{"url":"https://nivawealth.com/firms/sg-trading-solutions-322928","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/322928","regulatoryAum":911716174,"crd":"322928","history":[{"filedOn":"2023-03-29","regulatoryAum":100000000,"clients":2,"employees":5,"offices":1},{"filedOn":"2024-03-28","regulatoryAum":207777185,"clients":2,"employees":5,"offices":1},{"filedOn":"2025-03-28","regulatoryAum":535196409,"clients":5,"employees":5,"offices":1},{"filedOn":"2026-05-15","regulatoryAum":911716174,"clients":6,"employees":5,"offices":1}],"secFileNumber":"801-126459","legalName":"SG Trading Solutions, LLC","displayName":"SG Trading Solutions","slug":"sg-trading-solutions-322928","website":null,"classification":{"segment":"registered_funds","segmentLabel":"Fund management","type":"fund_manager","typeLabel":"Mutual funds & ETFs","feeDisclosure":"payment_only"},"founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"620 S Main Street","city":"Bountiful","state":"UT","stateName":"Utah","country":"United States","postalCode":"84010"},"tradeNames":[],"registration":{"secApproved":"30 August 2022","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":5,"advisory":3,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":911716174,"discretionary":911716174,"discretionaryAccounts":6,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Investment companies","clients":6,"regulatoryAum":911716174}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"SG Trading Solutions does not have custody of client assets.","leadership":[{"name":"David Harden","title":"President","crd":"2408466"},{"name":"John Lore","title":"Chief Compliance Officer","crd":"6360681"}],"ownership":[{"label":"Harden Capital, LLC","detail":"Owner in the 75% or more ownership band and a control person, since April 2020."},{"label":"David Harden","detail":"Indirect owner: a owner of Harden Capital, LLC in the 50% to 75% band and a control person, since October 2010.","parent":"Harden Capital, LLC"},{"label":"Jennifer Harden","detail":"Indirect owner: a owner of Harden Capital, LLC in the 50% to 75% band and a control person, since October 2010.","parent":"Harden Capital, LLC"}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Utah","offices":1,"addresses":[{"street":"620 S Main Street","city":"Bountiful","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"801-683-2856","stateRegisteredReps":2,"otherAdviserReps":3,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for investment companies"],"financialPlanningClients":"0","assetMix":[],"privateFunds":0},"sources":{"adv1FilingDate":"15 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/322928/PDF/322928.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does SG Trading Solutions have?","answer":"SG Trading Solutions has 6 clients and manages $912 million for them, as of May 2026. They include 6 investment companies.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 15 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does SG Trading Solutions offer?","answer":"SG Trading Solutions provides 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":"How many financial advisors does SG Trading Solutions have?","answer":"SG Trading Solutions has 2 investment adviser representatives registered with state securities authorities, out of 5 employees, and 3 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":"Who owns SG Trading Solutions?","answer":"SG Trading Solutions is owned through a holding company by David and Jennifer Harden. Its direct owner is Harden Capital, LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 15 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does SG Trading Solutions get paid?","answer":"SG Trading Solutions is paid through a percentage of assets under management. 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":"Is SG Trading Solutions registered with the SEC?","answer":"Yes, SG Trading Solutions has been registered with the SEC as an investment adviser since 30 August 2022. Its CRD number is 322928 and its SEC file number is 801-126459.","source":"Form ADV Part 1A, Item 1, filed 15 May 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact SG Trading Solutions?","answer":"SG Trading Solutions’ main office is at 620 S Main Street, Bountiful, UT 84010. Its phone number is 801-683-2856.","source":"Form ADV Part 1A, Item 1.F, filed 15 May 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."}