Hedge Fund Database

SAFEGUARD INVESTMENT ADVISORY GROUP, LLC

Adviser information for SAFEGUARD INVESTMENT ADVISORY GROUP, LLC last updated from Form ADV on March 1st, 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 California, United States

Employees

Total Number of Employees 19
Investment Advisory/Research 8
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 8
Licensed Agents of an Insurance Company 8
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 2,002 $386.1M
Non-Discretionary 386 $68.4M
Total 2,388 $454.6M

Clients

Type Number RAUM
Individuals 1,057 $188.4M
HNW Individuals 353 $252.3M
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 27 $6.7M
Charitable organizations <5 $3.4M
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 13 $3.8M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 0

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)
Compensation % of AUMHourly charges

Identifiers

SEC RIA File Number 801-110651
SEC ERA File Number 801-110651
SEC CIK Numbers 1846711
SEC CRD Numbers 146132
Legal Entity Identifier None

Principal Office

4160 TEMESCAL CANYON ROAD
SUITE 307
CORONA
CA
United States
Monday - Friday, 8AM-5PM
Tel: 877-213-7233, Fax: 951-667-4975

Websites

www.safeguardinvestment.com www.linkedin.com/company/safeguard-investment-advisory-group-llc/

Chief Compliance Officer

JAMES P. MURRAY
4160 TEMESCAL CANYON ROAD
SUITE 307
CORONA
CA
United States
Tel: 951-667-4969
Fax: 951-667-4975
(Full email address available in API data)

Regulatory Contact

REID ABEDEEN
MEMBER
4160 TEMESCAL CANYON ROAD
SUITE 307
CORONA
CA
United States
Tel: 951-667-4969
Fax: 951-667-4975
(Full email address available in API data)

Industry Affiliates

CEP INSURANCE SERVICES Insurance company or agency
RICKSHAW FINANCIAL & INSURANCE SERVICES, INC. Insurance company or agency
SAFEGUARD FINANCIAL SERVICES INC. Insurance company or agency
WOODLAND FINANCIAL INC. Insurance company or agency

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
ABEDEEN, REID, NMN Individual – MEMBER 01/2008 25-50%
RIVERA, RICKY, NMN Individual – MEMBER 01/2008 25-50%
SOTA, EDWARD, ANTHONY Individual – MEMBER 07/2008 25-50%
MURRAY, JAMES, P. Individual – CHIEF COMPLIANCE OFFICER 05/2022 < 5%

No. Employees, Historic

20100201920202021202220232024202514 on 11/7/201914 on 3/27/202014 on 6/9/202016 on 3/25/202116 on 5/25/202116 on 3/22/202216 on 4/22/202216 on 4/22/202216 on 5/5/202216 on 5/17/202216 on 5/18/202216 on 5/18/202218 on 3/13/202319 on 3/1/2024

RAUM, Historic

500M250M02019202020212022202320242025202713948 on 11/7/2019261340530 on 3/27/2020261340530 on 6/9/2020303440107 on 3/25/2021303440107 on 5/25/2021347708870 on 3/22/2022347708870 on 4/22/2022347708870 on 4/22/2022347708870 on 5/5/2022347708870 on 5/17/2022347708870 on 5/18/2022347708870 on 5/18/2022352726494 on 3/13/2023454557412 on 3/1/2024

No. Clients, Historic

2,0001,000020192020202120222023202420251031 on 11/7/20191469 on 3/27/20201469 on 6/9/20201092 on 3/25/20211092 on 5/25/20211227 on 3/22/20221227 on 4/22/20221227 on 4/22/20221227 on 5/5/20221227 on 5/17/20221227 on 5/18/20221227 on 5/18/20221260 on 3/13/20231450 on 3/1/2024

