DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

SEC-registered adviser

Strategic Income Group LLC

Independent wealth managerChandler, ArizonaCRD 165839SEC 801-108752website IAPD

Latest filing Jun 12, 2026

First filing on the tape Feb 7, 2013 · 51 filings

SEC status approved since Dec 12, 2016

RAUM

$362M

reported, Item 5.F

Discretionary

98%

of RAUM

Private clients

86%

$312M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$72.5M

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

51 filings and snapshots on the tape

RAUM$362M as of Jun 12, 2026

Feb 27, 2017$103M then

HNW client RAUM$68.4M as of Jun 12, 2026

Mar 29, 2018$31.6M then

State-registered IARs (5.B.3)5 as of Jun 12, 2026

Feb 27, 20174 then

Employees (5.A)5 as of Jun 12, 2026

Feb 27, 20178 then

Private funds2 as of Jun 12, 2026

Mar 29, 20181 then

RAUM +2.1% over the last fiscal year+8.9% a year over threeIARs 6 to 5

Practice profile

derived from the filing of Jun 12, 2026; every figure names its basis

Archetypes, each a printed rule

Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)

RAUM per advisor: $72.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 73derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.4MderivedHNW RAUM over HNW clients
Average account: $299,263derivedRAUM over accounts (5.F.2.f)
Discretionary: 98%derivedof RAUM
Institutional: 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 2.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +2.1%derivedbetween the last two annual amendments
Advisor growth, one year: -17%derivedItem 5.B.3 between annual amendments
Client growth, one year: -0.8%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
Custody: $292M, 302 clientsreportedItem 9.A
Ownership: controlled by a public reporting companyderived
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

is an insurance broker or agent (6.A.6)
buys or sells securities as principal to or from clients (8.A.2)
has discretionary authority over which securities are bought or sold (8.C.1)
receives research or other products from a broker-dealer, soft dollars (8.E)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
controlled by a public reporting company (10.A)
marketing includes testimonials (5.L.1.c)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$244M67%
High-net-worth individuals$68.4M19%
Pooled investment vehicles$42.6M12%
Pension and profit-sharing plans$7.8M2.1%

Individual clients: 346reported
HNW clients: 20reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 1,211reported
Financial planning clients: 101-250reported
Wrap fee programs: noreported
Custody of client assets: $292M for 302 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.86 fund_share=0.12 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

5 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
Michael John GauthierCertified Financial Planner	Chandler, Az	Mar 20, 2013	25 y	1
Martha Cortez	Chandler, Az	Nov 15, 2013	14 y	1
Charles M ManbergCertified Financial Planner	Chandler, Az	Feb 4, 2014	17 y	1
Laurie Kay SimonsCertified Financial Planner	Chandler, Az	Nov 8, 2019	26 y	4
Keri Ann Alcos	Peoria, Az	Sep 27, 2022	21 y	10

Advisor movement

1 left, 0 joined in 12 months

net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount1 left over 36 months

Left, latest

Robert Scott Stamm to Eversource Wealth Advisors, LLC
Dec 16, 2025 · RIA to RIA
Patricia Ann Nyborg to Robert W. Baird & Co. Incorporated
Apr 22, 2022 · RIA to RIA
Paul Conrad Macias to Cole Wealth Management, LLC
Aug 29, 2019 · RIA to RIA

Joined, latest

Keri Ann Alcos from Themoneymd.Com, LLC
Sep 27, 2022 · Other
Patricia Ann Nyborg from Edward Jones
Mar 30, 2022 · Affiliated broker-dealer or bank to independent RIA
Laurie Kay Simons from Foundations Investment Advisors LLC
Nov 8, 2019 · RIA to RIA
Paul Conrad Macias from Merrill Lynch, Pierce, Fenner & Smith Incorporated
Dec 12, 2017 · Other
Charles M Manberg from Edward Jones
Feb 4, 2014 · Other
Martha Cortez from Merrill Lynch, Pierce, Fenner & Smith Incorporated
Nov 15, 2013 · Other
Michael John Gauthier from Merrill Lynch, Pierce, Fenner & Smith Incorporated
Mar 20, 2013 · Wirehouse to a newly registered adviser (no RAUM reported yet)

Every departure Every arrival

Private funds

2 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
Sig Opportunities Fund, LP	Real Estate Fund	$22.3M	72	Mar 17, 2021
Strategic Income Fund, LP	Hedge Fund	$18.2M	85	Nov 23, 2016

Owners and control persons

Schedule A and B, latest filing

John Michael Gauthier · Ceo & Chief Compliance Officercontrol
since 03/2013 · owns less than 5%
Lee Kristi Gauthier · Ownercontrol
since 03/2013 · owns 50% to 75% of The Gauthier Family Trust
John Michael Gauthier · Ownercontrol
since 03/2013 · owns 50% to 75% of The Gauthier Family Trust

Entity owners

Gauthier Holdings LLC · Manager & Managing Member
direct · owns 75% or more
The Gauthier Family Trust · Managing Member
indirect · owns 75% or more of Gauthier Holdings LLC

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Chandler, Az · principal	5	0	1
Peoria, Az	2	0	0

