SPG ADVISORS LLC
Adviser information for SPG ADVISORS LLC last updated from Form ADV on March 22nd, 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 | Washington, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 10 |
| Licensed Agents of an Insurance Company | 9 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,982 | $393.4M |
| Non-Discretionary | 24 | $7.5M |
| Total | 2,006 | $401.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 509 | $193.0M |
| HNW Individuals | 107 | $208.0M |
| 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 | 0 | $0 |
| 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 | 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 | 500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesPROVIDER FEES |
Identifiers
| SEC RIA File Number | 801-118756 |
|---|---|
| SEC ERA File Number | 801-118756 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 284496 |
| Legal Entity Identifier | None |
Principal Office
11411 NE 124TH STSUITE 255
KIRKLAND
WA
United States
Monday - Friday, 9AM - 5PM
Tel: 425-821-9442, Fax: 888-503-0799
Chief Compliance Officer
JUSTIN LOHMAN
CHIEF OPERATING OFFICER
11411 NE 124TH ST
SUITE 255
KIRKLAND
WA
United States
Tel:
425-821-9442
Fax:
888-503-0799
J*****@**************M
(Full email address available in API data)
Regulatory Contact
LAURA STACY
COMPLIANCE ANALYST
11411 NE 124TH ST
SUITE 255
KIRKLAND
WA
United States
Tel:
425-821-9442
Fax:
888-503-0799
L****@********M
(Full email address available in API data)
Industry Affiliates
| SOUND PLANNING GROUP | Insurance company or agency |
| SOUND TAX PLANNING LLC | Accountant or accounting firm |
| SYNERGY ASSET MANAGEMENT, LLC | Other investment adviser, including financial planners |
| SYNERGY BUSINESS VALUATIONS + CONSULTING, LLC | Real estate broker or dealer |
| SYNERGY FINANCIAL SERVICES, INC. | Insurance company or agency |
| SYNERGY MERGERS + ACQUISITIONS, LLC | Real estate broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MAAS, JOSEPH, MERRELL | Individual | – | CHIEF INVESTMENT OFFICER | 11/2018 | < 5% |
| Lohman, Justin, Richard | Individual | – | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | 12/2019 | < 5% |
| SPG WEALTH MANAGEMENT VOTING TRUST | Domestic Entity | – | TRUST | 04/2022 | > 75% |
| Lyons, David, T | Individual | SPG WEALTH MANAGEMENT VOTING TRUST | TRUSTEE | 04/2022 |