Hedge Fund Database

STRATEGIC WEALTH PARTNERS

STRATEGIC WEALTH PARTNERS GROUP, LLC Legal Name

Adviser information for STRATEGIC WEALTH PARTNERS last updated from Form ADV on March 27th, 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 Delaware, United States

Employees

Total Number of Employees 45
Investment Advisory/Research 22
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 22
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 2

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 5,996 $3.4B
Non-Discretionary 49 $45.9M
Total 6,045 $3.5B

Clients

Type Number RAUM
Individuals 490 $187.3M
HNW Individuals 586 $3.2B
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 16 $24.1M
Charitable organizations 5 $43.4M
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 9 $47.6M
Other 0 $0
Type Number
No. of Non-RAUM Clients 84
No. of Non-U.S. Clients 1
No. of Financial Planning Clients 251-500

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)CREDIT AND CASH MANAGEMENT SOLUTIONS; INSURANCE SOLUTIONS
Compensation % of AUMHourly chargesFixed fees
Other Business Activities CREDIT/CASH MGMT SOL;INSURANCE SOL; MY PERSONAL BO

Identifiers

SEC RIA File Number 801-80683
SEC ERA File Number 801-80683
SEC CIK Numbers 1682677
SEC CRD Numbers 174052
Legal Entity Identifier None

Principal Office

520 LAKE COOK ROAD
SUITE 520
DEERFIELD
IL
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: (224) 632-1600, Fax: (224) 632-1601

Websites

focusfinancialpartners.com twitter.com/focusfinancial www.facebook.com/strategic-wealth-partners-102407819011824 www.mypersonalbookkeeper.com/ www.linkedin.com/company/my-personal-bookkeeper-inc www.facebook.com/mypersonalbookkeeper/ www.linkedin.com/company/strategic-wealth-partners-llc/ www.linkedin.com/company/2064318/ www.instagram.com/strategicwealthpartners_swp/ stratwealth.com/

Chief Compliance Officer

TONI E. BREGENZER
CHIEF COMPLIANCE OFFICER
520 LAKE COOK ROAD
SUITE 520
DEERFIELD
IL
United States
Tel: (224) 632-1598
Fax: (224) 632-1601
(Full email address available in API data)

Regulatory Contact

MICHELLE MCCARTHY
CHIEF COMPLIANCE OFFICER, DINSMORE COMPLIANCE SERVICES
255 EAST FIFTH STREET
SUITE 1900
CINCINNATI
OH
United States
Tel: 513-832-5447
(Full email address available in API data)

Industry Affiliates

FOCUS RISK SOLUTIONS Insurance company or agency
KOVITZ INVESTMENT GROUP PARTNERS, LLC Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
RELATIVE VALUE PARTNERS, LLC Other investment adviser, including financial planners

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
PRICE, NEAL, HOWARD Individual – CHIEF FINANCIAL OFFICER 11/2014 < 5%
COPELAND, DAVID, JAMES Individual – CHIEF INVESTMENT OFFICER 11/2014 < 5%
FOCUS OPERATING, LLC Domestic Entity – MEMBER (MANAGER) 11/2014 > 75%
FOCUS FINANCIAL PARTNERS, LLC Domestic Entity FOCUS OPERATING, LLC MEMBER 01/2007 > 75%
FOCUS FINANCIAL PARTNERS INC. Domestic Entity FOCUS FINANCIAL PARTNERS, LLC MEMBER 07/2018 > 75%
Pflug, Lindsay, M Individual – CHIEF OPERATING OFFICER 11/2022 < 5%
bregenzer, Toni, E Individual – CHIEF COMPLIANCE OFFICER 11/2022 < 5%
FERDINAND FFP ACQUISITION, LLC Domestic Entity FOCUS FINANCIAL PARTNERS INC. SHAREHOLDER, CLASS A COMMON STOCK 08/2023 > 75%
FERDINAND FFP ULTIMATE HOLDINGS, LP Domestic Entity FOCUS FINANCIAL PARTNERS INC. SHAREHOLDER, CLASS B COMMON STOCK 08/2023 > 75%
FERDINAND FFP INTERMEDIATE HOLDINGS, LLC Domestic Entity FERDINAND FFP ACQUISITION, LLC MEMBER 08/2023 > 75%
FERDINAND FFP PARENT, INC Domestic Entity FERDINAND FFP INTERMEDIATE HOLDINGS, LLC MEMBER 08/2023 > 75%
FERDINAND FFP ULTIMATE HOLDINGS, LP Domestic Entity FERDINAND FFP PARENT, INC SHAREHOLDER 08/2023 > 75%
CD&R FERDINAND HOLDINGS, L.P. Domestic Entity FERDINAND FFP ULTIMATE HOLDINGS, LP PARTNER 08/2023 50-75%
CD&R FERDINAND CO-INVESTOR, L.P. Foreign Entity CD&R FERDINAND HOLDINGS, L.P. PARTNER 08/2023 25-50%
CLAYTON, DUBILIER & RICE FUND XII, L.P. Foreign Entity CD&R FERDINAND HOLDINGS, L.P. PARTNER 08/2023 50-75%
CD&R ASSOCIATES XII, L.P. Foreign Entity CD&R FERDINAND CO-INVESTOR, L.P. GENERAL PARTNER 08/2023
CD&R ASSOCIATES XII, L.P. Foreign Entity CLAYTON, DUBILIER & RICE FUND XII, L.P. GENERAL PARTNER 08/2023
CD&R INVESTMENT ASSOCIATES XII, LTD. Foreign Entity CD&R FERDINAND HOLDINGS, L.P. GENERAL PARTNER 08/2023

