PRECEPT ADVISORY GROUP LLC
Adviser information for PRECEPT ADVISORY GROUP LLC last updated from Form ADV on March 14th, 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 | 9 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 8 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 3 | $287.6M |
| Non-Discretionary | 59 | $4.0B |
| Total | 62 | $4.3B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| 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 | 55 | $4.1B |
| 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 | 7 | $161.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-71072 |
|---|---|
| SEC ERA File Number | 801-71072 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 152776 |
| Legal Entity Identifier | None |
Principal Office
130 THEORYSUITE 200
IRVINE
CA
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 800-344-1430, Fax: None
Chief Compliance Officer
TREY CORDLE
SENIOR VICE PRESIDENT, COMPLIANCE DIRECTOR I
919 EAST MAIN STREET
RICHMOND
VA
United States
Tel:
804-787-8247
T**********@*********M
(Full email address available in API data)
Regulatory Contact
LINDA KYU-YOUNG BRIGHT
SENIOR VICE PRESIDENT & MANAGING DIRECTOR
130 THEORY
SUITE 200
IRVINE
CA
United States
Tel:
949-955-1430
L******@***************M
(Full email address available in API data)
Industry Affiliates
| CRUMP LIFE INSURANCE SERVICES, LLC | Insurance company or agency |
| GFO ADVISORY SERVICES, LLC | Other investment adviser, including financial planners |
| MCGRIFF INSURANCE SERVICES, LLC | Insurance company or agency |
| P.J. ROBB VARIABLE, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| STERLING CAPITAL (CAYMAN) LIMITED | Other investment adviser, including financial planners |
| STERLING CAPITAL MANAGEMENT LLC | Other investment adviser, including financial planners |
| TRUIST ADVISORY SERVICES, INC. | Other investment adviser, including financial planners |
| TRUIST BANK | Banking or thrift institutionTrust companySponsor, GP, manager of pooled investment vehicles |
| TRUIST DELAWARE TRUST COMPANY | Trust company |
| TRUIST INSURANCE HOLDINGS, LLC | Insurance company or agency |
| TRUIST INVESTMENT SERVICES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency |
| TRUIST SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MCGRIFF INSURANCE SERVICES, LLC | Domestic Entity | – | MEMBER | 04/2019 | > 75% |
| KO, VINCENT, TIMOTHY | Individual | – | VICE PRESIDENT | 04/2017 | < 5% |
| BRIGHT, LINDA, KYU-YOUNG | Individual | – | SENIOR VICE PRESIDENT | 06/2012 | < 5% |
| HOWARD, JOHN, MICHAEL | Individual | – | CHAIRMAN | 01/2016 | < 5% |
| Holder, Andrea, L | Individual | – | CHIEF FINANCIAL OFFICER | 06/2012 | < 5% |
| TRUIST INSURANCE HOLDINGS, LLC | Domestic Entity | MCGRIFF INSURANCE SERVICES, LLC | SHAREHOLDER | 04/2013 | > 75% |
| TRUIST BANK | Domestic Entity | TRUIST INSURANCE HOLDINGS, LLC | SHAREHOLDER | 04/2012 | > 75% |
| TRUIST FINANCIAL CORPORATION | Domestic Entity | TRUIST BANK | SHAREHOLDER | 02/1995 | > 75% |
| STRINGER, TAMMY, J. | Individual | – | SECRETARY | 01/2019 | < 5% |
| DAVIS, ROBERT, READ | Individual | – | CHIEF EXECUTIVE OFFICER | 01/2022 | < 5% |
| Gottwals, David, Alan | Individual | – | PRESIDENT | 01/2022 | < 5% |
| CORDLE, COYE, BAXTER | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2023 | < 5% |