{"url":"https://nivawealth.com/firms/strategic-income-group-165839","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/165839","regulatoryAum":362407752,"crd":"165839","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4280235","suffix":null,"lastName":"ALCOS","firstName":"KERI","middleName":"ANN"},{"crd":"2214974","suffix":null,"lastName":"CORTEZ","firstName":"MARTHA","middleName":null},{"crd":"4207686","suffix":null,"lastName":"GAUTHIER","firstName":"MICHAEL","middleName":"JOHN"},{"crd":"5480769","suffix":null,"lastName":"MANBERG","firstName":"CHARLES","middleName":"M"},{"crd":"2320697","suffix":null,"lastName":"SIMONS","firstName":"LAURIE","middleName":"KAY"}],"total":5,"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":"2021-03-17","regulatoryAum":204705575,"clients":329,"employees":5,"offices":3},{"filedOn":"2022-03-04","regulatoryAum":280548570,"clients":339,"employees":5,"offices":3},{"filedOn":"2023-04-27","regulatoryAum":280865607,"clients":351,"employees":6,"offices":2},{"filedOn":"2024-05-02","regulatoryAum":316200677,"clients":361,"employees":6,"offices":2},{"filedOn":"2025-07-07","regulatoryAum":354914578,"clients":371,"employees":9,"offices":2},{"filedOn":"2026-06-12","regulatoryAum":362407752,"clients":368,"employees":5,"offices":2}],"secFileNumber":"801-108752","legalName":"Strategic Income Group LLC","displayName":"Strategic Income Group","slug":"strategic-income-group-165839","website":"https://strategicincomegroup.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/165839/7476ae7d9a13f551-r1.webp","tone":"light","width":981,"height":200,"sourceUrl":"https://strategicincomegroup.com/","sourceLabel":"Strategic Income Group LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/strategic-income-group/","founded":"2013","organization":"Arizona limited liability company","fiscalYearEnd":"December","headquarters":{"street":"2330 W. Ray Road, Suite 3","city":"Chandler","state":"AZ","stateName":"Arizona","country":"United States","postalCode":"85224"},"tradeNames":[],"registration":{"secApproved":"12 December 2016","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":852491.0163934426,"staff":{"employees":5,"advisory":4,"brokerDealerReps":0,"insuranceAgents":4,"promoters":0},"aum":{"regulatory":362407752,"discretionary":354622752,"discretionaryAccounts":1207,"nonDiscretionary":7785000,"nonDiscretionaryAccounts":4,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":346,"regulatoryAum":243624306},{"label":"High-net-worth individuals","clients":20,"regulatoryAum":68387406},{"label":"Pooled investment vehicles","clients":2,"regulatoryAum":42611040},{"label":"Pension and profit-sharing plans","clients":null,"fewerThan5":true,"regulatoryAum":7785000}],"feePrograms":[{"role":"main","program":"Strategic Wealth Management","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019469","versionId":1019469,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-16","documentName":"SIG - ADV PART 2A FIRM BROCHURE","fee_rate_low":0.45,"fee_rate_high":1.75,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"529 Plan Consulting","summary":"One-time fee of $250 per account; no ongoing fee based on assets.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019469","versionId":1019469,"submittedOn":"2026-03-16","documentName":"SIG - ADV PART 2A FIRM BROCHURE"},{"role":"other","program":"Estate Planning","summary":"Fees by service level: $200 to review an existing plan, $1,095 ($1,295 for non-clients) for a will-based plan, $1,695 ($1,895 for non-clients) for a trust-based plan.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019469","versionId":1019469,"submittedOn":"2026-03-16","documentName":"SIG - ADV PART 2A FIRM BROCHURE"},{"role":"other","program":"Retirement Plan Consulting","summary":"Hourly up to $250, flat fees from $750 to $10,000, or a percentage of plan assets not exceeding 1.5%.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019469","versionId":1019469,"submittedOn":"2026-03-16","documentName":"SIG - ADV PART 2A FIRM BROCHURE"},{"role":"other","program":"SIG Financial Planning Program","summary":"Fixed monthly fee by household assets: $3,675 a year under $60,000 down to $525 a year for $180,000 to $240,000, none above $240,000; flat fee up to $10,000 for one-time projects; hourly up to $500.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019469","versionId":1019469,"submittedOn":"2026-03-16","documentName":"SIG - ADV PART 2A FIRM BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T09:47:17.509659+00:00","documents":[{"name":"SIG - ADV PART 2A FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019469","versionId":1019469,"submittedOn":"2026-03-16"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":300952876},{"name":"Inspira Financial Trust, LLC","shortName":"Inspira Financial Trust","location":"Oak Brook, IL","smaAssets":42611040}],"custodyNote":"Strategic Income Group has custody of $292M in client assets for 302 clients.","otherCustodians":[],"leadership":[{"name":"Michael Gauthier","title":"CEO & Chief Compliance Officer","crd":"4207686"}],"ownership":[{"label":"Gauthier Holdings LLC","detail":"Manager & managing member in the 75% or more ownership band and a control person, since March 2013."