March 1st, 2022
The Ivy League Advisory Group, registered in 2014, serves 2 state(s) with a licensed staff of 2 advisors. The Ivy League Advisory Group manages $19.9 million and provides investment advisory services for 180 clients (1:90 advisor/client ratio).
|Average Client Balance||$110,614|
|Total AUM||$19.9 million|
|Advisor / Client Ratio||1:90|
|Specialities||Retirement Planning, Estate Planning, Business Owners, Retirees|
|SEC Filings||View SEC IAPD CRD #172730|
The cornerstone of our investment philosophy is a commitment to protect and enhance our clients’ wealth over time in a conservative and prudent manner. Our objective is to achieve these results without taking excessive risk. We are especially keen to preserve capital in those periods when the markets are declining.
After checking the disciplinary records of The Ivy League Advisory Group, our system found no disciplinary questions to ask. Checks take place monthly.
After checking the regulatory records of The Ivy League Advisory Group, our system has identified the following question(s) to ask. Learn more.
Currently The Ivy League Advisory Group actively practices as insurance brokers or agents, or they are affiliated with an insurance company or agency. This arrangement creates a conflict where the firm and its representatives may be motivated to insure clients with products, including annuities and life insurance, that generate high sales commissions when lower-cost alternatives may exist.
The Ivy League Advisory Group has marked in their disclosures that they trade recommended securities. While this often can be seen as "eating your own cooking," there are several inherent conflicts that can arise. For example, front running is when a financial professional buys or sell securities ahead of their client. In short, any financial professional should disclose all positions they hold (or have sold short) that they will also be recommending to you.
Our system found no other conflict questions to ask. Checks take place monthly.
An important aspect of the Trust Algorithm is processing the SEC Form ADV Part 1 filing of each Registered Investment Advisor (RIA). “Item 11 Disclosure Information” contains a list of valuable disclosures that are relevant for Americans.
As identified in SEC Form ADV Part 1, Item 11 “Disclosure Information”, the Trust Algorithm identified the following disciplinary disclosures for The Ivy League Advisory Group:
|Activity Restriction – SRO||No|
|Attorney/Accountant Authorization Revocation – SRO||No|
|Business License Revocation – SRO||No|
|Business License Revocation - SEC/CFTC||No|
|Business License Revocation - Other Regulatory Agencies||No|
|Dismissal upon Settlement – Court||No|
|Investment-Related Prohibition - Court||No|
|False Statements or Omissions – SRO||No|
|False Statements or Omissions - Other Regulatory Agencies||No|
|False Statements or Omissions - SEC/CFTC||No|
|Monetary Penalty - SEC/CFTC||No|
|Order Entered - SEC/CFTC||No|
|Order Entered - Other Regulatory Agencies||No|
|Regulation Violations - SEC/CFTC||No|
|Regulation Violations - Other Regulatory Agencies||No|
|Regulation Violations – SRO||No|
Unfortunately, there is no single, uniform pricing standard for working with a financial advisor. Catchphrases, including "fee-only," can be helpful; however, Americans often get confused with competitors promoting "fee-based" in response.
Ultimately, to understand the underlying costs of advisory services, we always recommend asking for an itemized fees breakdown and reading the firm's ADV Part 2 Brochure (Item 5, "Fees and Compensation").
|Insurance Agent Conflict - Affiliation||No|
|Insurance Agent Conflict - Firm||Yes|
|Private Investment Management||No|
|Trades Recommended Securities||Yes|
As a financial advisory firm, The Ivy League Advisory Group can provide a variety of financial planning services for Americans. Financial advisors help you achieve your life goals, e.g., saving for retirement, by creating a comprehensive financial plan and managing your investment portfolio (e.g., stocks, ETFs, mutual funds, bonds).
Financial planning services can include tax planning, estate planning, retirement planning, or life-based event planning such as saving for college, getting married, purchasing a home, paying down debt, or planning an inheritance.
The Ivy League Advisory Group is headquartered in Tilton, NH and currently serves in 2 states: New Hampshire, Vermont.
While The Ivy League Advisory Group advises clients across a variety of portfolio sizes, the average client balance is currently $110,614. In total, The Ivy League Advisory Group manages $19,910,602 in assets.
Neither the SEC nor FINRA tracks portfolio performance metrics for the financial planning industry. As a result, unlike hedge funds, there is no historical performance for any financial advisory firm. Financial plans and investment portfolios are always unique to the client's personal financial situation.
investor.com relies on regulatory data from the SEC to rate and review financial advisor firms. As a result, we do not support personal reviews on the site. To file a complaint or dispute with this firm, please fill out the SEC Investor Complaint Form.
This automated report was generated using SEC and FINRA data and was last updated on March 1st, 2022*. For data support, email "firstname.lastname@example.org". Views: 342 (trailing six months). Firms that receive a 4.5 or 5-star rating are considered Trusted by investor.com. Learn more.