{"url":"https://nivawealth.com/firms/investment-managers-group-164203","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/164203","regulatoryAum":116757023,"crd":"164203","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4474917","suffix":null,"lastName":"KAY","firstName":"ALLEN","middleName":"MICHAEL"},{"crd":"5443829","suffix":null,"lastName":"KAY","firstName":"TIMOTHY","middleName":"JAMES"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"secFileNumber":"801-134578","legalName":"Investment Managers Group, LLC","displayName":"Investment Managers Group","slug":"investment-managers-group-164203","website":"https://investmentmanagersgroup.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"31045 Temecula Parkway, Suite 207","city":"Temecula","state":"CA","stateName":"California","country":"United States","postalCode":"92592"},"tradeNames":[],"registration":{"secApproved":"18 November 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":478512.3893442623,"staff":{"employees":2,"advisory":2,"brokerDealerReps":1,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":116757023,"discretionary":0,"discretionaryAccounts":0,"nonDiscretionary":116757023,"nonDiscretionaryAccounts":528,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":184,"regulatoryAum":36244802},{"label":"High-net-worth individuals","clients":60,"regulatoryAum":80512221}],"feePrograms":[{"role":"main","program":"Comprehensive Portfolio Management","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1023587","versionId":1023587,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-23","documentName":"ADV PART 2A FIRM BROCHURE","fee_rate_low":null,"fee_rate_high":2.25,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T14:32:23.249653+00:00","documents":[{"name":"ADV PART 2A FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1023587","versionId":1023587,"submittedOn":"2026-03-23"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":116757023}],"custodyNote":"Investment Managers Group has custody of $30.8M in client assets for 132 clients.","otherCustodians":[],"leadership":[{"name":"Timothy Kay","title":"Managing Member & Chief Compliance Officer","crd":"5443829"}],"ownership":[{"label":"Timothy Kay","detail":"Managing member & chief compliance officer in the 75% or more ownership band and a control person, since May 2012."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"31045 Temecula Parkway, Suite 207","city":"Temecula","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"951-225-3260","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":23},{"label":"U.S. government/agency bonds","percent":6},{"label":"U.S. state and local bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":58},{"label":"Cash and cash equivalents","percent":7},{"label":"Other","percent":5,"detail":"Certificates of Deposit"}],"privateFunds":0},"sources":{"adv1FilingDate":"23 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/164203/PDF/164203.pdf","brochureDate":"23 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1023587","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Investment Managers Group have?","answer":"Investment Managers Group has 244 clients and manages $117 million for them, as of March 2026. They include 184 individual clients and 60 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 23 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Investment Managers Group offer?","answer":"Investment Managers Group provides portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Investment Managers Group charge?","answer":"Investment Managers Group charges up to 2.25% a year for its Comprehensive Portfolio Management. The fee is billed in advance and is negotiable.","source":"ADV PART 2A FIRM BROCHURE, filed 23 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Investment Managers Group use?","answer":"Investment Managers Group’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $117M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 23 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Investment Managers Group have?","answer":"Investment Managers Group has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. 1 employee is a registered representative of a broker-dealer and 1 employee is a licensed insurance agent.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Investment Managers Group invest in?","answer":"At the end of its last fiscal year, Investment Managers Group’s separately managed accounts held 58% registered funds (mutual funds, ETFs, BDCs), 23% exchange-traded equities, 7% cash and equivalents, 6% U.S. government and agency bonds, 5% other and 1% state and local bonds. The 5% other category is described as: Certificates of Deposit.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Investment Managers Group?","answer":"Investment Managers Group’s direct owner is Timothy Kay (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 23 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Investment Managers Group get paid?","answer":"Investment Managers Group is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Investment Managers Group?","answer":"Investment Managers Group’s main office is at 31045 Temecula Parkway, Suite 207, Temecula, CA 92592. Its phone number is 951-225-3260. Its website is investmentmanagersgroup.com.","source":"Form ADV Part 1A, Item 1.F, filed 23 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}