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SGL FINANCIAL, LLC
CRD 158023File 801-96223
APPROVED
Retail clients
Filing as of Sep 22, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$416.0M
Below cohort median (national)
Discretionary AUM
$414.1M
Non-discretionary $1.9M
Clients
884
2,713 accounts
Employees
33
Below cohort median in IL
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- May 29, 2015
- Principal office
- 1130 W LAKE COOK ROAD, SUITE 150, BUFFALO GROVE, IL, 60089
- Phone
- 8474993330
- Website
- HTTP://WWW.SGLFINANCIAL.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $416.0M
- Discretionary AUM
- $414.1M
- Non-discretionary AUM
- $1.9M
- Discretionary accounts
- 2,712
- Non-discretionary accounts
- 1
- Total accounts
- 2,713
- AUM per client
- $471K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 88 | $192.0M |
| Pension and profit sharing plans | Fewer than 5 | $1.9M |
| Individuals (other than high net worth individuals) | 795 | $222.1M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Other
- Publications
- Financial planning services
- Selection of other advisers
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| May 1, 2026 | Clients | 510 | 884 | increased by374 |
| May 1, 2026 | AUM | $211,831,058 | $416,008,260 | increased by$204,177,202 |
| May 1, 2026 | Accounts | 1,745 | 2,713 | increased by968 |
| Apr 1, 2026 | Employees | 31 | 33 | increased by2 |
| Apr 1, 2026 | Clients | 1,136 | 510 | decreased by626 |
| Apr 1, 2026 | AUM | $218,580,905 | $211,831,058 | decreased by$6,749,847 |
| Apr 1, 2026 | Accounts | 1,251 | 1,745 | increased by494 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 12 | 31 | increased by19 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 679 | 1,136 | increased by457 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $163,624,352 | $218,580,905 | increased by$54,956,553 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 679 | 1,251 | increased by572 |
| Apr 1, 2022 | Employees | 13 | 12 | decreased by1 |
| Apr 1, 2022 | AUM | $151,612,985 | $163,624,352 | increased by$12,011,367 |
| Apr 1, 2022 | Accounts | 984 | 679 | decreased by305 |
| Dec 1, 2021 | Employees | 16 | 13 | decreased by3 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “SGL FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“SGL FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.