SGROI WEALTH
BROADWAY ADVISOR GROUP, LLC Legal Name
Adviser information for SGROI WEALTH last updated from Form ADV on March 20th, 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 | New York, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 440 | $82.8M |
| Non-Discretionary | 3 | $9.2M |
| Total | 443 | $91.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 176 | $32.0M |
| HNW Individuals | 40 | $43.8M |
| 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 | <5 | $15.7M |
| 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 | $535,504 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 82.8M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| BROADWAY ADVISOR GROUP, LLC WRAP PROGRAM | SGROI WEALTH |
Identifiers
| SEC RIA File Number | 801-127086 |
|---|---|
| SEC ERA File Number | 801-127086 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 324281 |
| Legal Entity Identifier | None |
Principal Office
368 BROADWAYFIRST FLOOR
ALBANY
NY
United States
Monday - Friday, 9:00 A.M. TO 5:00 P.M.
Tel: 518-477-3626, Fax: 518-477-4061
Websites
Chief Compliance Officer
JASON MICHAEL SGROI
MANAGING PARTNER AND CHIEF COMPLIANCE OFFICER
368 BROADWAY
FIRST FLOOR
ALBANY
NY
United States
Tel:
518-477-3626
Fax:
518-477-4061
J****@**************M
(Full email address available in API data)
Regulatory Contact
TYLER WILLIAM RAPP
368 BROADWAY
FIRST FLOOR
ALBANY
NY
United States
Tel:
518-477-3626
Fax:
518-477-4061
T****@**************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 |
|---|---|---|---|---|---|
| SGROI, JASON, MICHAEL | Individual | – | MANAGING PARTNER AND CHIEF COMPLIANCE OFFICER | 10/2022 | 50-75% |
| SGROI, MICHAEL, ANTHONY | Individual | – | MANAGING PARTNER | 10/2022 | 50-75% |