
(801) 683-2856
C***@********M
(Full email address available in API data)
Industry Affiliates
| SUMMIT GLOBAL INVESTMENTS, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HARDEN, DAVID, LEE | Individual | – | PRESIDENT | 10/2010 | < 5% |
| HARDEN CAPITAL, LLC | Domestic Entity | – | OWNER | 04/2020 | > 75% |
| HARDEN, DAVID, LEE | Individual | HARDEN CAPITAL, LLC | OWNER | 10/2010 | 50-75% |
| HARDEN, JENNIFER | Individual | HARDEN CAPITAL, LLC | OWNER | 10/2010 | 50-75% |
| Doane, Carl | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2023 | < 5% |