{"url":"https://nivawealth.com/firms/patrick-financial-group-124610","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/124610","regulatoryAum":170440000,"crd":"124610","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"8338111","suffix":null,"lastName":"Casey","firstName":"Liam","middleName":"Frederick"},{"crd":"6058784","suffix":null,"lastName":"PELON","firstName":"JOHN","middleName":"BRENNER"}],"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"},"history":[{"filedOn":"2021-03-24","regulatoryAum":176581273,"clients":692,"employees":2,"offices":1},{"filedOn":"2022-04-26","regulatoryAum":168275320,"clients":673,"employees":3,"offices":1},{"filedOn":"2023-03-16","regulatoryAum":144770417,"clients":651,"employees":2,"offices":1},{"filedOn":"2024-03-27","regulatoryAum":132418405,"clients":879,"employees":2,"offices":1},{"filedOn":"2025-03-27","regulatoryAum":144253460,"clients":589,"employees":2,"offices":1},{"filedOn":"2026-03-31","regulatoryAum":170440000,"clients":607,"employees":2,"offices":1}],"secFileNumber":"801-80932","legalName":"Patrick Financial Group, L.L.C.","displayName":"Patrick Financial Group","slug":"patrick-financial-group-124610","website":"https://patrickfinancialgroup.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Michigan limited liability company","fiscalYearEnd":"December","headquarters":{"street":"Millpond Parke Office Building, 824 West Grand River Avenue","city":"Brighton","state":"MI","stateName":"Michigan","country":"United States","postalCode":"48116"},"tradeNames":[],"registration":{"secApproved":"2 February 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BROCHURE","fee_rate_low":1.4,"fee_rate_high":1.4,"fee_negotiable":true,"minimum_account":50000,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T12:44:11.048328+00:00","documents":[{"name":"PATRICK FINANCIAL GROUP BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1037054","versionId":1037054,"submittedOn":"2026-03-31"}]},"custodians":[],"custodyNote":"Patrick Financial Group does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"John Pelon","title":"President","crd":"6058784"},{"name":"Anne Lezotte","title":"Chief Compliance Officer","crd":"5071528"}],"ownership":[{"label":"Accounting & Tax Services, Inc.","detail":"Member in the 75% or more ownership band and a control person, since January 2022."},{"label":"James Sullivan","detail":"Indirect owner: a ceo of Accounting & Tax Services, Inc. in the 75% or more band, since January 2022.","parent":"Accounting & Tax Services, Inc."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Michigan","offices":1,"addresses":[{"street":"Millpond Parke Office Building, 824 West Grand River Avenue","city":"Brighton","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"810-225-9876","stateRegisteredReps":1,"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":88},{"label":"Securities issued by registered investment companies or business development companies","percent":10},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"31 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/124610/PDF/124610.pdf","brochureDate":"31 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1037054","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 Patrick Financial Group have?","answer":"Patrick Financial Group has 607 clients and manages $170 million for them, as of March 2026. They include 603 individuals and 4 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Patrick Financial Group offer?","answer":"Patrick Financial 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 Patrick Financial Group charge?","answer":"Patrick Financial Group charges 1.40% a year for its Investment management fee. The fee is billed in arrears, is negotiable and requires an account of at least $50,000.","source":"PATRICK FINANCIAL GROUP BROCHURE, filed 31 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"How many financial advisors does Patrick Financial Group have?","answer":"Patrick Financial Group has 1 investment adviser representative registered with state securities authorities, out of 2 employees, and 1 perform investment advisory functions. 0 employees are registered representatives 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 Patrick Financial Group invest in?","answer":"At the end of its last fiscal year, Patrick Financial Group’s separately managed accounts held 88% exchange-traded equities, 10% registered funds (mutual funds, ETFs, BDCs) and 2% cash and equivalents.","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":"Does Patrick Financial Group have a minimum investment?","answer":"Yes, Patrick Financial Group’s minimum account size for its Investment management fee is $50K.","source":"PATRICK FINANCIAL GROUP BROCHURE, filed 31 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Patrick Financial Group?","answer":"Patrick Financial Group is owned through a holding company by James Sullivan. Its direct owner is Accounting & Tax Services, Inc. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Patrick Financial Group get paid?","answer":"Patrick Financial 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 Patrick Financial Group?","answer":"Patrick Financial Group’s main office is at Millpond Parke Office Building, 824 West Grand River Avenue, Brighton, MI 48116. Its phone number is 810-225-9876. Its website is patrickfinancialgroup.com.","source":"Form ADV Part 1A, Item 1.F, filed 31 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."}