LaRocque Financial Group, LLC

LaRocque Financial Group provides advisory services to individual clients, including high‑net‑worth individuals, by directing them to third‑party investment advisers rather than offering direct portfolio management. The firm does not manage client assets, execute trades, take custody, or exercise investment discretion on client accounts.

The firm’s approach centers on vetting and recommending outside advisers and verifying that recommended managers are properly licensed, notice‑filed, or exempt in relevant states before referral. LaRocque Financial Group is compensated through fee‑sharing arrangements with those third‑party advisers and does not rely on percentage‑of‑AUM or performance‑based fee models, nor does it participate in wrap fee programs.

Noteworthy distinctions include an affiliation with an accounting practice — the principal is a partner at Towson Tax & Consulting — and the principal’s service as an independent non‑executive director for Luxembourg‑domiciled fund families, activities that the brochure says occupy a portion of his time. The combination of fee‑sharing referral arrangements and the principal’s outside business roles are disclosed as potential conflicts of interest the firm considers when recommending advisers.