Strategic Income Group LLC (Chandler)


Strategic Income Group LLC is a large advisory firm based in Chandler. It manages $138.76 million of regulatory assets for 828 client accounts. It has been registered with the SEC as an adviser since 2013 and has operated in the jurisdictions of Arizona, California, and Texas.

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

Strategic Income Group: assets under management

The assets under management (AUM) of Strategic Income Group LLC is $138.76 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 455% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $138.76 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $167.59 thousand each.
Strategic Income Group has custody of $119.93 million in cash and securities for 474 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 55% of the total AUM. The second-largest asset type is investment and business development companies, which make up 31% of the firm’s portfolio. Investments in pooled investment vehicles form 10% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Strategic Income Group LLC for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Strategic Income Group serves?

The firm provides services to individuals, high net worth individuals, and pension and profit sharing plans. The largest group of clients of Strategic Income Group is individuals with 317 clients and $84.19 million of assets under management. Among the 9 most similar advisory firms, Strategic Income Group has the 2nd highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $138.76 million for 343 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.

Strategic Income Group also advises several private funds. Namely, one hedge fund. The minimum investment commitment required of non-related persons is $25,000 for each fund.

Careers at Strategic Income Group LLC

The company employs 5 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 5 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
Gauthier Holdings Llc Manager & managing member 1 Feb 2008 75% - 100% 51-0672433
Michael J. Gauthier Ceo & chief compliance officer 1 Jan 2013 Other 4207686
Gauthier Holdings Llc Manager & managing member 1 Mar 2013 75% - 100% 51-0672433
Michael John Gauthier Ceo & chief compliance officer 1 Mar 2013 Other 4207686
Michael J. Gauthier Ceo & chief compliance officer 1 Mar 2013 Other 4207686

Indirect Owners

The SEC currently registers 2 indirect owners.

Name Entity Date acquired Ownership Employer ID
The Gauthier Family Trust Managing member 1 Feb 2008 75% - 100% xxx-xx-xxxx
Kristi Lee Gauthier Owner 1 Mar 2013 50% - 75% 4665345

Based in Chandler

The principal office where Strategic Income Group LLC performs its advisory services is located at 2330 W. Ray Road, Chandler, AZ 85224, which is also the mailing address of the firm. An additional office of the firm is in Peoria, AZ. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 480-466-7070. The normal business hours are 730am-430pm on Monday - Friday. You can find more information about the New York firm at strategicincomegroup.com and its LinkedIn profile.