Safeguard Investment Advisory Group, LLC (Corona)

Name: Safeguard Investment Advisory Group, LLC
Address: 4160 Temescal Canyon Road, Corona, CA, 92883
Telephone: 877-213-7233

Safeguard Investment Advisory Group, LLC is a large advisory firm based in Corona. It manages $202.71 million of regulatory assets for 1,375 client accounts. It has been registered with the SEC as an adviser since 2017 and has operated in the jurisdictions of Arizona, California, Colorado, Nevada, and Texas.

Safeguard Investment Advisory Group provides financial planning services, portfolio management for individuals and small businesses, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Safeguard Investment Advisory Group: assets under management

The assets under management (AUM) of Safeguard Investment Advisory Group, LLC is $202.71 million. The firm's AUM has grown by 16% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $117.78 million in discretionary accounts and $84.94 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $143.98 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $152.49 thousand.

Investments

The firm invests in investment and business development companies the most. They account for 75% of the total AUM. The second-largest asset type is exchange traded securities, which make up 16% of the firm’s portfolio. Investments in cash and cash equivalents form 3% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Safeguard Investment Advisory Group, LLC for their services and products based on a percentage of assets under management and hourly charges. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Safeguard Investment Advisory Group serves?

The firm provides services to individuals, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Safeguard Investment Advisory Group is individuals with 981 clients and $165.96 million of assets under management. Among the 9 most similar advisory firms, Safeguard Investment Advisory Group has the 2nd highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $202.71 million for 1,031 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Safeguard Investment Advisory Group doesn't advise any private funds.

Careers at Safeguard Investment Advisory Group, LLC

The company employs 14 people that are either part- or full-time employees. 43 percent of the employees work as investment advisers or researchers. 6 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Reid Nmn Abedeen	Member	1 Jan 2008	25% - 50%	5480138
Ricky Nmn Rivera	Member	1 Jan 2008	25% - 50%	5480478
Reid Abedeen	Member	1 Jan 2008	25% - 50%	5480138
Ricky Rivera	Member	1 Jan 2008	25% - 50%	5480478
Edward Anthony Sota	Member/ chief compliance officer	1 Jul 2008	25% - 50%	5564807

Based in Corona

The principal office where Safeguard Investment Advisory Group, LLC performs its advisory services is located at 4160 Temescal Canyon Road, Corona, CA 92883, which is also the mailing address of the firm. An additional office of the firm is in Oxnard, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 877-213-7233 or by fax 951-667-4975. The normal business hours are 8am-5pm on Monday - Friday. You can find more information about the New York firm at safeguardinvestment.com.