SGROI WEALTH ADVISORY GROUP LLC
Adviser information for SGROI WEALTH ADVISORY GROUP LLC last updated from Form ADV on March 27th, 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 | New York, United States |
Employees
| Total Number of Employees | 25 |
|---|---|
| Investment Advisory/Research | 11 |
| Registered Broker-Dealer Representatives | 11 |
| Registered State Investment Advisers | 11 |
| Licensed Agents of an Insurance Company | 15 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 6,993 | $939.0M |
| Non-Discretionary | 0 | $0 |
| Total | 6,993 | $939.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 5,148 | $766.9M |
| HNW Individuals | 97 | $162.0M |
| 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 | 11 | $6.4M |
| Charitable organizations | <5 | $3.7M |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 4500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Registered representative of a broker-dealer |
Identifiers
| SEC RIA File Number | 801-112067 |
|---|---|
| SEC ERA File Number | 801-112067 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 289764 |
| Legal Entity Identifier | None |
Principal Office
965 UNION ROADWEST SENECA
NY
United States
Monday - Friday, 8:00 - 5:00
Tel: 716-674-6700, Fax: 716-674-6822
Websites
Chief Compliance Officer
JOHN G. CLOUDEN
SENIOR VICE PRESIDENT
965 UNION ROAD
WEST SENECA
NY
United States
Tel:
716-674-6700
Fax:
716-674-6822
J****@*****************M
(Full email address available in API data)
Regulatory Contact
NINA EVANS
OPERATIONS AND COMPLIANCE CONSULTANT
965 UNION ROAD
WEST SENECA
NY
United States
Tel:
716-674-6700
Fax:
716-674-6822
N****@*****************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 |
|---|---|---|---|---|---|
| SGROI, PATRICK, JOSEPH | Individual | – | PRESIDENT | 10/2017 | 50-75% |
| CLOUDEN, JOHN, GERALD | Individual | – | CHIEF COMPLIANCE OFFICER AND SENIOR VICE PRESIDENT | 10/2017 | 25-50% |