Holdings

From latest 13F, filed August 9th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBVIE INC COM 224K 1K –
ADVANCED MICRO DEVICES INC COM 677K 4K –
ALPHABET INC CAP STK CL A 1M 6K –
ALPHABET INC CAP STK CL C 856K 5K –
ALTRIA GROUP INC COM 317K 7K –
AMAZON COM INC COM 3M 18K –
AMERICAN CENTY ETF TR US EQT ETF 255K 3K –
AMERICAN ELEC PWR CO INC COM 203K 2K –
APPLE INC COM 8M 40K –
ARK ETF TR NEXT GNRTN INTER 202K 3K –
ARK ETF TR GENOMIC REV ETF 246K 11K –
ARK ETF TR INNOVATION ETF 1M 23K –
AT&T INC COM 38K 2K –
AT&T INC COM 1M 74K –
BANK AMERICA CORP COM 2M 41K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 568K 1K –
BLACKSTONE INC COM 214K 2K –
BOEING CO COM 715K 4K –
BROADCOM INC COM 1M 883 –
CHEVRON CORP NEW COM 742K 5K –
CONOCOPHILLIPS COM 241K 2K –
COSTCO WHSL CORP NEW COM 1M 1K –
DBX ETF TR XTRACK MSCI EAFE 250K 6K –
DIMENSIONAL ETF TRUST SHORT DURATION F 1M 31K –
DIMENSIONAL ETF TRUST US SMALL CAP ETF 458K 8K –
DIMENSIONAL ETF TRUST NATL MUN BD ETF 1M 22K –
DIMENSIONAL ETF TRUST US CORE EQUITY 2 78M 2M –
DIMENSIONAL ETF TRUST US SMALL CAP VAL 19M 664K –
DIMENSIONAL ETF TRUST CORE FIXED INCOM 5M 111K –
DIMENSIONAL ETF TRUST US HIGH PROFITAB 44M 1M –
DIMENSIONAL ETF TRUST WORLD EX US CORE 974K 38K –
DIMENSIONAL ETF TRUST US EQUITY ETF 2M 26K –
DIMENSIONAL ETF TRUST US TARGETED VLU 1M 20K –
DIMENSIONAL ETF TRUST WORLD EQUITY ETF 251K 4K –
DISNEY WALT CO COM 505K 5K –
EATON CORP PLC SHS 268K 854 –
ELI LILLY & CO COM 2M 2K –
ENERGY TRANSFER L P COM UT LTD PTN 192K 12K –
ETFS GOLD TR PHYSCL GOLD SHS 512K 23K –
EXXON MOBIL CORP COM 883K 8K –
FORD MTR CO DEL COM 164K 13K –
FRANKLIN BSP RLTY TR INC COMMON STOCK 169K 13K –
GABELLI EQUITY TR INC COM 72K 14K –
GE AEROSPACE COM NEW 220K 1K –
GRAYSCALE BITCOIN TR BTC SHS REP COM UT 519K 10K –
HOME DEPOT INC COM 548K 2K –
HSBC HLDGS PLC SPON ADR NEW 212K 5K –
INVESCO EXCH TRADED FD TR II NASDAQ 100 ETF 5M 26K –
INVESCO QQQ TR UNIT SER 1 42M 88K –
ISHARES INC MSCI GBL MIN VOL 261K 2K –
ISHARES TR RUS 1000 GRW ETF 261K 716 –
ISHARES TR RUS MD CP GR ETF 214K 2K –
ISHARES TR CALIF MUN BD ETF 1M 21K –
ISHARES TR EXPND TEC SC ETF 460K 5K –
ISHARES TR RUS TP200 GR ETF 683K 3K –
ISHARES TR ISHARES SEMICDTR 1M 6K –
ISHARES TR MSCI USA MIN VOL 2M 23K –
ISHARES TR CORE LT USDB ETF 2M 37K –
ISHARES TR TIPS BD ETF 935K 9K –
ISHARES TR MORTGE REL ETF 304K 14K –
ISHARES TR CORE S&P500 ETF 613K 1K –
ISHARES TR U.S. MED DVC ETF 7M 120K –
J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 361K 7K –
JEFFERIES FINL GROUP INC COM 2M 39K –
JOHNSON & JOHNSON COM 257K 2K –
JPMORGAN CHASE & CO. COM 453K 2K –
L3HARRIS TECHNOLOGIES INC COM 338K 2K –
META PLATFORMS INC CL A 951K 2K –
MICRON TECHNOLOGY INC COM 479K 4K –
MICROSOFT CORP COM 4M 8K –
NETFLIX INC COM 1M 2K –
NVIDIA CORPORATION COM 3M 21K –
ORACLE CORP COM 243K 2K –
PIMCO ETF TR ENHAN SHRT MA AC 261K 3K –
PRESTO AUTOMATION INC COM 7K 100K –
PROCTER AND GAMBLE CO COM 459K 3K –
PROSHARES TR ULTRAPRO QQQ 305K 4K –
QUALCOMM INC COM 510K 3K –
ROCKWELL AUTOMATION INC COM 324K 1K –
SCHWAB STRATEGIC TR US DIVIDEND EQ 235K 3K –
SEAGATE TECHNOLOGY HLDNGS PL ORD SHS 407K 4K –
SELECT SECTOR SPDR TR ENERGY 296K 3K –
SELECT SECTOR SPDR TR FINANCIAL 211K 5K –
SEMPRA COM 580K 8K –
SKYWORKS SOLUTIONS INC COM 2M 16K –
SPDR GOLD TR GOLD SHS 411K 2K –
SPDR S&P 500 ETF TR TR UNIT 30M 55K –
TESLA INC COM 1M 6K –
TORO CO COM 321K 3K –
UNITEDHEALTH GROUP INC COM 1M 3K –
VANGUARD ADMIRAL FDS INC MIDCP 400 GRTH 285K 3K –
VANGUARD INDEX FDS TOTAL STK MKT 376K 1K –
VANGUARD INDEX FDS GROWTH ETF 291K 779 –
VANGUARD INDEX FDS VALUE ETF 394K 2K –
VANGUARD INDEX FDS S&P 500 ETF SHS 6M 12K –
VANGUARD SPECIALIZED FUNDS DIV APP ETF 4M 20K –
VANGUARD WORLD FD HEALTH CAR ETF 7M 25K –
VANGUARD WORLD FD CONSUM STP ETF 1M 5K –
VANGUARD WORLD FD FINANCIALS ETF 619K 6K –
VANGUARD WORLD FD INF TECH ETF 210K 365 –
VERIZON COMMUNICATIONS INC COM 268K 7K –
VISA INC COM CL A 730K 3K –
WALMART INC COM 617K 9K –
WARNER BROS DISCOVERY INC COM SER A 100K 13K –
WELLS FARGO CO NEW COM 244K 4K –
WELLTOWER INC COM 268K 3K –
WESTERN DIGITAL CORP. COM 292K 4K –
XCEL ENERGY INC COM 334K 6K –