KINGDOM FINANCIAL GROUP, LLC
Adviser information for KINGDOM 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 | Arizona, United States |
Employees
| Total Number of Employees | 40 |
|---|---|
| Investment Advisory/Research | 17 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 8 |
| Licensed Agents of an Insurance Company | 17 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,631 | $264.2M |
| Non-Discretionary | 0 | $0 |
| Total | 2,631 | $264.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,396 | $261.5M |
| HNW Individuals | 0 | $0 |
| 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 | 32 | $2.1M |
| 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 | 3 | $619,661 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPublication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed feesCommissions |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 250.6M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| MODEL PORTFOLIO SOLUTIONS | AE WEALTH MANAGEMENT, LLC |
| DIRECT ASSET MANAGEMENT | AE WEALTH MANAGEMENT, LLC |
Identifiers
| SEC RIA File Number | 801-113161 |
|---|---|
| SEC ERA File Number | 801-113161 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 155676 |
| Legal Entity Identifier | None |
Principal Office
14155 N. 83 AVE #144PEORIA
AZ
United States
Monday - Friday, 8:00 A.M. - 4:00 P.M.
Tel: 623-974-0300, Fax: 623-974-0330
Chief Compliance Officer
BRETT POHL
CCO
36 W PIKE STREET
SECOND FLOOR
COVINGTON
KY
United States
Tel:
859-308-3297
B****@*******M
(Full email address available in API data)
Regulatory Contact
STEVEN D. FULLERTON
MEMBER & PRESIDENT
14155 N. 83 AVE #144
PEORIA
AZ
United States
Tel:
623-974-0300
Fax:
623-974-0330
S****@********************M
(Full email address available in API data)
Industry Affiliates
| FULLERTON FINANCIAL PLANNING | Insurance company or agency |
| FULLERTON FINANCIAL PLANNING 401K PLAN | Pension consultant |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FULLERTON, STEVEN, DAVID | Individual | – | MEMBER & PRESIDENT | 11/2010 | 50-75% |
| FULLERTON, STEPHANIE, ELAINE | Individual | – | MEMBER | 01/2019 | 50-75% |
| BECKER, JOSHUA, PAUL | Individual | – | CHIEF OPERATING OFFICER | 03/2023 | < 5% |
| FULLERTON FINANCIAL HOLDINGS, LLC | Domestic Entity | – | OWNER | 03/2023 | > 75% |
| FULLERTON FINANCIAL LEGACYCO, LLC | Domestic Entity | FULLERTON FINANCIAL HOLDINGS, LLC | OWNER | 03/2023 | 50-75% |
| FULLERTON, STEVEN, DAVID | Individual | FULLERTON FINANCIAL LEGACYCO, LLC | OWNER | 03/2023 | 50-75% |
| FULLERTON, STEPHANIE, ELAINE | Individual | FULLERTON FINANCIAL LEGACYCO, LLC | OWNER | 03/2023 | 50-75% |
| POHL, BRETT, WILLIAM | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2024 | < 5% |