MONEY CONCEPTS ADVISORY SERVICE

Broker-DealerFINRA MemberEst. 1991
Total AUM
$4.1B
Discretionary
$2.5B
61% of AUM
Accounts
17,032
Employees
478
Advisory reps
477
Brokerage reps
456

Firm details

Headquarters
PALM BEACH GARDENS, Florida
CRD number
12963
Registered since
October 7, 1991
Website
moneyconcepts.com
Custodians
PERSHING LLC, CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees, Other
Client types
  • Individuals73.85%
  • HNWI24.42%
  • Pension & Profit Sharing Plans0.92%
  • Corporations / Businesses0.59%
  • Charitable Organizations0.22%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

Money Concepts Advisory Service operates as an insurance-focused broker-dealer that also provides advisory services and financial planning. The firm is SEC-registered (since 1991) and serves both individual and institutional clients through a mix of fee arrangements including percentage-of-AUM, hourly and fixed fees. Its advisory work covers financial planning and portfolio management for individuals, small businesses and institutional accounts. The firm reports being an active ESG investor and maintains industry ties as a broker-dealer, an investment adviser and an insurance company.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 65%, Exchange Traded Equities 24%, Cash & Cash Equivalents 6%, Non-Exchange Traded Equities 1%, US Government Bonds 1%, Investment Grade Corp Bonds 1%, Derivatives 1%, Private Funds 1%65%
  • Public Funds/Mutual Funds65%
  • Exchange Traded Equities24%
  • Cash & Cash Equivalents6%
  • Non-Exchange Traded Equities1%
  • US Government Bonds1%

Owners & executives

3 of 16

  • John Nguyen

    Founder & CEOCRD 4919629

  • Gilbert Mercado

    CEO & PresidentCRD 5156495

  • Terry Sawchuk

    Founder & Chief Wealth StrategistCRD 2084275

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Contacts

3 of 461

  • Walter Brown

    Financial AdvisorCRD 5097576

  • Gary Duvall

    PresidentCRD 2998532

  • DANIEL YEE

    Wealth AdvisorCRD 4443999

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Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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ETF holdings

1 of 386

Active vs passive

$1.6B in ETFs

Passive

87%

$1.4B

Active

9%

$204M

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES US SMALL CAP VALUE FACTOR ETF (SVAL)BlackRockPassiveSmall Value$98.9M2,753,0876.16%
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Location

Primary office

PALM BEACH GARDENS, FL

PALM BEACH

Location

PALM BEACH GARDENS, FL

Headquartered in PALM BEACH GARDENS, FL, anchoring the Miami-Port St. Lucie-Fort Lauderdale, FL metro in the South.

Metro area
Miami-Port St. Lucie-Fort Lauderdale, FL
Region
South
County
PALM BEACH
Address
11440 N Jog Rd
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth