{"url":"https://nivawealth.com/firms/scg-asset-management-311843","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/311843","regulatoryAum":158700504,"crd":"311843","history":[{"filedOn":"2021-05-17","regulatoryAum":207305051,"clients":9,"employees":13,"offices":2},{"filedOn":"2022-03-07","regulatoryAum":215635031,"clients":10,"employees":15,"offices":1},{"filedOn":"2023-03-08","regulatoryAum":129627126,"clients":8,"employees":12,"offices":2},{"filedOn":"2024-03-28","regulatoryAum":140660217,"clients":8,"employees":9,"offices":3},{"filedOn":"2025-03-04","regulatoryAum":135924626,"clients":8,"employees":7,"offices":2},{"filedOn":"2026-03-12","regulatoryAum":158700504,"clients":8,"employees":6,"offices":2}],"secFileNumber":"801-120215","legalName":"SCG Asset Management LLC","displayName":"SCG Asset Management","slug":"scg-asset-management-311843","website":"https://scgamllc.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/scg-asset-management-llc/","founded":null,"organization":"New York limited liability company","fiscalYearEnd":"December","headquarters":{"street":"2132 Deep Water Lane, Suite 240a","city":"Naperville","state":"IL","stateName":"Illinois","country":"United States","postalCode":"60564"},"tradeNames":[],"registration":{"secApproved":"22 January 2021","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":20697193,"staff":{"employees":6,"advisory":4,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":158700504,"discretionary":13820153,"discretionaryAccounts":1,"nonDiscretionary":144880351,"nonDiscretionaryAccounts":10,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"High-net-worth individuals","clients":7,"regulatoryAum":144880351},{"label":"Investment companies","clients":1,"regulatoryAum":13820153}],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T16:49:06.293546+00:00","documents":[{"name":"SCG FORM ADV PART 2A - FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1017909","versionId":1017909,"submittedOn":"2026-03-12"}]},"custodians":[{"name":"J.P. Morgan Securities LLC","shortName":"J.P. Morgan","location":"Chicago, IL","smaAssets":16799463}],"custodyNote":"SCG Asset Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Gregory Sachs","title":"Chief Executive Officer","crd":"1673376"},{"name":"Michelle Sibley","title":"Chief Financial Officer","crd":""},{"name":"Suzanne Hammer","title":"Chief Compliance Officer","crd":"1111107"}],"ownership":[{"label":"Sachs Capital Group, L.P.","detail":"Owner in the 75% or more ownership band and a control person, since November 2020."},{"label":"Spencer Sachs Descendants Trust","detail":"Owner in the 5% to 10% ownership band, since January 2023."},{"label":"Redleaf Management Company LLC","detail":"Indirect owner: a 99% limited partner of sachs capital group lp of Sachs Capital Group, L.P. in the 75% or more band and a control person, since September 2008.","parent":"Sachs Capital Group, L.P."},{"label":"Redleaf Holdings LLC","detail":"Indirect owner: 1% general partner of sachs capital group lp of Sachs Capital Group, L.P. and a control person, since September 2008. Also 1% owner of redleaf management company llc of Redleaf Management Company LLC and a control person, since September 2008.","parent":"Sachs Capital Group, L.P."},{"label":"Gregory H. Sachs Revocable Trust Udt DTD. 4/24/1998","detail":"Indirect owner: a 99% owner of redleaf management company llc of Redleaf Management Company LLC in the 75% or more band and a control person, since March 2005.","parent":"Redleaf Management Company LLC"},{"label":"Gregory Sachs","detail":"Indirect owner: trustee of the gregory h. sachs revocable trust udt dtd. 4/24/1998 of Gregory H. Sachs Revocable Trust Udt DTD 4/24/1998 and a control person, since November 2020.","parent":"Gregory H. Sachs Revocable Trust Udt DTD 4/24/1998"},{"label":"Gregory H. Sachs Revocable Trust Udt DTD 4/24/1998","detail":"Indirect owner: a 100% owner of redleaf holdings llc of Redleaf Holdings LLC in the 75% or more band and a control person, since March 2005.","parent":"Redleaf Holdings LLC"},{"label":"Michelle Sibley","detail":"Indirect owner: trustee of the spencer sachs desdendants trust of Spencer Sachs Descendants Trust and a control person, since March 2020.","parent":"Spencer Sachs Descendants Trust"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":1},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Illinois","offices":1,"addresses":[{"street":"2132 Deep Water Lane, Suite 240a","city":"Naperville","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"312-784-3952","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for investment companies"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":8},{"label":"Non-exchange-traded equity securities","percent":39},{"label":"U.S. government/agency bonds","percent":1},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":32},{"label":"Cash and cash equivalents","percent":2},{"label":"Other","percent":18,"detail":"Non Exchange Traded Debt Instruments"}],"privateFunds":0},"sources":{"adv1FilingDate":"12 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/311843/PDF/311843.pdf","brochureDate":"12 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1017909","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does SCG Asset Management have?","answer":"SCG Asset Management has 8 clients and manages $159 million for them, as of March 2026. They include 7 high-net-worth individuals and 1 investment company.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 12 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does SCG Asset Management offer?","answer":"SCG Asset Management provides portfolio management for individuals and small businesses and portfolio management for investment companies.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does SCG Asset Management use?","answer":"SCG Asset Management’s separately managed account assets are held at J.P. Morgan Securities LLC (Chicago, IL), with $16.8M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 12 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does SCG Asset Management have?","answer":"SCG Asset Management has 0 investment adviser representatives registered with state securities authorities, out of 6 employees, and 4 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does SCG Asset Management invest in?","answer":"At the end of its last fiscal year, SCG Asset Management’s separately managed accounts held 39% non-exchange-traded equities, 32% pooled vehicles (private funds and similar), 18% other, 8% exchange-traded equities, 2% cash and equivalents and 1% U.S. government and agency bonds. The 18% other category is described as: Non Exchange Traded Debt Instruments.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns SCG Asset Management?","answer":"SCG Asset Management is owned through a trust and a chain of holding companies by Gregory H. Sachs Revocable Trust Udt DTD. 4/24/1998. Its direct owners are Sachs Capital Group, L.P. (75% or more) and Spencer Sachs Descendants Trust (5% to 10%).","source":"Form ADV Part 1A, Schedules A and B, filed 12 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does SCG Asset Management get paid?","answer":"SCG Asset Management is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact SCG Asset Management?","answer":"SCG Asset Management’s main office is at 2132 Deep Water Lane, Suite 240a, Naperville, IL 60564. Its phone number is 312-784-3952. Its website is scgamllc.com.","source":"Form ADV Part 1A, Item 1.F, filed 12 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}