INDEPENDENT FINANCIAL GROUP, LLC
Firm details
- Headquarters
- SAN DIEGO, California
- CRD number
- 7717
- Registered since
- January 30, 2004
- Website
- www.ifgsd.com
- Custodians
- PERSHING LLC
- Fee structure
- Percentage of AUM, Hourly Charges, Fixed Fees, Commissions, Performance Based Fees
- Client types
- Individuals55.11%
- HNWI39.94%
- Corporations / Businesses2.48%
- Pension & Profit Sharing Plans1.92%
- Charitable Organizations0.55%
- Services
- Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other Advisers
Firm profile
FINTRXOverview
Independent Financial Group, LLC is organized as a limited liability company and has been SEC-registered since 2004. The firm operates primarily as an independent broker-dealer and insurance broker while also providing advisory services to individuals, families and institutional clients. Its advisory offerings include financial planning, portfolio management for individuals and small businesses, portfolio management for larger business or institutional clients, pension consulting services and the selection of other advisers. Compensation methods are varied and include percentage-of-AUM charges, hourly and fixed fees, commissions and performance-based fees. The firm identifies itself as an active ESG investor and does not appear to operate as a capital allocator.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities63%
- State & Local Bonds11%
- Investment Grade Corp Bonds11%
- Public Funds/Mutual Funds6%
- Cash & Cash Equivalents5%
Owners & executives
3 of 36SCOTT HEISING
President, CEO & FounderCRD 2192259
PATRICIA MEIER
Chief Operating OfficerCRD 2387144
STEPHEN CARLTON
Owner, President & CEOCRD 2057583
Contacts
3 of 606TERRY GRIFFITH
Registered RepresentativeCRD 4937497
WILLIE THOMAS
Financial AdvisorCRD 7822628
ADAM BONNER
Managing Partner and Wealth AdvisorCRD 6344488
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 924Active vs passive
$3.1B in ETFs
69%
$2.1B
22%
$971M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| INVESCO QQQ TRUST SERIES 1 (QQQ) | Invesco | Passive | Large Growth | $107M | 184,658 | 3.43% |
Location
SAN DIEGO, CA
SAN DIEGO
Location
SAN DIEGO, CA
Headquartered in SAN DIEGO, CA, in the West of the United States.
- Region
- West
- County
- SAN DIEGO
- Address
- 12671 High Bluff Dr
- Time zone
- PT (UTC-8)
- Office locations
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