THE FIDUCIARY GROUP
THE FIDUCIARY GROUP, LLC Legal Name
Adviser information for THE FIDUCIARY GROUP last updated from Form ADV on March 28th, 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 | 16 |
|---|---|
| Investment Advisory/Research | 11 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 11 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,548 | $1.6B |
| Non-Discretionary | 18 | $24.2M |
| Total | 1,566 | $1.6B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 249 | $91.2M |
| HNW Individuals | 332 | $1.1B |
| 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 | 38 | $274.6M |
| Charitable organizations | <5 | $7.2M |
| 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 | 33 | $187.7M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Publication of periodicals or newslettersCREDIT AND CASH MANAGEMENT SOLUTIONS, INSURANCE SOLUTIONS |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | CREDIT AND CASH MANAGEMENT AND INSURANCE SOLULTION |
Identifiers
| SEC RIA File Number | 801-96251 |
|---|---|
| SEC ERA File Number | 801-96251 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 221530 |
| Legal Entity Identifier | None |
Principal Office
310 COMMERCIAL DRIVESAVANNAH
GA
United States
Monday - Friday, 8:30 AM - 5 PM
Tel: 912-303-9000, Fax: 912-303-9001
Chief Compliance Officer
SHANON R. CADDICK
CHIEF COMPLIANCE OFFICER
P.O. BOX 13688
SAVANNAH
GA
United States
Tel:
912-447-6869
Fax:
912-303-9001
S*****@************M
(Full email address available in API data)
Regulatory Contact
MALCOLM BUTLER
CHIEF EXECUTIVE OFFICER
P.O. BOX 13688
SAVANNAH
GA
United States
Tel:
912-447-6868
Fax:
912-303-9001
M******@************M
(Full email address available in API data)
Industry Affiliates
| FOCUS RISK SOLUTIONS | Insurance company or agency |
| SCS CAPITAL MANAGEMENT LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| SENTINEL PENSION ADVISORS INC | Other investment adviser, including financial plannersPension consultant |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FOCUS OPERATING, LLC | Domestic Entity | – | MEMBER (MANAGER) | 04/2015 | > 75% |
| BUTLER, MALCOLM, LEE | Individual | – | PRESIDENT AND CEO | 04/2015 | < 5% |
| FOCUS FINANCIAL PARTNERS, LLC | Domestic Entity | FOCUS OPERATING, LLC | MEMBER | 01/2007 | > 75% |
| GOODMAN, JOEL, PHILIP | Individual | – | CHIEF INVESTMENT OFFICER | 04/2015 | < 5% |
| MCGHIE, SCOTT, BRIAN | Individual | – | DIRECTOR OF RESEARCH AND PORTFOLIO MANAGEMENT | 04/2015 | < 5% |
| FOCUS FINANCIAL PARTNERS INC. | Domestic Entity | FOCUS FINANCIAL PARTNERS, LLC | MEMBER | 07/2018 | > 75% |
| CADDICK, SHANON R | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2019 | < 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% |