ASG Investment Management, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$234,818,792
Total clients
619
10% high-net worth
Total advisors
2
of 9 employees
Firm size
Supported
1-3 advisors or $200M+ in AUM
Average clients per advisor
310
Average account size
$379,352
About
ASG Investment Management LLC provides investment management and financial planning to individuals (including high‑net‑worth clients) and some business clients, delivering portfolio management primarily through third‑party managers available on the AssetMark turnkey platform. The firm also prepares written financial plans and one‑time consultations, and offers public seminars and workshops and a limited adviser‑managed account option for select clients.
ASG’s day‑to‑day approach centers on selecting and monitoring third‑party managers and Platforms, conducting ongoing due diligence, and acting as the communication conduit between clients, the Platform, and the managers while custodians retain physical custody of assets. The brochure notes the firm offers impersonal seminars and workshops to the public and organizations and provides certain financial planning services at no additional charge to its asset‑management clients.
Noteworthy distinctions include the firm’s scale relative to adviser headcount — approximately $235 million of regulatory assets under management across 619 clients and two advisers — which corresponds with a heavier reliance on Platform and TPM workflows to serve a large client base. The firm is affiliated with an insurance agency whose representatives may sell insurance and annuity products in a separate capacity (a disclosed conflict of interest), and it operates an Ambassador referral program that provides small gifts to clients who refer new clients.
Client services
Fee options
Fixed fee for financial planning generally $2,000; modular plans and individual services with fees (e.g., Retirement Planning $1,000, Income Planning $500, Distribution Planning $500)
$1.00 - $750,000: 1.00% $750,001 - $1,500,000: 0.90% $1,500,001 - $2,000,000: 0.75% $2,000,001+: Negotiable
Commissions received from insurance and annuity products sold by investment adviser representatives acting as insurance agents
$200 per hour for financial planning services
Account minimum: $1.00 Fee-only: Financial planning fixed fee generally $2,000; hourly rate $200/hour for financial planning services
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Main office location
ASG Investment Management, LLC
831 Evans City Rd
Renfrew PA 16053, United States
Number of offices
1
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