Invicta Financial Group

CRD#288008
Investment Advisor Firm

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Overview

Invicta Financial Group is a financial advisor firm located in Yuma, Arizona. The firm oversees $260.1 million in total assets across 1,402 client accounts, placing it in the mid-tier of investment advisory firms in the country by assets under management (AUM). It has a small team, including 9 financial advisors. Invicta Financial Group is not a registered broker-dealer, meaning the firm cannot buy and sell securities for its accounts and those of its clients and instead must go through a broker-dealer firm to do so. Securities are tradable financial assets such as options, bonds and stocks.

Invicta Financial Group administers none of the company's client assets in a discretionary manner. Discretionary management means that an investment advisor has the discretion to make buy and sell judgments without needing to seek client approval. The firm also oversees 1,402 non-discretionary accounts with a total of $260.1 million in AUM. The advisory firm's average account size is $185,485. An average financial advisor at Invicta Financial Group administers about 156 client accounts.

The company's central office is at 2615 East 24Th Street, Yuma, Arizona 85365. The company is legally permitted to serve clients throughout a number of states, including Arizona, California, Florida, Iowa, Louisiana, Nevada, North Carolina, Texas, Virginia and Washington.

Assets Under Management

$260.1 million

Number of Advisors

9

Disclosures

No

Office Location

2615 East 24Th Street
Yuma, AZ 85365

Invicta Financial Group by the Numbers

Total Assets Under Management

$260.1 million

National Average: $9.0 billion
Total Number of Employees

10

National Average: 71,771
Total Number of Accounts

1,402

National Average: 4,329
Average Account Size

$185.5 thousand

National Average: $2.1 million

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Products and Services

Invicta Financial Group offers a variety of financial services, including financial planning services, selection of other advisers and other services. In the last fiscal year, it provided financial planning services to 251-500 of its accounts. The firm does not sell products or offer services other than investment advisory services to its investment advisory accounts. The firm is also affiliated with one or more other service providers in the financial services industry, including with an insurance company or agency and real estate broker or dealer.

Core Advisor Services

  • Offered by 31% of firms

    Financial Planning Services

    This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

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    Portfolio Management

    This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

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    Market Timing Services

    This is the practice of attempting to make short-term profits on investments by buying low and selling high.

Other Services

  • Offered by 21% of firms

    Selection of Other Advisors

    This is the firm's assistance with choosing other advisors to work with who may have different specialties.

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    Publication of Periodicals

    This is the publication of various financial education materials.

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    Educational Seminars/Workshops

    This is the hosting of seminars or workshops to educate investors on financial concepts.

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Fee Structure

Financial advisory fees usually depend on which services the firm provides the client. However, fee types charged by Invicta Financial Group may include any blend of the following fee structures: fixed or other. Invicta Financial Group does not provide a wrap fee program, in which the company offers a service bundle for a single fee.

Available

  • Offered by 33% of firms

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

  • Offered by 10% of firms

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

Unavailable

  • Find one of the 70% of firms that offer this fee type

    Percentage of Assets

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    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Find one of the 21% of firms that offer this fee type

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Find one of the 1% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 26% of firms that offer this fee type

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

  • Find one of the 0% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

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Types of Clients

The company caters to retail investors and high net worth investors. Out of its 1,402 customers, Invicta Financial Group's largest client type by number of accounts is retail investors, although it also serves 159 high-net-worth individuals. The SEC defines a high-net-worth individual as an individual who has at least $750,000 in AUM or a net worth of at least $1.50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the company's clients are from outside of the U.S.

  • High-Net-Worth Individuals* - 33.33%
  • Other Individuals - 66.67%
  • Corporations - 0%
  • Charitable Organizations - 0%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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Disclosures

Invicta Financial Group does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Invicta Financial Group

Sandi Goldhamer
Yuma, AZ
Doyel Price
Yuma, AZ
Leigh Harns
Coronado, CA
Howard Barker
San Diego, CA
Scott Hull
Yuma, AZ
Barry Todd
Yuma, AZ
Blake Morlet
Temecula, CA
George Stratmann
San Diego, CA

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The content in this profile was updated by SmartAsset on 04/01/2022 using publicly available data compiled from the SEC and FINRA. To report any data inconsistencies or errors, please contact profile-compliance@smartasset.com.

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