},{"label":"The Gauthier Family Trust","detail":"Indirect owner: a managing member of Gauthier Holdings LLC in the 75% or more band and a control person, since February 2008.","parent":"Gauthier Holdings LLC"},{"label":"Michael Gauthier","detail":"Indirect owner: a owner of The Gauthier Family Trust in the 50% to 75% band and a control person, since March 2013.","parent":"The Gauthier Family Trust"},{"label":"Kristi Gauthier","detail":"Indirect owner: a owner of The Gauthier Family Trust in the 50% to 75% band and a control person, since March 2013.","parent":"The Gauthier Family Trust"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Arizona","offices":2,"addresses":[{"street":"2330 W. Ray Road, Suite 3","city":"Chandler","headquarters":true},{"street":"20542 N. Lake Pleasant RD","city":"Peoria"}]}],"brochureServices":["business succession planning","education planning","estate planning","insurance","philanthropic planning","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"480-466-7070","stateRegisteredReps":5,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for pooled investment vehicles (other than investment companies)","Pension consulting services","Selection of other advisers (including private fund managers)","Publication of periodicals or newsletters","Educational seminars/workshops"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":27},{"label":"U.S. government/agency bonds","percent":1},{"label":"Sovereign bonds","percent":4},{"label":"Securities issued by registered investment companies or business development companies","percent":41},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":14},{"label":"Cash and cash equivalents","percent":13}],"privateFunds":2},"sources":{"adv1FilingDate":"12 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/165839/PDF/165839.pdf","brochureDate":"16 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019469","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 Strategic Income Group have?","answer":"Strategic Income Group has 368 clients and manages $362 million for them, as of June 2026. They include 346 individual clients, 20 high-net-worth individuals and 2 pooled investment vehicles.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 12 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Strategic Income Group offer?","answer":"Strategic Income Group provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, pension consulting, selecting other managers, publishing newsletters, educational seminars, business succession planning, education planning, estate planning, insurance, philanthropic planning, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Strategic Income Group charge?","answer":"Strategic Income Group charges 0.45%–1.75% a year for its Strategic Wealth Management. The fee is billed in advance and is negotiable.","source":"SIG - ADV PART 2A FIRM BROCHURE, filed 16 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Strategic Income Group use?","answer":"Strategic Income Group’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $301M and Inspira Financial Trust, LLC (Oak Brook, IL), with $42.6M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 12 June 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Strategic Income Group have?","answer":"Strategic Income Group has 5 investment adviser representatives registered with state securities authorities, out of 5 employees, and 4 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 4 employees are licensed insurance agents.","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 Strategic Income Group invest in?","answer":"At the end of its last fiscal year, Strategic Income Group’s separately managed accounts held 41% registered funds (mutual funds, ETFs, BDCs), 27% exchange-traded equities, 14% pooled vehicles (private funds and similar), 13% cash and equivalents, 4% sovereign bonds and 1% U.S. government and agency bonds. It advises 2 private funds.","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 Strategic Income Group?","answer":"Strategic Income Group is owned through a chain of holding companies by Michael and Kristi Gauthier. Its direct owner is Gauthier Holdings LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 12 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Strategic Income Group get paid?","answer":"Strategic Income Group is paid through a percentage of assets under management, hourly charges and fixed fees. 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 Strategic Income Group?","answer":"Strategic Income Group’s main office is at 2330 W. Ray Road, Suite 3, Chandler, AZ 85224. Its phone number is 480-466-7070. Its website is strategicincomegroup.com.","source":"Form ADV Part 1A, Item 1.F, filed 12 June 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."}