No. Employees, Historic

50250201920202021202220232024202535 on 6/4/201935 on 6/18/201935 on 7/12/201935 on 8/2/201935 on 10/2/201935 on 11/13/201935 on 3/30/202035 on 6/26/202035 on 6/30/202035 on 12/23/202035 on 1/15/202133 on 3/31/202133 on 4/30/202133 on 2/2/202235 on 3/31/202235 on 11/3/202235 on 11/16/202240 on 3/31/202344 on 9/26/202344 on 10/13/202344 on 11/6/202344 on 11/21/202345 on 3/27/2024

RAUM, Historic

4B2B020192020202120222023202420252083803232 on 6/4/20192083803232 on 6/18/20192083803232 on 7/12/20192083803232 on 8/2/20192083803232 on 10/2/20192083803232 on 11/13/20192680193293 on 3/30/20202680193293 on 6/26/20202680193293 on 6/30/20202680193293 on 12/23/20202680193293 on 1/15/20212530688026 on 3/31/20212530688026 on 4/30/20212530688026 on 2/2/20222812807302 on 3/31/20222812807302 on 11/3/20222812807302 on 11/16/20223036174056 on 3/31/20233036174056 on 9/26/20233036174056 on 10/13/20233036174056 on 11/6/20233036174056 on 11/21/20233483244924 on 3/27/2024

No. Clients, Historic

2,0001,00002019202020212022202320242025670 on 6/4/2019670 on 6/18/2019670 on 7/12/2019670 on 8/2/2019670 on 10/2/2019670 on 11/13/2019651 on 3/30/2020651 on 6/26/2020651 on 6/30/2020651 on 12/23/2020651 on 1/15/2021945 on 3/31/2021945 on 4/30/2021945 on 2/2/2022961 on 3/31/2022961 on 11/3/2022961 on 11/16/20221006 on 3/31/20231006 on 9/26/20231006 on 10/13/20231006 on 11/6/20231006 on 11/21/20231106 on 3/27/2024

