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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

THE ADVISORY GROUP

TAG FINANCIAL INC, CRD 109175

DIAMOND BAR, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ca0903f6-3c7e-8f18-bf64-2f46bef24e2a

Data as of Mar 24, 2022 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 8
On other graphs: 1
Observed: Mar 30, 2012 to Mar 24, 2022
21 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

The Advisory Group

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $380MItem 5.F on the latest filing (2022-03-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $262M
Private client RAUM: $293MderivedItem 5.D individuals plus high net worth individuals
Private client share: 77%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees: 5
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 724
Individual clients: 633
High net worth clients: 39
SEC number: 801-57715
CRD: 109175
Filings on the tape: 21
First filed: Mar 30, 2012
Latest filed: Mar 24, 2022
Organised: Corporation, California

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BEVERLY, BRENT, JAMES	PRESIDENT, DIRECTOR & CHIEF COMPLIANCE OFFICER	D	yes	04/2000	Mar 30, 2012	Mar 24, 2022
LI, CHRISTIAN, FRANCIS	VICE PRESIDENT & DIRECTOR	D	yes	04/2000	Mar 30, 2012	Mar 24, 2022

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Torrance	CA	United States	2	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021	Mar 24, 2022	$380M	$262M	5	5	1	n/a	n/a
2020	Mar 23, 2021	$332M	$222M	6	6	1	n/a	n/a
2019	Mar 30, 2020	$289M	$196M	6	6	1	n/a	n/a
2018	Mar 25, 2019	$241M	$165M	6	6	1	n/a	n/a
2017	Mar 23, 2018	$240M	$157M	6	6	1	n/a	n/a
2016	Mar 28, 2017	$175M	$126M	7	7	n/a	n/a	n/a
2015	Mar 23, 2016	$172M	$121M	7	7	n/a	n/a	n/a
2014	Mar 30, 2015	$177M	$119M	8	8	n/a	n/a	n/a
2013	Mar 12, 2014	$168M	$107M	8	8	n/a	n/a	n/a
2012	Feb 28, 2013	$146M	$95.4M	8	8	n/a	n/a	n/a
2011	Mar 30, 2012	$124M	$73.7M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$380M	$332M	14.4%	$241M	16.4%	5	6	1	1

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
LPL FINANCIAL LLC	3	Dec 31, 2022	Oct 3, 2022	DIAMOND BAR, CA	Firm absorbed	RIA to RIA	60.0%
FSC SECURITIES CORPORATION	2	Dec 31, 2022	Feb 17, 2012	TORRANCE, CA	Team lift out	RIA to ibd	40.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
FSC SECURITIES CORPORATION	3	Oct 11, 2022	Aug 2, 2000	DIAMOND BAR, CA	Team lift out	Ibd to RIA	0.6%

Relationships

Controls (2)

← BEVERLY, BRENT, JAMESOwnerPRESIDENT, DIRECTOR & CHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 30, 2012 to presentfactForm ADV
← LI, CHRISTIAN, FRANCISOwnerVICE PRESIDENT & DIRECTOR, ownership code D, individual
Mar 30, 2012 to presentfactForm ADV

Registered with (5)

← BRENT JAMES BEVERLYAdvisorregistration: previous registration
Aug 2, 2000 to Dec 31, 2022factForm ADV
← CHRISTIAN FRANCIS LIAdvisorregistration: previous registration
Aug 2, 2000 to Dec 31, 2022factForm ADV
← GREGORY PAUL SCHILLAdvisorregistration: previous registration
Aug 2, 2000 to Dec 31, 2022factForm ADV
← MARIA KRISTA PIECHOCKIAdvisorregistration: previous registration
Mar 2, 2011 to Dec 31, 2022factForm ADV
← MANUEL F CHINCHAYAdvisorregistration: previous registration
Feb 16, 2012 to Dec 31, 2022factForm ADV

Moved with (3)

