SPECTRUM WEALTH ADVISORY GROUP, LLC
Adviser information for SPECTRUM WEALTH ADVISORY GROUP, LLC last updated from Form ADV on February 23rd, 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 | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,202 | $282.8M |
| Non-Discretionary | 0 | $0 |
| Total | 1,202 | $282.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 360 | $60.5M |
| HNW Individuals | 164 | $206.3M |
| 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 | 6 | $14.7M |
| Charitable organizations | <5 | $1.2M |
| 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 | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 34.9M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| FORM ADV PART 2A APP 1 - WRAP FEE BROCHURE | SPECTRUM WEALTH ADVISORY GROUP, LLC |
Principal Office
5925 GRANITE LAKE DRIVESUITE 130
GRANITE BAY
CA
United States
Monday - Friday, 8AM-5PM
Tel: (916) 772-5970, Fax: None
Chief Compliance Officer
KENNETH CHRISTIE
5925 GRANITE LAKE DRIVE
GRANITE BAY
CA
United States
Tel:
(916) 772-5970
K**@************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 |
|---|---|---|---|---|---|
| CHRISTIE, KENNETH, LEE | Individual | – | CHIEF COMPLIANCE OFFICER & MANAGING MEMBER | 09/2018 | > 75% |
| THOMPSON, MICHAEL, RUTHERFORD | Individual | – | PARTNER & WEALTH ADVISOR | 03/2019 | 5-10% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 7th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ALPHABET INC | CAP STK CL C | 233K | 1K | – |
| ALPHABET INC | CAP STK CL A | 218K | 1K | – |
| AMAZON COM INC | COM | 1M | 5K | – |
| APPLE INC | COM | 5M | 26K | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 254K | 625 | – |
| COSTCO WHSL CORP NEW | COM | 577K | 679 | – |
| DISNEY WALT CO | COM | 799K | 8K | – |
| FIRST TR EXCHANGE TRADED FD | NASDAQ CYB ETF | 7M | 133K | – |
| FIRST TR EXCHANGE TRADED FD | HLTH CARE ALPH | 638K | 6K | – |
| FIRST TR EXCHANGE-TRADED FD | NASDQ ARTFCIAL | 4M | 105K | – |
| FIRST TR EXCHANGE-TRADED FD | CAP STRENGTH ETF | 628K | 7K | – |
| FIRST TR EXCHANGE-TRADED FD | US EQTY OPPT ETF | 1M | 12K | – |
| FIRST TR MORNINGSTAR DIVID L | SHS | 11M | 281K | – |
| FIRST TR VALUE LINE DIVID IN | SHS | 6M | 144K | – |
| HOME DEPOT INC | COM | 217K | 630 | – |
| HONEYWELL INTL INC | COM | 374K | 2K | – |
| INVESCO EXCH TRADED FD TR II | S&P MIDCP LOW | 472K | 9K | – |
| INVESCO EXCHANGE TRADED FD T | S&P MDCP MOMNTUM | 3M | 25K | – |
| INVESCO EXCHANGE TRADED FD T | S&P 500 GARP ETF | 2M | 17K | – |
| INVESCO QQQ TR | UNIT SER 1 | 32M | 67K | – |
| ISHARES SILVER TR | ISHARES | 356K | 13K | – |
| ISHARES TR | MSCI USA MMENTM | 474K | 2K | – |
| ISHARES TR | MORNINGSTAR GRWT | 204K | 3K | – |
| ISHARES TR | CORE S&P US GWT | 6M | 51K | – |
| MASTERCARD INCORPORATED | CL A | 427K | 968 | – |
| MICROSOFT CORP | COM | 1M | 3K | – |
| OMNICOM GROUP INC | COM | 365K | 4K | – |
| PROSHARES TR | PSHS ULTRA QQQ | 497K | 5K | – |
| SPDR GOLD TR | GOLD SHS | 347K | 2K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 4M | 7K | – |
| SPDR SER TR | AEROSPACE DEF | 276K | 2K | – |
| SPDR SER TR | BBG CONV SEC ETF | 712K | 10K | – |
| TESLA INC | COM | 204K | 1K | – |
| VANGUARD INDEX FDS | TOTAL STK MKT | 221K | 827 | – |
| VANGUARD WORLD FD | INF TECH ETF | 221K | 383 | – |
| WISDOMTREE TR | US QTLY DIV GRT | 332K | 4K | – |