VANTAGE FINANCIAL GROUP, INC.
Adviser information for VANTAGE FINANCIAL GROUP, INC. last updated from Form ADV on March 15th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Ohio, United States |
Employees
| Total Number of Employees | 63 |
|---|---|
| Investment Advisory/Research | 21 |
| Registered Broker-Dealer Representatives | 31 |
| Registered State Investment Advisers | 21 |
| Licensed Agents of an Insurance Company | 38 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,991 | $580.5M |
| Non-Discretionary | 470 | $139.7M |
| Total | 2,461 | $720.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,687 | $263.6M |
| HNW Individuals | 736 | $415.9M |
| 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 | $7.3M |
| Charitable organizations | 15 | $13.1M |
| 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 | 17 | $20.4M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 90 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCommissions |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-33485 |
|---|---|
| SEC ERA File Number | 801-33485 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 105950 |
| Legal Entity Identifier | None |
Principal Office
6200 ROCKSIDE ROADCLEVELAND
OH
United States
Monday - Friday, 8:15 A.M. - 4:45 P.M.
Tel: 216-642-7878, Fax: 216-642-8042
Chief Compliance Officer
JENNIFER SOLTIS
CHIEF COMPLIANCE OFFICER
6200 ROCKSIDE ROAD
SUITE 100
CLEVELAND
OH
United States
Tel:
216-642-8042
Fax:
216-520-3581
J******@*********M
(Full email address available in API data)
Regulatory Contact
JOSEPH KEAN
CHIEF OPERATING OFFICER
6200 ROCKSIDE ROAD
SUITE 100
CLEVELAND
OH
United States
Tel:
216-532-8142
Fax:
216-520-3581
J****@*********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 |
|---|---|---|---|---|---|
| MCCORMICK, WILLIAM, MATTHEW | Individual | – | PRESIDENT/CHIEF EXECUTIVE OFFICER | 01/1987 | 50-75% |
| AERNI, SUZANNE | Individual | – | OWNER | 01/2007 | < 5% |
| BEARDUCCI, MICHELLE | Individual | – | OWNER | 01/1994 | < 5% |
| BERARDINELLI, VINCENT, MICHAEL | Individual | – | OWNER | 06/2004 | < 5% |
| BEARDUCCI, MICHAEL, THOMAS | Individual | – | EXECUTIVE VICE PRESIDENT/SECRETARY | 12/2011 | 5-10% |
| KEAN, JOSEPH, CHARLES | Individual | – | CHIEF OPERATING OFFICER | 03/2015 | < 5% |
| CLEARY, MICHAEL, FRANCIS | Individual | – | OWNER | 06/2016 | 5-10% |
| SMITH, GEORGE, DANIEL | Individual | – | OWNER | 06/2016 | 5-10% |
| SOLTIS, JENNIFER, LYNN | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2021 | < 5% |
| ROBINSON, GREG | Individual | – | CFO | 02/2020 | < 5% |