FIDUCIARY FINANCIAL GROUP, LLC
Adviser information for FIDUCIARY FINANCIAL GROUP, LLC last updated from Form ADV on February 5th, 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 | 7 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 7 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,024 | $542.2M |
| Non-Discretionary | 5 | $2.4M |
| Total | 1,029 | $544.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 183 | $61.2M |
| HNW Individuals | 138 | $481.0M |
| 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 | 1 | $2.4M |
| 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 | 3 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 101-250 |
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 |
Identifiers
| SEC RIA File Number | 801-121655 |
|---|---|
| SEC ERA File Number | 801-121655 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 285681 |
| Legal Entity Identifier | None |
Principal Office
1101 FIFTH AVENUESUITE 305
SAN RAFAEL
CA
United States
Monday - Friday, BY APPOINTMENT ONLY
Tel: 415-352-1100, Fax: 415-366-1453
Chief Compliance Officer
TREVOR SCOTTO
MANAGING MEMBER/OPERATIONS MANAGER/INVESTMENT ADVISOR REPRESENTATIVE
1101 FIFTH AVENUE
SUITE 305
SAN RAFAEL
CA
United States
Tel:
415-352-1100
T******@************M
(Full email address available in API data)
Regulatory Contact
RICHARD DAVEY
MANAGING MEMBER
835 W FRONT ST.
BOISE
ID
United States
Tel:
415-352-1100
R*****@************M
(Full email address available in API data)
Industry Affiliates
| FFG LAW, A PROFESSIONAL CORPORATION | Lawyer or law firm |
| RICHARD DAVEY | 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 |
|---|---|---|---|---|---|
| DAVEY, RICHARD, LLOYD | Individual | – | MANAGING MEMBER | 11/2016 | 25-50% |
| Scotto, Trevor, Patrick | Individual | – | MEMBER/CHIEF COMPLIANCE OFFICER | 01/2019 | 25-50% |
| TORRES, VICTOR, JAVIER | Individual | – | MEMBER | 01/2019 | < 5% |
| COOPER & VOGELHEIM LLP | Domestic Entity | – | OWNER | 08/2020 | 25-50% |
| VOGELHEIM, THOMAS, WHITNEY | Individual | COOPER & VOGELHEIM LLP | MEMBER | 01/2020 | > 75% |