Hedge Fund Database

CLIENT 1ST ADVISORY GROUP

CLIENT 1ST ADVISORY GROUP LLC Legal Name

Adviser information for CLIENT 1ST ADVISORY GROUP last updated from Form ADV on March 25th, 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 Florida, United States

Employees

Total Number of Employees 6
Investment Advisory/Research 5
Registered Broker-Dealer Representatives 1
Registered State Investment Advisers 6
Licensed Agents of an Insurance Company 2
No. of Firms/People that Solicit Clients 5

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 823 $343.3M
Non-Discretionary 2 $5.3M
Total 825 $348.6M

Clients

Type Number RAUM
Individuals 216 $78.1M
HNW Individuals 102 $259.2M
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 $5.3M
Charitable organizations <5 $5.9M
State or municipal gov entities 0 $0
Other investment advisers <5 $90,222
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 0
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 businesses
Compensation % of AUMHourly chargesFixed 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 16.3M
Portfolio Manager to Program Sponsor
THE CLIENT 1ST WRAP FEE PROGRAM CLIENT 1ST ADVISORY GROUP

Identifiers

SEC RIA File Number 801-78052
SEC ERA File Number 801-78052
SEC CIK Numbers 1802816
SEC CRD Numbers 167790
Legal Entity Identifier None

Principal Office

678 DOUGLAS AVENUE
DUNEDIN
FL
United States
Monday - Friday, 8:30 AM - 4:00 PM
Tel: 727-450-2301, Fax: 727-450-2302

Websites

twitter.com/1st client www.linkedin.com/company/client-1st-advisory-group/ www.facebook.com/client1stadvisorygroup/ www.c1ag.com

Chief Compliance Officer

HERB PONTZER
678 DOUGLAS AVENUE
DUNEDIN
FL
United States
Tel: 727-450-2301
Fax: 727-450-2302
(Full email address available in API data)

Regulatory Contact

DAVE STIEH
CHIEF OPERATIONS OFFICER
678 DOUGLAS AVENUE
DUNEDIN
FL
United States
Tel: 727-450-2301
Fax: 727-450-2302
(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
CLIENT 1ST ADVISORS, INC. Domestic Entity – OWNER 03/2013 < 5%
WEALTH MANAGEMENT CONSULTANTS, INC. Domestic Entity – OWNER 03/2013 50-75%
MABRY, MICHELLE, LAIS Individual – CHIEF EXECUTIVE OFFICER 07/2020 < 5%
STIEH, DAVID, GEORGE Individual – CHIEF OPERATIONS OFFICER 03/2013 < 5%
PHILLIPS, CRAIG, SCOTT Individual CLIENT 1ST ADVISORS, INC. CO-FOUNDER 03/2013
MABRY, MICHELLE, LAIS Individual WEALTH MANAGEMENT CONSULTANTS, INC. CHIEF EXECUTIVE OFFICER 01/2008 50-75%
PONTZER, HERBERT, ALOYSIUS Individual – CHIEF COMPLIANCE OFFICER 05/2021 < 5%
ZAFFIRI CAPITAL Domestic Entity – OWNER 01/2024 10-25%
DGS CAPITAL SOLUTIONS, LLC Domestic Entity – OWNER 01/2024 10-25%
MABRY, MORGAN, E Individual – CHIEF INVESTMENT OFFICER 01/2024 10-25%
STIEH, DAVID, GEORGE Individual DGS CAPITAL SOLUTIONS, LLC CHIEF OPERATIONS OFFICER 01/2024
MABRY, MORGAN, E Individual ZAFFIRI CAPITAL CHIEF INVESTMENT OFFICER 01/2024

No. Employees, Historic

105020192020202120222023202420255 on 5/8/20196 on 6/13/20196 on 1/8/20205 on 3/24/20205 on 3/29/20205 on 6/19/20205 on 3/29/20215 on 5/23/20216 on 2/25/20226 on 3/29/20226 on 3/25/20236 on 8/4/20236 on 8/15/20236 on 3/25/20246 on 3/25/2024