Offices

Schedule D 1.F, the 25 largest

Peoria, AZ2 employees

What changed

consecutive filings, newest first

Accounts · 1,165 to 1,211
Jul 7, 2025 to Mar 16, 2026
Advisory employees · 5 to 4
Jul 7, 2025 to Mar 16, 2026
Individual clients · 349 to 346
Jul 7, 2025 to Mar 16, 2026
Assets in custody · $213M to $292M
Jul 7, 2025 to Mar 16, 2026
Employees · 9 to 5
Jul 7, 2025 to Mar 16, 2026
State-registered IARs · 6 to 5
Jul 7, 2025 to Mar 16, 2026
Discretionary RAUM · $340M to $355M
Jul 7, 2025 to Mar 16, 2026
HNW RAUM · $73.9M to $68.4M
Jul 7, 2025 to Mar 16, 2026
Individual RAUM · $225M to $244M
Jul 7, 2025 to Mar 16, 2026
Non-discretionary RAUM · $14.8M to $7.8M
Jul 7, 2025 to Mar 16, 2026
Pension RAUM · $14.8M to $7.8M
Jul 7, 2025 to Mar 16, 2026
Pooled vehicle RAUM · $40.8M to $42.6M
Jul 7, 2025 to Mar 16, 2026
RAUM · $355M to $362M
Jul 7, 2025 to Mar 16, 2026
Financial planning clients · 101-250 to 101-250
Mar 24, 2025 to Jul 7, 2025
Accounts · 1,068 to 1,165
Dec 3, 2024 to Mar 24, 2025
HNW clients · 27 to 20
Dec 3, 2024 to Mar 24, 2025
Individual clients · 332 to 349
Dec 3, 2024 to Mar 24, 2025
Assets in custody · $227M to $213M
Dec 3, 2024 to Mar 24, 2025
Employees · 6 to 9
Dec 3, 2024 to Mar 24, 2025
Discretionary RAUM · $303M to $340M
Dec 3, 2024 to Mar 24, 2025
HNW RAUM · $78.2M to $73.9M
Dec 3, 2024 to Mar 24, 2025
Individual RAUM · $184M to $225M
Dec 3, 2024 to Mar 24, 2025
Non-discretionary RAUM · $13.1M to $14.8M
Dec 3, 2024 to Mar 24, 2025
Pension RAUM · $13.1M to $14.8M
Dec 3, 2024 to Mar 24, 2025
Pooled vehicle RAUM · $40.5M to $40.8M
Dec 3, 2024 to Mar 24, 2025
RAUM · $316M to $355M
Dec 3, 2024 to Mar 24, 2025
Accounts · 988 to 1,068
Feb 27, 2024 to Mar 26, 2024
HNW clients · 28 to 27
Feb 27, 2024 to Mar 26, 2024
Individual clients · 321 to 332
Feb 27, 2024 to Mar 26, 2024
Assets in custody · $252M to $227M
Feb 27, 2024 to Mar 26, 2024
Discretionary RAUM · $270M to $303M
Feb 27, 2024 to Mar 26, 2024
HNW RAUM · $68.7M to $78.2M
Feb 27, 2024 to Mar 26, 2024
Individual RAUM · $164M to $184M
Feb 27, 2024 to Mar 26, 2024
Non-discretionary RAUM · $10.6M to $13.1M
Feb 27, 2024 to Mar 26, 2024
Pension RAUM · $10.6M to $13.1M
Feb 27, 2024 to Mar 26, 2024
Pooled vehicle RAUM · $37.2M to $40.5M
Feb 27, 2024 to Mar 26, 2024
RAUM · $281M to $316M
Feb 27, 2024 to Mar 26, 2024
Assets in custody · $242M to $252M
Apr 13, 2023 to Apr 17, 2023
Accounts · 923 to 988
Aug 4, 2022 to Mar 31, 2023
Individual clients · 309 to 321
Aug 4, 2022 to Mar 31, 2023

Signals

3 dated events

Robert Scott Stamm left Strategic Income Group Llc for Eversource Wealth Advisors, Llc (registered 2025-12-16)
Dec 16, 2025 · Advisor changed firm · fact
Patricia Ann Nyborg left Strategic Income Group Llc for Robert W. Baird & Co. Incorporated (registered 2022-12-09)
Apr 22, 2022 · Advisor changed firm · fact
Strategic Income Group Llc filed its initial SEC registration (Form ADV)
Feb 7, 2013 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

Strategic Income Group LLC · Private Equity
shared crd · intermediary

How to reach

public business contact points only, each with its source

Business email: bree@strategicincomegroup.comreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 480-466-7070reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 480-999-9906reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile: linkedin.com/company/strategic-income-groupreportedpublic record, Form ADV, Sep 18, 2026
Website: STRATEGICINCOMEGROUP.COMreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: 480-466-7070reportedpublic record, Form ADV, Jun 12, 2026
Contact form: strategicincomegroup.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
Team page: strategicincomegroup.com/teamreportedpublished by the firm, firm site, Sep 15, 2026

Provenance

Form ADV: SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors: IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $72.5Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Across the graphs

Strategic Income Group LLC is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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