S
Sutton Financial Group
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$75,500,000
This total excludes 13 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Total clients
149
7% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
149
Average account size
$506,711
About
The firm advises individuals, high-net-worth individuals and employer-sponsored retirement plans, managing roughly $75 million across about 149 client relationships as a sole practitioner. It offers wealth management and holistic financial planning alongside investment management and a dedicated suite of retirement-plan advisory services.
Portfolios are typically built with low-cost mutual funds and ETFs, with occasional use of individual stocks or bonds, and the firm applies fundamental, technical and cyclical analysis in a primarily long-term framework while monitoring and rebalancing as needed. For plan sponsors the firm provides pension consulting and ERISA-focused services (including IPS design, vendor analysis, participant enrollment/education tracking, benchmarking, 3(21) investment oversight and 404(c) assistance).
What is noteworthy is the combination of traditional individual portfolio management with formal pension consulting and ERISA fiduciary work, a mix that the firm’s disclosure highlights as a specific service offering. The brochure also discloses that the firm’s principal is a licensed insurance professional who may receive commissions for insurance sales and maintains other industry roles (including employment with a third‑party administrator), which the firm identifies as potential conflicts and addresses through its disclosures and Code of Ethics.
Client services
Financial planning
Portfolio management
Pension consulting
Expertise
General retirement planning
College savings (529s, UTMA, etc.)
Cash flow / budgeting
Fee options
Up to 1.00% annually
Main office location
Sutton Financial Group
2075 Columbiana Road, Suite 1
Birmingham AL 35216, United States
Number of offices
1
Most active in
Sutton Financial Group has reported serving >5 clients in these states in the last 12 months.
Alabama · Florida · Georgia · Mississippi · Tennessee · Texas
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 active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
-
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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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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