{"url":"https://nivawealth.com/firms/vantage-financial-group-105950","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/105950","regulatoryAum":866856459,"crd":"105950","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6347040","suffix":null,"lastName":"AERNI","firstName":"CHAD","middleName":"W"},{"crd":"4939373","suffix":null,"lastName":"ANDERSON","firstName":"COLIN","middleName":"ORMSBY"},{"crd":"1322096","suffix":null,"lastName":"ARNOLD","firstName":"KEMPER","middleName":"DAVID"},{"crd":"2445816","suffix":null,"lastName":"BEARDUCCI","firstName":"MICHAEL","middleName":"THOMAS"},{"crd":"4546592","suffix":null,"lastName":"CAMDEN","firstName":"KURT","middleName":"RYAN"},{"crd":"4287660","suffix":null,"lastName":"CHILDS","firstName":"SOLOMON","middleName":"MICHAEL"},{"crd":"1816212","suffix":null,"lastName":"CLEARY","firstName":"MICHAEL","middleName":"FRANCIS"},{"crd":"1669209","suffix":null,"lastName":"HANSLEY","firstName":"KEVIN","middleName":"FREDERICK"},{"crd":"2009933","suffix":null,"lastName":"HENYEY","firstName":"JAMES","middleName":"FREDRICK"},{"crd":"7825677","suffix":null,"lastName":"Hunt","firstName":"Matthew","middleName":"Thomas"},{"crd":"1058679","suffix":null,"lastName":"JUDD","firstName":"JAMES","middleName":"ORDELL"},{"crd":"5142815","suffix":null,"lastName":"MAXEL","firstName":"MARGARET","middleName":"SUZANNE"},{"crd":"5252229","suffix":null,"lastName":"PAGNARD","firstName":"JUSTIN","middleName":"K"},{"crd":"6374541","suffix":null,"lastName":"PARRIS","firstName":"BRIAN","middleName":"GREGORY"},{"crd":"4298928","suffix":null,"lastName":"SCHMOTZER","firstName":"THERESA","middleName":"ANN"},{"crd":"2427767","suffix":"III","lastName":"SMITH","firstName":"GEORGE","middleName":"DANIEL"},{"crd":"3143883","suffix":null,"lastName":"SOLTIS","firstName":"JENNIFER","middleName":"LYNN"},{"crd":"2012087","suffix":null,"lastName":"SPIELDENNER","firstName":"STEVEN","middleName":"JOHN"},{"crd":"4893390","suffix":null,"lastName":"STANLEY","firstName":"AARON","middleName":"HOWARD"},{"crd":"1206090","suffix":null,"lastName":"STEINBERG","firstName":"DANIEL","middleName":"NATHAN"},{"crd":"839775","suffix":"JR","lastName":"WITT","firstName":"WILLIAM","middleName":"CHARLES"},{"crd":"6748938","suffix":null,"lastName":"Zurawski","firstName":"Scott","middleName":"Anthony"}],"total":22,"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":"2021-03-04","regulatoryAum":645817290,"clients":2354,"employees":65,"offices":10},{"filedOn":"2022-04-12","regulatoryAum":772865255,"clients":2642,"employees":57,"offices":9},{"filedOn":"2023-05-01","regulatoryAum":629952759,"clients":2408,"employees":59,"offices":6},{"filedOn":"2024-07-09","regulatoryAum":720283992,"clients":2461,"employees":63,"offices":6},{"filedOn":"2025-03-13","regulatoryAum":793502265,"clients":2546,"employees":61,"offices":6},{"filedOn":"2026-03-30","regulatoryAum":866856459,"clients":2521,"employees":60,"offices":7}],"secFileNumber":"801-33485","legalName":"Vantage 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They include 1,664 individual clients, 818 high-net-worth individuals, and 20 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Vantage Financial Group offer?","answer":"Vantage Financial Group provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and pension consulting.","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 Vantage Financial Group charge?","answer":"Vantage Financial Group charges 1.00%–2.25% for its Portfolio management services. The brochure does not state whether the rate is annual. Each asset band is charged at its own rate. The fee is billed in advance or in arrears and is negotiable.","source":"VANTAGE FINANCIAL GROUP, INC. ADV BROCHURE, filed 30 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Vantage Financial Group use?","answer":"Vantage Financial Group’s separately managed account assets are held at Pershing LLC (Jersey City, NJ), with $867M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Vantage Financial Group have?","answer":"Vantage Financial Group has 22 investment adviser representatives registered with state securities authorities, out of 60 employees, and 22 perform investment advisory functions. 34 employees are registered representatives of a broker-dealer and 39 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 Vantage Financial Group invest in?","answer":"At the end of its last fiscal year, Vantage Financial Group’s separately managed accounts held 83% registered funds (mutual funds, ETFs, BDCs), 10% exchange-traded equities, 3% investment grade corporate bonds, 3% cash and equivalents and 1% U.S. government and agency bonds.","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 Vantage Financial Group?","answer":"Vantage Financial Group’s direct owners are William McCormick (50% to 75%), Suzanne Aerni (5% to 10%), Michelle Bearducci (5% to 10%), Michael Bearducci (5% to 10%), Michael Cleary (5% to 10%) and George Smith (5% to 10%).","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Vantage Financial Group get paid?","answer":"Vantage Financial Group is paid through a percentage of assets under management, hourly charges, fixed fees and commissions. Its Form ADV lists no 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 Vantage Financial Group?","answer":"Vantage Financial Group’s main office is at 6200 Rockside Road, Cleveland, OH 44131. Its phone number is 216-642-7878.","source":"Form ADV Part 1A, Item 1.F, filed 30 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."}