RAUM, Historic

400M200M02019202020212022202320242025171813720 on 5/8/2019171813720 on 6/13/2019171813720 on 1/8/2020182845943 on 3/24/2020182845943 on 3/29/2020182845943 on 6/19/2020230877882 on 3/29/2021230877882 on 5/23/2021285308940 on 2/25/2022285308940 on 3/29/2022292050912 on 3/25/2023292050912 on 8/4/2023292050912 on 8/15/2023348644970 on 3/25/2024348644970 on 3/25/2024

No. Clients, Historic

40020002019202020212022202320242025244 on 5/8/2019244 on 6/13/2019244 on 1/8/2020244 on 3/24/2020244 on 3/29/2020244 on 6/19/2020275 on 3/29/2021275 on 5/23/2021285 on 2/25/2022285 on 3/29/2022316 on 3/25/2023316 on 8/4/2023316 on 8/15/2023325 on 3/25/2024325 on 3/25/2024

Holdings

From latest 13F, filed August 8th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ALPHABET INC CAP STK CL A 226K 1K –
ALPHABET INC CAP STK CL C 4M 20K –
AMAZON COM INC COM 1M 8K –
APPLE INC COM 3M 12K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 480K 1K –
BLACKROCK ETF TRUST US EQT FACTOR 2M 35K –
BLACKROCK ETF TRUST II FLEXIBLE INCOME 482K 9K –
BOOKING HOLDINGS INC COM 939K 237 –
CARMAX INC COM 257K 4K –
CENCORA INC COM 658K 3K –
CHEVRON CORP NEW COM 561K 4K –
DIMENSIONAL ETF TRUST GLOBAL REAL EST 1M 54K –
DIMENSIONAL ETF TRUST EMERGING MKTS CO 6M 221K –
DIMENSIONAL ETF TRUST SHORT DURATION F 13M 266K –
DIMENSIONAL ETF TRUST US CORE EQUITY 2 42M 1M –
DIMENSIONAL ETF TRUST INTL CORE EQUITY 14M 539K –
DIMENSIONAL ETF TRUST CORE FIXED INCOM 14M 342K –
DISNEY WALT CO COM 209K 2K –
DTE ENERGY CO COM 282K 3K –
EA SERIES TRUST STRIVE 500 ETF 336K 10K –
ELEVANCE HEALTH INC COM 521K 962 –
ENBRIDGE INC COM 307K 9K –
EXXON MOBIL CORP COM 4M 36K –
FIDELITY COVINGTON TRUST MSCI INFO TECH I 2M 9K –
HANCOCK WHITNEY CORPORATION COM 238K 5K –
HOME DEPOT INC COM 231K 670 –
INTERNATIONAL PAPER CO COM 206K 5K –
INVESCO EXCH TRADED FD TR II S&P EMRNG MKTS 310K 13K –
INVESCO QQQ TR UNIT SER 1 502K 1K –
IQVIA HLDGS INC COM 759K 4K –
ISHARES INC CORE MSCI EMKT 2M 30K –
ISHARES INC MSCI EMRG CHN 598K 10K –
ISHARES TR AGGRES ALLOC ETF 291K 4K –
ISHARES TR S&P 500 GRWT ETF 1M 14K –
ISHARES TR CORE S&P MCP ETF 223K 4K –
ISHARES TR GLOBAL FINLS ETF 268K 3K –
ISHARES TR FALN ANGLS USD 1M 53K –
ISHARES TR MSCI EAFE ETF 250K 3K –
ISHARES TR 20 YR TR BD ETF 1M 11K –
ISHARES TR MSCI ACWI ETF 420K 4K –
ISHARES TR MBS ETF 2M 25K –
ISHARES TR 0-5YR HI YL CP 330K 8K –
ISHARES TR MSCI USA MMENTM 584K 3K –
ISHARES TR EAFE VALUE ETF 5M 96K –
ISHARES TR ISHS 1-5YR INVS 414K 8K –
ISHARES TR US INFRASTRUC 442K 11K –
ISHARES TR CORE S&P500 ETF 2M 3K –
ISHARES TR IBONDS DEC 27 249K 10K –
ISHARES TR EAFE GRWTH ETF 5M 53K –
