{"url":"https://nivawealth.com/firms/sgl-investment-advisors-145167","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/145167","regulatoryAum":440255797,"crd":"145167","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6802145","suffix":null,"lastName":"Brunger","firstName":"Kelly","middleName":"Ross"},{"crd":"6342766","suffix":null,"lastName":"CARVALHO","firstName":"ZACHARY","middleName":"TYLER"},{"crd":"5492542","suffix":null,"lastName":"DENNEY","firstName":"JOSHUA","middleName":"PAUL"},{"crd":"5104561","suffix":null,"lastName":"EDER","firstName":"JOSHUA","middleName":"DANIEL"},{"crd":"214140","suffix":null,"lastName":"FRESEMAN","firstName":"KENNETH","middleName":"LOWELL"},{"crd":"5270645","suffix":null,"lastName":"GAUMER","firstName":"DONALD","middleName":"GIFFORD"},{"crd":"7228229","suffix":null,"lastName":"Harris","firstName":"Andrew","middleName":"Vern"},{"crd":"7801533","suffix":null,"lastName":"HAYS","firstName":"JEFFREY","middleName":null},{"crd":"7771960","suffix":null,"lastName":"Larson","firstName":"Natalie","middleName":"Anne"},{"crd":"6241527","suffix":null,"lastName":"PEPPENGER","firstName":"DAVID","middleName":"ALBERT"},{"crd":"5080105","suffix":null,"lastName":"RICHARDSON","firstName":"ROBBYN","middleName":"MICHAEL"},{"crd":"7704831","suffix":null,"lastName":"Roberts","firstName":"Mitchell","middleName":"B"},{"crd":"1011121","suffix":null,"lastName":"SEIDENSCHWARZ","firstName":"ROBERT","middleName":"GUY ISAAC"},{"crd":"7741521","suffix":null,"lastName":"WELNEL","firstName":"MARCUS","middleName":"JOHN"},{"crd":"2290587","suffix":null,"lastName":"WILLIAMS","firstName":"SUSAN","middleName":"ELAINE"}],"total":15,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-01-13","regulatoryAum":168745408,"clients":279,"employees":8,"offices":1},{"filedOn":"2022-05-27","regulatoryAum":218528471,"clients":324,"employees":8,"offices":1},{"filedOn":"2023-03-14","regulatoryAum":212067238,"clients":407,"employees":9,"offices":1},{"filedOn":"2024-06-05","regulatoryAum":292351447,"clients":471,"employees":9,"offices":1},{"filedOn":"2024-09-13","regulatoryAum":351347397,"clients":574,"employees":8,"offices":1},{"filedOn":"2026-09-25","regulatoryAum":440255797,"clients":883,"employees":7,"offices":1}],"secFileNumber":"801-80443","legalName":"SGL Investment Advisors, Inc.","displayName":"SGL Investment Advisors","slug":"sgl-investment-advisors-145167","website":"https://sglongfinancial.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/sgl-investment-advisors/about/","founded":null,"organization":"Montana corporation","fiscalYearEnd":"June","headquarters":{"street":"283 W. 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BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1059093","versionId":1059093,"submittedOn":"2026-09-25"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":292351447}],"custodyNote":"SGL Investment Advisors does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Susan Williams","title":"President","crd":"2290587"},{"name":"Darla Felix","title":"Chief Financial Officer/ Chief Compliance Officer/Secretary","crd":"5874509"},{"name":"Bruce Costa","title":"Director","crd":"6348002"},{"name":"Michael Kleese","title":"Director","crd":"5249734"},{"name":"Scott Long","title":"Chairman of the Board","crd":"1290706"},{"name":"Robert Seidenschwarz","title":"Director","crd":"1011121"},{"name":"Joseph Vinso","title":"Director","crd":"1499661"}],"ownership":[{"label":"SG Long Financial Services Corp.","detail":"Holding corporation in the 75% or more ownership band and a control person, since February 2006."},{"label":"Robert Seidenschwarz","detail":"Director in the 10% to 25% ownership band, since November 2022."},{"label":"Scott Long","detail":"Indirect owner: a owner of SG Long Financial Services Corp. in the 25% to 50% band and a control person, since February 2006.","parent":"SG Long Financial Services Corp."},{"label":"Susan Williams","detail":"Indirect owner: a owner of SG Long Financial Services Corp. in the 25% to 50% band and a control person, since July 2017.","parent":"SG Long Financial Services Corp."},{"label":"Darla Felix","detail":"Indirect owner: secretary/treasurer of SG Long Financial Services Corp. and a control person, since August 2020.","parent":"SG Long Financial Services Corp."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Montana","offices":1,"addresses":[{"street":"283 W. Front Street Suite 302","city":"Missoula","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"406-721-0999","stateRegisteredReps":5,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":63},{"label":"U.S. government/agency bonds","percent":3},{"label":"U.S. state and local bonds","percent":8},{"label":"Investment grade corporate bonds","percent":19},{"label":"Non-investment grade corporate bonds","percent":4},{"label":"Securities issued by registered investment companies or business development companies","percent":1},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":1},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"25 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/145167/PDF/145167.pdf","brochureDate":"25 September 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1059093","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 SGL Investment Advisors have?","answer":"SGL Investment Advisors has 883 clients and manages $440 million for them, as of September 2026. They include 766 individual clients, 92 high-net-worth individuals and 10 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 25 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does SGL Investment Advisors offer?","answer":"SGL Investment Advisors provides portfolio management for individuals and small businesses.","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 SGL Investment Advisors use?","answer":"SGL Investment Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $292M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 25 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does SGL Investment Advisors have?","answer":"SGL Investment Advisors has 5 investment adviser representatives registered with state securities authorities, out of 7 employees, and 6 perform investment advisory functions. 5 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","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 SGL Investment Advisors invest in?","answer":"At the end of its last fiscal year, SGL Investment Advisors’ separately managed accounts held 63% exchange-traded equities, 19% investment grade corporate bonds, 8% state and local bonds, 4% high-yield corporate bonds, 3% U.S. government and agency bonds, 1% registered funds (mutual funds, ETFs, BDCs), 1% pooled vehicles (private funds and similar) and 1% cash and equivalents.","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 SGL Investment Advisors?","answer":"SGL Investment Advisors is owned through a holding company by Scott Long and Susan Williams. Its direct owners are SG Long Financial Services Corp. (75% or more) and Robert Seidenschwarz (10% to 25%).","source":"Form ADV Part 1A, Schedules A and B, filed 25 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does SGL Investment Advisors get paid?","answer":"SGL Investment Advisors 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":"How do I contact SGL Investment Advisors?","answer":"SGL Investment Advisors’ main office is at 283 W. Front Street Suite 302, Missoula, MT 59802-4328. Its phone number is 406-721-0999. Its website is sglongfinancial.com.","source":"Form ADV Part 1A, Item 1.F, filed 25 September 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."}