Sfga Llc
- Regulatory AUM
- $110M
- Discretionary
- $107M
- Clients
- 458
- Avg AUM / client
- $240K
- Accounts
- 1,002
- Employees
- 5
AUM over time
Annual snapshots from Form ADV filings · as of May 06, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 379 | $68.6M | 62.3% |
| High net worth individuals | 79 | $41.0M | 37.2% |
| Pension and profit sharing plans | Fewer than 5 clients | $508K | 0.46% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Herbert Suekichi Shiraishi | Managing Member | Jul 2013 (13y) | 75% or more | |
| Grant Tatsuro Arita | Chief Compliance Officer | CFP CFA | Feb 2014 (12y) | Less than 5% |
| Jason Lloyd Wong | Registered representative | Jan 2014 (13y) | ||
| Kendall K.K. Kakugawa | Registered representative | Feb 2014 (12y) | ||
| Graham Tadahiko Enomoto | Registered representative | Aug 2016 (10y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/06/2026 | 1.01 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Other fees
- • REFERRAL FEES FROM THIRD-PARTY INVESTMENT ADVISERS
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
Custody
Reported custodians
- Nationwide Investment Services Corporation $44.3M (40% of AUM) May 2026
- Security Distributors, Llc $21.6M (20% of AUM) May 2026
- Axos Clearing $19.7M (18% of AUM) May 2026
- E*TRADE (Morgan Stanley) $17.8M (14% of AUM) Jul 2021
- Trust Company Of America $12.4M (12% of AUM) Jan 2019
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 06, 2026.
View current Form ADV (SEC/IAPD) ↗