CERTIOR FINANCIAL GROUP, LLC
Adviser information for CERTIOR FINANCIAL GROUP, LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Pennsylvania, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 7 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,198 | $266.5M |
| Non-Discretionary | 500 | $97.4M |
| Total | 1,698 | $363.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 321 | $103.4M |
| HNW Individuals | 141 | $258.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $2.2M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $162,496 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 27 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed feesCommissions |
| Other Business Activities | Insurance broker or agentFAMILY TRUST ADMINISTRATION |
Identifiers
| SEC RIA File Number | 801-108506 |
|---|---|
| SEC ERA File Number | 801-108506 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 285502 |
| Legal Entity Identifier | None |
Principal Office
20104 VALLEY FORGE CIRCLEKING OF PRUSSIA
PA
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 610-783-7010, Fax: 610-783-1763
Chief Compliance Officer
GERY SADZEWICZ
5205 BROOKSHIRE ESTATES DRIVE
PLAINFIELD
IL
United States
Tel:
(815) 782-1250
G***@*************************M
(Full email address available in API data)
Regulatory Contact
AVI KANTOR
MANAGING MEMBER
20104 VALLEY FORGE CIRCLE
SUITE 104
KING OF PRUSSIA
PA
United States
A**@*******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KANTOR, AVI, NO MIDDLE NAME | Individual | – | MANAGING MEMBER | 11/2016 | > 75% |
| SADZEWICZ, GERY, JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2023 | < 5% |