Holdings

From latest 13F, filed April 30th, 2024 for period ending March 31st, 2024
Name Class Value $USD # Shares Private Fund
US EQT PWR BUF INNOVATOR ETFS TR 8M 233K –
US EQTY PWR BF INNOVATOR ETFS TR 6M 176K –
US EQTY PWR BUF INNOVATOR ETFS TR 40M 1M –
US EQTY PWR BUF INNOVATOR ETFS TR 8M 238K –
US EQTY PWR BUF INNOVATOR ETFS TR 13M 322K –
US EQTY PWR BUF INNOVATOR ETFS TR 7M 187K –
US EQTY PWR BUF INNOVATOR ETFS TR 8M 231K –
US EQTY PWR BUF INNOVATOR ETFS TR 9M 232K –
US EQTY PWR BUF INNOVATOR ETFS TR 5M 159K –
US EQTY PWR BUF INNOVATOR ETFS TR 7M 188K –
US EQTY PWR BUF INNOVATOR ETFS TR 6M 167K –
US EQTY PWR BUF INNOVATOR ETFS TR 8M 220K –
INTRNL DEV MAR INNOVATOR ETFS TR 1M 41K –
INTRNL DEV APRL INNOVATOR ETFS TR 675K 25K –
S&P500 EQL WGT INVESCO EXCHANGE TRADED FD T 4M 23K –
GRWT ALLOCAT ETF ISHARES TR 18M 319K –
CORE S&P SCP ETF ISHARES TR 36M 323K –
IBONDS DEC24 ETF ISHARES TR 377K 15K –
CORE MSCI EMKT ISHARES INC 506K 10K –
MORNINGSTR US EQ ISHARES TR 1M 14K –
MSCI EAFE ETF ISHARES TR 30M 372K –
MSCI EMRG CHN ISHARES INC 393K 7K –
MSCI KLD400 SOC ISHARES TR 5M 46K –
RUS 1000 VAL ETF ISHARES TR 78M 437K –
RUS MDCP VAL ETF ISHARES TR 803K 6K –
RUS 1000 ETF ISHARES TR 7M 26K –
RUSSELL 2000 ETF ISHARES TR 13M 63K –
RUS 2000 VAL ETF ISHARES TR 9M 60K –
RUSSELL 3000 ETF ISHARES TR 255K 850 –
CORE S&P500 ETF ISHARES TR 29M 55K –
S&P 500 GRWT ETF ISHARES TR 43M 508K –
S&P 500 VAL ETF ISHARES TR 86M 463K –
S&P MC 400VL ETF ISHARES TR 1M 10K –
S&P MC 400GR ETF ISHARES TR 3M 28K –
CORE S&P MCP ETF ISHARES TR 3M 51K –
SP SMCP600VL ETF ISHARES TR 5M 53K –
IBONDS DEC2026 ISHARES TR 18K 759 –
0-3 MNTH TREASRY ISHARES TR 253K 3K –
CORE MSCI TOTAL ISHARES TR 628K 9K –
ESG AW MSCI EAFE ISHARES TR 413K 5K –
ESG AWARE MSCI ISHARES TR 384K 10K –
ESG AWR US AGRGT ISHARES TR 272K 6K –
MSCI ACWI ETF ISHARES TR 59K 532 –
MSCI ACWI EX US ISHARES TR 4M 76K –
RUS 1000 GRW ETF ISHARES TR 169M 502K –
RUS 2000 GRW ETF ISHARES TR 11M 40K –
RUS MD CP GR ETF ISHARES TR 9M 82K –
RUS MID CAP ETF ISHARES TR 955K 11K –
S&P SML 600 GWT ISHARES TR 2M 16K –
RUSEL 2500 ETF ISHARES TR 12M 182K –
CORE MSCI EAFE ISHARES TR 2M 25K –
MSCI EMG MKT ETF ISHARES TR 911K 22K –
HENDRSON AAA CL JANUS DETROIT STR TR 30M 583K –
B-BBB CLO ETF JANUS DETROIT STR TR 471K 10K –
COM S&P GLOBAL INC 2M 4K –
US LCAP VA ETF SCHWAB STRATEGIC TR 248K 3K –
UT SER 1 SPDR DOW JONES INDL AVERAGE 452K 1K –
TR UNIT SPDR S&P 500 ETF TR 59M 113K –
EXTEND MKT ETF VANGUARD INDEX FDS 1M 6K –
VAN FTSE DEV MKT VANGUARD TAX-MANAGED FDS 15M 305K –
GROWTH ETF VANGUARD INDEX FDS 3M 8K –
S&P 500 ETF SHS VANGUARD INDEX FDS 10M 21K –
ALLWRLD EX US VANGUARD INTL EQUITY INDEX F 734K 13K –
FTSE EMR MKT ETF VANGUARD INTL EQUITY INDEX F 230K 5K –
MCAP VL IDXVIP VANGUARD INDEX FDS 520K 3K –
MID CAP ETF VANGUARD INDEX FDS 470K 2K –
SMALL CP ETF VANGUARD INDEX FDS 838K 4K –
DIV APP ETF VANGUARD SPECIALIZED FUNDS 4M 23K –
TOTAL STK MKT VANGUARD INDEX FDS 62M 240K –
VALUE ETF VANGUARD INDEX FDS 2M 15K –