SGL INVESTMENT ADVISORS, INC.
Adviser information for SGL INVESTMENT ADVISORS, INC. last updated from Form ADV on December 22nd, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | JUNE |
| Legal Location | Montana, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 7 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 743 | $292.4M |
| Non-Discretionary | 0 | $0 |
| Total | 743 | $292.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 366 | $84.5M |
| HNW Individuals | 82 | $144.9M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 12 | $16.9M |
| State or municipal gov entities | <5 | $3.6M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 10 | $42.4M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 474 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 292.4M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| SGL INVESTMENT ADVISORS, INC. | SGL INVESTMENT ADVISORS, INC. |
Identifiers
| SEC RIA File Number | 801-80443 |
|---|---|
| SEC ERA File Number | 801-80443 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 145167 |
| Legal Entity Identifier | None |
Principal Office
283 W. FRONT STREET SUITE 302MISSOULA
MT
United States
Monday - Friday, M - THUR 7:00 AM - 4:00 PM F 7:00 AM - 3:00 PM
Tel: 406-721-0999, Fax: 406-721-0922
Chief Compliance Officer
DARLA FELIX
CHIEF COMPLIANCE OFFICER
283 W FRONT STREET STE 302
MISSOULA
MT
United States
Tel:
406-721-0999
Fax:
406-721-0922
D*****@*********M
(Full email address available in API data)
Regulatory Contact
SUSAN E WILLIAMS
FA, CORPORATE SECRETARY
283 W FRONT STREET SUITE 302
MISSOULA
MT
United States
Tel:
406-721-0999
Fax:
406-721-0922
S********@*********M
(Full email address available in API data)
Industry Affiliates
| S.G. LONG & COMPANY | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SG LONG FINANCIAL SERVICES CORP. | Domestic Entity | – | HOLDING CORPORATION | 02/2006 | > 75% |
| LONG, SCOTT, GREGORY | Individual | – | CHAIRMAN OF THE BOARD | 02/2006 | < 5% |
| WILLIAMS, SUSAN, ELAINE | Individual | – | SECRETARY | 02/2006 | < 5% |
| VINSO, JOSEPH, DAVID | Individual | – | DIRECTOR | 02/2006 | < 5% |
| COOPER, DIRK, NATHAN | Individual | – | DIRECTOR | 02/2006 | < 5% |
| KLEESE, MICHAEL, F | Individual | – | DIRECTOR | 02/2006 | < 5% |
| LONG, SCOTT, GREGORY | Individual | SG LONG FINANCIAL SERVICES CORP | OWNER | 02/2006 | 25-50% |
| COSTA, BRUCE, ANTHONY | Individual | – | DIRECTOR | 06/2014 | < 5% |
| WILLIAMS, SUSAN, ELAINE | Individual | SG LONG FINANCIAL SERVICES CORP | OWNER | 07/2017 | 25-50% |
| FELIX, DARLA, MARIE | Individual | – | CHIEF FINANCIAL OFFICER/ CHIEF COMPLIANCE OFFICER | 03/2023 | < 5% |