Safeguard Investment Advisory Group, LLC

RIASEC RegisteredEst. 2017
Total AUM
$702M
Discretionary
$701M
100% of AUM
Avg account
$158K
Accounts
4,458
Employees
25
Advisory reps
9

Firm details

Headquarters
Corona, California
CRD number
146132
Registered since
May 31, 2017
Website
safeguardinvestment.com
Custodians
CHARLES SCHWAB & CO., INC., FIDELITY DISTRIBUTORS COMPANY LLC
Fee structure
Percentage of AUM, Hourly Charges
Client types
  • Individuals53.7%
  • HNWI43.94%
  • Pension & Profit Sharing Plans1.73%
  • Corporations / Businesses0.51%
  • Charitable Organizations0.11%
Services
Financial PlanningPortfolio Management for IndividualsSelection of Other Advisers

Firm profile

FINTRX

Overview

Safeguard Investment Advisory Group, LLC is an independent, SEC-registered registered investment adviser organized as an LLC and operating since 2017. The firm describes itself as a capital allocator that serves both individual/family and institutional clients. Its advisory services emphasize financial planning, discretionary portfolio management for individuals and small businesses, and the selection of third‑party advisers. Fees are charged as a percentage of assets under management and on an hourly basis. Safeguard is not characterized as an active ESG investor.

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: Exchange Traded Equities 60%, Public Funds/Mutual Funds 33%, Cash & Cash Equivalents 5%, Sovereign Bonds 1%, Investment Grade Corp Bonds 1%60%
  • Exchange Traded Equities60%
  • Public Funds/Mutual Funds33%
  • Cash & Cash Equivalents5%
  • Sovereign Bonds1%
  • Investment Grade Corp Bonds1%

Owners & executives

1 of 1
  • James Murray

    James Murray

    Chief Compliance Officer & Investment AdvisorCRD 7362344

Contacts

3 of 8
  • Andrew Anable

    Andrew Anable

    Investment Advisor RepresentativeCRD 5625071

  • Ricky Rivera

    Ricky Rivera

    Investment Advisor RepresentativeCRD 5480478

  • Edward Sota

    Edward Sota

    Partner, Investment Advisor RepresentativeCRD 5564807

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 81

Active vs passive

$328M in ETFs

Passive

47%

$153M

Active

52%

$175M

ETFProviderStyleCategoryValueShares% of portfolio
DIMENSIONAL US CORE EQUITY 2 ETF (DFAC)DimensionalActiveLarge Blend$85.5M1,926,53126.08%
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Location

Primary office

Corona, CA

Riverside

Location

Corona, CA

Headquartered in Corona, CA, anchoring the Los Angeles-Long Beach, CA metro in the West.

Metro area
Los Angeles-Long Beach, CA
Region
West
County
Riverside
Address
4160 Temescal Canyon Rd
Time zone
PT (UTC-8)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth