Hedge Fund Database

PGI WEALTH MANAGEMENT

PHILIP JAMES WEALTH MANAGEMENT, LLC Legal Name

Adviser information for PGI WEALTH MANAGEMENT last updated from Form ADV on March 8th, 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 Minnesota, United States

Employees

Total Number of Employees 8
Investment Advisory/Research 7
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 7
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 764 $211.1M
Non-Discretionary 0 $0
Total 764 $211.1M

Clients

Type Number RAUM
Individuals 221 $54.5M
HNW Individuals 86 $156.4M
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 <5 $210,684
Other 0 $0
Type Number
No. of Non-RAUM Clients 307
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 0

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPension consulting services
Compensation % of AUMFixed fees
Other Business Activities Insurance broker or agent

Identifiers

SEC RIA File Number 801-119808
SEC ERA File Number 801-119808
SEC CIK Numbers 2002630
SEC CRD Numbers 297517
Legal Entity Identifier None

Principal Office

13680 HIGHWAY 9
SUITE C100
MILTON
GA
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: (888) 493-9022, Fax: None

Websites

www.cyntax-hsv.com www.linkedin.com/in/cynthia-hunt-e-a-a-t-a-83596915/ www.linkedin.com/in/erin-m-9643aa2/ www.pgiwealthmanagement.com www.linkedin.com/in/ruben-rozental-mba-70b7ab59 www.linkedin.com/in/dustindorhout/ www.linkedin.com/in/ryden-hines-mba-16ba8b11a/ www.linkedin.com/company/34696954/admin/ www.linkedin.com/in/nicholas-mcelroy-50820662/ www.linkedin.com/in/katie-m-white-cfp%c2%ae-6612974a/

Chief Compliance Officer

NICHOLAS MCELROY
MANAGING PRINCIPAL
13680 HIGHWAY 9
SUITE C100
MILTON
GA
United States
Tel: (888) 493-9022
(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
MCELROY, TODD, WILLIAM Individual – MANAGING MEMBER 07/2018 25-50%
MCELROY, NICHOLAS, WARD Individual – CCO & MANAGING MEMBER 07/2018 25-50%
JACKLITCH, DEAN Individual – INVESTOR 09/2020 5-10%
Dorhout, Dustin, Mitchell Individual – CHIEF INVESTMENT OFFICER 01/2023 10-25%
HINES, BRION, RYDEN Individual – CHIEF INVESTMENT OFFICER 01/2022 10-25%

No. Employees, Historic

10502020202120222023202420255 on 10/16/20205 on 10/23/20205 on 1/6/20217 on 3/31/20217 on 4/19/20217 on 7/22/20217 on 7/22/20217 on 7/22/20217 on 8/5/20217 on 10/6/20217 on 1/5/20227 on 3/24/20227 on 4/26/20227 on 5/27/20227 on 10/14/20227 on 10/18/20228 on 3/28/20238 on 3/5/20248 on 3/8/2024

RAUM, Historic

300M150M0202020212022202320242025190748998 on 10/16/2020190748998 on 10/23/2020190748998 on 1/6/2021220645644 on 3/31/2021220645644 on 4/19/2021220645644 on 7/22/2021220645644 on 7/22/2021220645644 on 7/22/2021220645644 on 8/5/2021220645644 on 10/6/2021220645644 on 1/5/2022292654956 on 3/24/2022292654956 on 4/26/2022292654956 on 5/27/2022292654956 on 10/14/2022292654956 on 10/18/2022257501591 on 3/28/2023211104453 on 3/5/2024211104453 on 3/8/2024

No. Clients, Historic

4002000202020212022202320242025222 on 10/16/2020222 on 10/23/2020222 on 1/6/2021268 on 3/31/2021268 on 4/19/2021268 on 7/22/2021268 on 7/22/2021268 on 7/22/2021268 on 8/5/2021268 on 10/6/2021268 on 1/5/2022361 on 3/24/2022361 on 4/26/2022361 on 5/27/2022361 on 10/14/2022361 on 10/18/2022349 on 3/28/2023307 on 3/5/2024307 on 3/8/2024

Holdings

From latest 13F, filed July 23rd, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ISHARES TR MODERT ALLOC ETF 232K 5K –
FIRST TR EXCH TRADED FD III LNG/SHT EQUITY 7M 116K –
FIRST TR EXCHNG TRADED FD VI TCW UNCONSTRAI 12M 486K –
FIRST TR EXCHNG TRADED FD VI FT VEST LADDERED 4M 151K –
LISTED FD TR HORIZON KINETICS 5M 144K –
ISHARES TR CORE DIV GRWTH 11M 196K –
ISHARES TR MSCI ACWI EX US 14M 264K –
J P MORGAN EXCHANGE TRADED F MUNICIPAL ETF 2M 30K –
J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 12M 240K –
J P MORGAN EXCHANGE TRADED F ULTRA SHT MUNCPL 360K 7K –
VANECK ETF TRUST MRNGSTR WDE MOAT 14M 161K –
VANGUARD SCOTTSDALE FDS VNG RUS1000GRW 6M 61K –
VANGUARD INDEX FDS TOTAL STK MKT 11M 41K –
WISDOMTREE TR US S CAP QTY DIV 3M 59K –
INVESCO EXCHANGE TRADED FD T LARGE CAP VALUE 1M 26K –
ISHARES TR CORE S&P MCP ETF 854K 15K –
ISHARES TR CORE S&P US GWT 392K 3K –
SELECT SECTOR SPDR TR FINANCIAL 640K 16K –
POWERSHARES ACTIVELY MANAGED S&P500 DOWNSID 4M 107K –
J P MORGAN EXCHANGE TRADED F CORE PLUS BD ETF 4M 91K –
J P MORGAN EXCHANGE TRADED F HEDGED EQUITY LA 9M 158K –
PACER FDS TR US CASH COWS 100 2M 41K –
ISHARES TR AGGRES ALLOC ETF 302K 4K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 377K 926 –
INVESCO QQQ TR UNIT SER 1 1M 2K –
ISHARES TR SP SMCP600VL ETF 217K 2K –
PIMCO ETF TR ENHAN SHRT MA AC 567K 6K –
ISHARES INC MSCI GBL MIN VOL 2M 15K –
ISHARES TR GRWT ALLOCAT ETF 414K 7K –
ISHARES TR MRGSTR MD CP ETF 422K 6K –
ISHARES TR RUS 1000 VAL ETF 369K 2K –
PROCTER AND GAMBLE CO COM 413K 3K –
ISHARES TR RUS 1000 ETF 1M 4K –
VANGUARD SPECIALIZED FUNDS DIV APP ETF 1M 7K –
VANGUARD INDEX FDS VALUE ETF 371K 2K –
HOME DEPOT INC COM 260K 756 –
ALPHABET INC CAP STK CL C 590K 3K –
ISHARES TR RUSSELL 3000 ETF 202K 653 –
FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 565K 12K –
VANGUARD INDEX FDS GROWTH ETF 249K 666 –
JOHNSON & JOHNSON COM 355K 2K –
JPMORGAN CHASE & CO. COM 245K 1K –
MCDONALDS CORP COM 265K 1K –
INNOVATOR ETFS TRUST LADERD ALCTN PWR 276K 6K –
ISHARES TR NATIONAL MUN ETF 774K 7K –
NVIDIA CORPORATION COM 2M 17K –
ADOBE INC COM 226K 406 –
AMAZON COM INC COM 1M 7K –
APPLE INC COM 1M 7K –
APPLIED MATLS INC COM 251K 1K –
BP PLC SPONSORED ADR 231K 6K –
CROWDSTRIKE HLDGS INC CL A 747K 2K –
LOCKHEED MARTIN CORP COM 333K 714 –
MEDTRONIC PLC SHS 206K 3K –
MICROSOFT CORP COM 561K 1K –
QUALCOMM INC COM 223K 1K –
QUANTA SVCS INC COM 267K 1K –
ALLY FINL INC COM 241K 6K –
ALTRIA GROUP INC COM 325K 7K –
C H ROBINSON WORLDWIDE INC COM NEW 211K 2K –
CASEYS GEN STORES INC COM 309K 811 –
CHUBB LIMITED COM 225K 881 –
EMERSON ELEC CO COM 200K 2K –
GRACO INC COM 258K 3K –
LINDE PLC SHS 243K 553 –
MSC INDL DIRECT INC CL A 301K 4K –
NUCOR CORP COM 324K 2K –
SYSCO CORP COM 224K 3K –
TEXAS INSTRS INC COM 232K 1K –
VISTRA CORP COM 215K 3K –
WALMART INC COM 306K 5K –
VISA INC COM CL A 284K 1K –
CONSTELLATION BRANDS INC CL A 219K 852 –
KELLANOVA COM 204K 4K –
ELI LILLY & CO COM 406K 448 –
NEXTERA ENERGY INC COM 876K 12K –