F
FSI Advisory Group, Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$59,871,937
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Total clients
56
27% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
56
Average account size
$1,069,142
About
FSI Advisory Group provides financial planning and investment management to a mix of individual clients, high‑net‑worth individuals, pension and profit‑sharing plans, trusts, estates, charitable organizations and businesses. Services are centered on a customized financial plan as the relationship’s initial phase and investment management that typically uses no‑load mutual funds, with individual equities and bonds employed when appropriate.
The firm actively manages client portfolios primarily on a non‑discretionary basis and conducts at least quarterly reviews with written reports to clients. Its investment process combines fundamental, technical and charting analyses and may include long‑ and short‑term purchases, margin and option‑writing strategies.
The brochure discloses two arbitration matters in the firm’s history, including a 2009 FINRA arbitration that was settled and paid by insurance, which is noted in the disciplinary section. The firm further highlights work with pension and profit‑sharing plans and pension consulting, reports about $59.9 million in non‑discretionary assets under management, and discloses that the principal maintains insurance and broker‑dealer registrations that can generate commissions in limited circumstances.
Client services
Financial planning
Portfolio management
Pension consulting
Expertise
Options & derivatives strategies
Fee options
Financial planning fees charged on a flat basis, negotiated prior to plan development.
$0 - $4,000,000: 1.00% annually Over $4,000,000+: 0.50% annually
Commissions received on trades executed as a Registered Representative with Cetera Advisors LLC for certain clients; 12(b)1 fees on mutual funds disclosed to clients.
Financial planning charged hourly at $275 per hour.
Account minimum: $100,000
Main office location
FSI Advisory Group, Inc.
1770 St. James Place, Suite 616
Houston TX 77056, United States
Number of offices
1
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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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.
Forms ADV
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