Invicta Financial Group

CRD#288008
Investment Advisor Firm

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Overview

Invicta Financial Group is a financial advisory company that has its headquarters in Yuma, Arizona. It administers $104.0 million in total assets across 1,131 customer accounts, placing it in the mid-tier of financial advisory firms in the country by assets under management (AUM). The company has a small group of nine employees, of which eight are financial advisors. Invicta Financial Group is not a registered broker-dealer, meaning the company cannot buy and sell securities for its accounts and those of its customers and instead is required to go through a broker-dealer firm to do so. Securities are defined as exchangable financial investments like options, stocks and bonds.

Invicta Financial Group administers none of the firm's client assets on a discretionary basis. Discretionary management is a structure in which a portfolio manager has the discretion to make buy and sell choices for the client's account without requiring the customer's authorization. The company also oversees 1,131 non-discretionary accounts with a total of $104.0 million in assets under management. The investment advisory firm oversees an average of $91,954 for each account. An average advisor at Invicta Financial Group administers around 141 client accounts.

Invicta Financial Group's main office is at 2615 East 24Th Street, Yuma, Arizona 85365. It is legally registered to provide services to investors across a few states, including Arizona, California, Florida, Iowa, Louisiana, Nevada, North Carolina, Texas, Virginia and Washington.

Assets Under Management

$104.0 million

Number of Advisors

8

Disclosures

No

Office Location

2615 East 24Th Street
Yuma, AZ 85365

Invicta Financial Group by the Numbers

Total Assets Under Management

$104.0 million

National Average: $3.7 billion
Total Number of Employees

9

National Average: 29
Total Number of Accounts

1,131

National Average: 2,073
Average Account Size

$92.0 thousand

National Average: $1.8 million

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Products and Services

Invicta Financial Group provides a number of services, including financial planning services, selection of other advisers and other services. In the past fiscal year, it provided financial planning services to 251-500 of its customers. The firm is not involved in selling products or offering services aside from investment advisory services to its investment advisory clients. The company 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 45% 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 23% 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

Fees charged by financial advisors typically depend on the type of services provided. Fee types charged by the firm may include the following fee structures: fixed or other. The firm does not provide a wrap fee program, in which the company offers a service bundle for a comprehensive fee.

Available

  • Offered by 40% 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 12% 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 74% 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 35% 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 2% of firms that offer this fee type

    Commissions

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    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.

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    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 1% 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

It provides services to retail investors and high net worth investors. Out of its 1,131 customers, Invicta Financial Group's largest client is retail investors, but it also caters to 77 high-net-worth individuals. A high-net-worth individual is defined by the SEC as an investor who has at least $750,000 under management 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 its accounts are represented by non-U.S. persons.

  • High-Net-Worth Individuals* - 21.94%
  • Other Individuals - 78.06%
  • 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

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

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The content in this profile was updated by SmartAsset on 08/06/2020 using publicly available data compiled from the SEC and FINRA. To report any data inconsistencies or errors, please contact profile-compliance@smartasset.com. The named financial professional and firm have not reviewed, approved, or endorsed this profile and are not responsible for its accuracy. Profile content is produced by SmartAsset independently of any business relationships that might exist between SmartAsset and the named financial professional and firm, and financial professionals and firms having business relationships with SmartAsset receive no special treatment or consideration in SmartAsset’s profiles.

This page contains links to SmartAsset’s financial advisor matching tool, which may or may not match you with the advisor or firm mentioned in this profile. The matching tool does not include all available advisors and firms and matches based on specific criteria (investable assets, geography, and willingness to work with a remote advisor).

Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.