ISHARES TR TRS FLT RT BD 852K 17K –
ISHARES TR ESG AWR MSCI USA 12M 105K –
ISHARES TR CORE US AGGBD ET 238K 2K –
ISHARES TR CORE TOTAL USD 6M 130K –
ISHARES TR IBONDS DEC 28 498K 20K –
ISHARES TR US TREAS BD ETF 2M 104K –
ISHARES TR CORE MSCI TOTAL 515K 8K –
ISHARES TR GLOBAL ENERG ETF 263K 6K –
ISHARES TR CORE S&P SCP ETF 478K 4K –
ISHARES TR HDG MSCI EAFE 495K 14K –
ISHARES TR TIPS BD ETF 274K 3K –
ISHARES TR MSCI USA MIN VOL 1M 13K –
ISHARES TR NATIONAL MUN ETF 274K 3K –
ISHARES TR SHRT NAT MUN ETF 388K 4K –
ISHARES TR MSCI USA SZE FT 481K 3K –
ISHARES TR U.S. TECH ETF 2M 11K –
ISHARES TR JPMORGAN USD EMG 379K 4K –
ISHARES TR MSCI USA VALUE 1M 14K –
ISHARES TR 10-20 YR TRS ETF 604K 6K –
ISHARES TR MSCI USA QLT FCT 4M 24K –
ISHARES TR U.S. MED DVC ETF 356K 6K –
ISHARES U S ETF TR GSCI CMDTY STGY 321K 12K –
ISHARES U S ETF TR BLACKROCK SHORT 272K 5K –
JPMORGAN CHASE & CO. COM 334K 2K –
LAM RESEARCH CORP COM 573K 538 –
LATTICE STRATEGIES TR HARTFORD MLT ETF 572K 21K –
LENNAR CORP CL A 216K 1K –
LOWES COS INC COM 313K 1K –
MARATHON PETE CORP COM 211K 1K –
MASTERCARD INCORPORATED CL A 1M 3K –
META PLATFORMS INC CL A 1M 2K –
MICROSOFT CORP COM 1M 2K –
NVIDIA CORPORATION COM 1M 8K –
ORACLE CORP COM 208K 1K –
QUALCOMM INC COM 235K 1K –
SCHWAB CHARLES CORP COM 349K 5K –
SCHWAB STRATEGIC TR US SML CAP ETF 430K 9K –
SCHWAB STRATEGIC TR US AGGREGATE B 6M 122K –
SCHWAB STRATEGIC TR 5 10YR CORP BD 490K 11K –
SCHWAB STRATEGIC TR 1 5YR CORP BD 892K 18K –
SCHWAB STRATEGIC TR US TIPS ETF 488K 9K –
SELECT SECTOR SPDR TR ENERGY 773K 8K –
SOUTHERN CO COM 528K 7K –
SPDR INDEX SHS FDS PORTFOLIO DEVLPD 248K 7K –
SPDR S&P 500 ETF TR TR UNIT 350K 644 –
SPDR SER TR PORTFOLIO INTRMD 213K 7K –
SPDR SER TR NYSE TECH ETF 217K 1K –
SPDR SER TR BLOOMBERG INTL T 301K 14K –
SPDR SER TR S&P OILGAS EXP 202K 1K –
SPDR SER TR PORTFOLIO S&P500 30M 467K –
SPDR SER TR PRTFLO S&P500 GW 314K 4K –
SPDR SER TR PORTFOLIO AGRGTE 261K 10K –
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 525K 3K –
TRANSOCEAN LTD REGISTERED SHS 280K 52K –
UBER TECHNOLOGIES INC COM 224K 3K –
UNITEDHEALTH GROUP INC COM 364K 714 –
VANGUARD INDEX FDS SM CP VAL ETF 330K 2K –
VANGUARD INDEX FDS MID CAP ETF 329K 1K –
VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 699K 6K –
VANGUARD SPECIALIZED FUNDS DIV APP ETF 4M 22K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 409K 8K –
VANGUARD WORLD FD MEGA GRWTH IND 923K 3K –
VANGUARD WORLD FD MEGA CAP INDEX 554K 3K –
VISA INC COM CL A 570K 2K –
VOYA GLBL EQTY DIV & PREM OP COM 85K 17K –
WISDOMTREE TR EM EX ST-OWNED 1M 46K –
WP CAREY INC COM 755K 14K –