Wealthguard Advisory Group, LLC (Alpharetta)


Wealthguard Advisory Group, LLC is a large advisory firm based in Alpharetta. It manages $125.45 million of regulatory assets for 212 client accounts. It has been registered with the SEC as an adviser since 2017 and has operated in the jurisdiction of Georgia.

Wealthguard Advisory Group provides financial planning services, portfolio management for individuals and small businesses, and selection of other advisers. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Wealthguard Advisory Group: assets under management

The assets under management (AUM) of Wealthguard Advisory Group, LLC is $125.45 million. The firm's AUM has grown by 12% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $120.22 million in discretionary accounts and $5.23 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $589.33 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $653.63 thousand.

Investments

The firm invests in investment and business development companies the most. They account for 90% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 5% of the firm’s portfolio. Investments in state and local bonds form 3% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Wealthguard Advisory Group, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Wealthguard Advisory Group serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, and corporations or other businesses. The largest group of clients of Wealthguard Advisory Group is high net worth individuals with 27 clients and $76.3 million of assets under management. Among the 9 most similar advisory firms, Wealthguard Advisory Group has the 3rd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $125.45 million for 86 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.

Wealthguard Advisory Group doesn't advise any private funds.

Careers at Wealthguard Advisory Group, LLC

The company employs 2 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person 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
P.C. John L. Williams Iii Owner 1 May 1990 75% - 100% 58-2148324
John Lile Williams Cco 1 Feb 1999 Other 3227126
Llc Williams Horning & Company Member 1 Jan 2004 25% - 50% 58-2432823

Indirect Owners

The SEC currently registers 1 indirect owner.

Name Entity Date acquired Ownership Employer ID
Joshua John Podczervinski Partner of williams, horning & company, llc 1 Jan 2007 Other 5811713

Based in Alpharetta

The principal office where Wealthguard Advisory Group, LLC performs its advisory services is located at 4015 Nine Mcfarland Drive, # 150, Alpharetta, GA 30004, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 770-667-1177 or by fax 770-667-0774. The normal business hours are 9 am to 5 pm on Monday - Friday. You can find more information about the New York firm at wealthguardadvisory.com.