Synergy Investment Group, LLC

Synergy Investment Group, LLC is a small advisory firm that serves individual and high‑net‑worth clients, managing about $53.3 million in discretionary assets for roughly 205 clients with two advisors. The firm offers discretionary portfolio management through a Managed Account Program and also provides comprehensive, limited, and hourly financial planning services.

The Adviser tailors portfolios using mutual funds, ETFs, equities and fixed‑income securities and may employ asset‑allocation programs or a value‑oriented stock selection approach, collecting client financial profiles and risk information to customize portfolios; managed accounts can be discretionary or non‑discretionary and typically have a $25,000 minimum. Clients receive custodial account statements at least quarterly, and the firm may aggregate trades and rely on research and execution services provided by selected broker‑dealers.

What is noteworthy relative to many peers is the firm’s corporate structure and regulatory history: it is owned by a holding company that also owns Synergy Insurance Group and an affiliated broker‑dealer (JBS Liberty Securities), and it frequently uses StoneX for brokerage/custody—agents may receive commissions on transactions outside the Managed Account Program and may sell insurance, which the brochure identifies as potential conflicts of interest. The firm also discloses multiple prior FINRA/NASD matters (resolved AWCs and settlements in 2004, 2006 and 2011 involving fines, restitution and a temporary suspension), disclosures that are uncommon among similar supported advisers.