→ LPL FINANCIAL LLCRegistered adviser3 advisors, firm absorbed, same day
Dec 31, 2022 to Oct 3, 2022factForm ADV
→ FSC SECURITIES CORPORATIONRegistered adviser2 advisors, team lift out, same day
Dec 31, 2022 to Feb 17, 2012factForm ADV
← FSC SECURITIES CORPORATIONRegistered adviser3 advisors, team lift out
Oct 11, 2022 to Aug 2, 2000factForm ADV

Dated events

Occurred
Dec 31, 2022
Firm absorbed
The Advisory Group's advisors moved to LPL Financial LLC (Diamond Bar, CA): 3 of 5 registered, on the same day
Form ADVobserved 3 days ago
3 advisors
Occurred
Dec 31, 2022
Team lift-out
2 advisors left The Advisory Group (Torrance, CA) for Fsc Securities Corporation on the same day
Form ADVobserved 3 days ago
2 advisors
Occurred
Dec 31, 2022
Advisor changed firm
Christian Francis Li left The Advisory Group for Lpl Financial Llc (registered 2022-10-03)
Form ADVobserved 3 days ago
Occurred
Dec 31, 2022
Advisor changed firm
Gregory Paul Schill left The Advisory Group for Lpl Financial Llc (registered 2022-10-03)
Form ADVobserved 3 days ago
Occurred
Dec 31, 2022
Advisor changed firm
Brent James Beverly left The Advisory Group for Lpl Financial Llc (registered 2022-10-03)
Form ADVobserved 3 days ago
Occurred
Dec 31, 2022
Advisor changed firm
Maria Krista Piechocki left The Advisory Group for Fsc Securities Corporation (registered 2011-03-09)
Form ADVobserved 3 days ago
Occurred
Dec 31, 2022
Advisor changed firm
Manuel F Chinchay left The Advisory Group for Fsc Securities Corporation (registered 2012-02-17)
Form ADVobserved 3 days ago
Occurred
Oct 11, 2022
Team lift-out
3 advisors left Fsc Securities Corporation (Diamond Bar, CA) for The Advisory Group a day apart
Form ADVobserved 3 days ago
3 advisors

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ca0903f6-3c7e-8f18-bf64-2f46bef24e2a
First observed: Mar 30, 2012
Last observed: Mar 24, 2022 54 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

THE ADVISORY GROUP

TAG FINANCIAL INC, CRD 109175

DIAMOND BAR, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ca0903f6-3c7e-8f18-bf64-2f46bef24e2a

Data as of Mar 24, 2022 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:32 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BEVERLY, BRENT, JAMES

PRESIDENT, DIRECTOR & CHIEF COMPLIANCE OFFICER

yes

04/2000

Mar 30, 2012

Mar 24, 2022

LI, CHRISTIAN, FRANCIS

VICE PRESIDENT & DIRECTOR

yes

04/2000

Mar 30, 2012

Mar 24, 2022

City

State

Country

Employees

Also broker-dealer

Torrance

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Mar 24, 2022

$380M

$262M

n/a

2020

Mar 23, 2021

$332M

$222M

n/a

2019

Mar 30, 2020

$289M

$196M

n/a

2018

Mar 25, 2019

$241M

$165M

n/a

2017

Mar 23, 2018

$240M

$157M

n/a

2016

Mar 28, 2017

$175M

$126M

n/a

2015

Mar 23, 2016

$172M

$121M

n/a

2014

Mar 30, 2015

$177M

$119M

n/a

2013

Mar 12, 2014

$168M

$107M

n/a

2012

Feb 28, 2013

$146M

$95.4M

n/a

2011

Mar 30, 2012

$124M

$73.7M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$380M

$332M

14.4%

$241M

16.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LPL FINANCIAL LLC

Dec 31, 2022

Oct 3, 2022

DIAMOND BAR, CA

Firm absorbed

RIA to RIA

60.0%

FSC SECURITIES CORPORATION

Dec 31, 2022

Feb 17, 2012

TORRANCE, CA

Team lift out

RIA to ibd

40.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

FSC SECURITIES CORPORATION

Oct 11, 2022

Aug 2, 2000

DIAMOND BAR, CA

Team lift out

Ibd to RIA

0.6%