PREMIER FINANCIAL GROUP INC
Adviser information for PREMIER FINANCIAL GROUP INC last updated from Form ADV on March 19th, 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 | California, United States |
Employees
| Total Number of Employees | 17 |
|---|---|
| Investment Advisory/Research | 11 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 11 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,193 | $564.9M |
| Non-Discretionary | 23 | $107.5M |
| Total | 1,216 | $672.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 508 | $429.1M |
| HNW Individuals | 8 | $64.8M |
| 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 | 33 | $109.5M |
| Charitable organizations | <5 | $65.9M |
| 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 | $3.1M |
| 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 businessesPension consulting servicesPublication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Insurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 0 |
Identifiers
| SEC RIA File Number | 801-38364 |
|---|---|
| SEC ERA File Number | 801-38364 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 107314 |
| Legal Entity Identifier | None |
Principal Office
725 SIXTH STREETEUREKA
CA
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 707-443-2741, Fax: 707-443-9411
Chief Compliance Officer
JEREMY R. SORCI
ADVISOR
725 SIXTH STREET
EUREKA
CA
United States
Tel:
707-443-2741
Fax:
707-443-9411
J*****@*******************M
(Full email address available in API data)
Regulatory Contact
GINGER WEBER
PRESIDENT
725 SIXTH STREET
EUREKA
CA
United States
Tel:
(707) 443-2741
Fax:
(707) 443-9411
G*****@*******************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 |
|---|---|---|---|---|---|
| CALDWELL, WAYNE, OLIVER | Individual | – | PRINCIPAL, DIRECTOR, CERTIFIED FINANCIAL PLANNER | 04/1987 | 25-50% |
| GLOOR, JOHN, CHRISTIAN | Individual | – | PRINCIPAL, DIRECTOR, ADVISOR | 04/1987 | 10-25% |
| ROSS, CHARLES, RONALD | Individual | – | PRINCIPAL, DIRECTOR, ADVISOR | 02/1990 | 10-25% |
| WEBER, GINGER, LYNN | Individual | – | PRINCIPAL, DIRECTOR, CERTIFIED FINANCIAL PLANNER, PRESIDENT | 02/2004 | 10-25% |
| SMITH, BRUCE, ANDERSON | Individual | – | PRINCIPAL | 12/2010 | 5-10% |
| CONLEY, TERESA, IRENE | Individual | – | PRINCIPAL, DIRECTOR, CERTIFIED FINANCIAL PLANNER, VICE PRESIDENT, CFO | 01/2018 | < 5% |
| SORCI, JEREMY, ROBERT | Individual | – | PRINCIPAL, DIRECTOR, CHIEF COMPLIANCE OFFICER | 01/2020 | < 5% |