The Financial Group
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$33,639,218
Clients
109
20% high-net worth
Advisors
1
of 2 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
109
Very HighAverage account size
$308,617
About
The Financial Group provides investment advisory services to individuals (including high-net-worth clients), pension or profit‑sharing plans, and business entities, offering comprehensive asset management alongside written financial planning and consulting engagements. The firm constructs portfolios using individual stocks and bonds, ETFs, mutual funds and other public or private investments, and may retain legacy holdings when they align with a client’s objectives.
Investment decisions combine fundamental analysis with technical tools such as charting, technical and cyclical analysis, and the firm employs both long‑ and short‑term purchase strategies tailored to client goals. Accounts are managed on a discretionary basis with ongoing supervision, at least quarterly reviews and periodic rebalancing, and cash balances are generally held in conservative instruments like money market funds and short‑term fixed income.
Noteworthy features in the brochure include the firm’s occasional retirement and wealth‑management seminars delivered through a local college and university, an outreach practice that the firm states is not used to solicit clients and is uncommon among peers. The brochure also discloses that financial planning engagements are typically delivered as discrete written plans or consultations without automatic ongoing updates unless the client requests further meetings, and that the principal’s insurance licenses may lead to separate insurance product recommendations and related compensation.
Client services
Financial planning
Portfolio management
Educational seminars or workshops
Expertise
General retirement planning
Charitable giving & philanthropy
College savings (529s, UTMA, etc.)
General tax planning
Fee options
$0 - $250,000: 1.00% $250,000.01 - $500,000: 0.95% $500,000.01 - $1,000,000: 0.80% $1,000,000.01 - $2,000,000: 0.65% $2,000,000.01 - $3,000,000: 0.45% $3,000,000.01+: 0.30%
$225 per hour for financial planning and consulting; $75 per hour for administrative time
Account minimum: $100,000
Main office location
The Financial Group
21700 Copley Drive, Suite 160
Diamond Bar CA 91765, United States
Number of offices
1
Most active in
The Financial Group has reported serving >5 clients in these states in the last 12 months.
California · 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 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.
-
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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