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Find, Compare and Monitor Financial Advisors at THE SPARTAN GROUP

CRD#: 124430
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FIRM PROFILE

Assets Under Management:No Information
Clients per Registered Employee:No Information
Total Number of Employees:No Information
Clients per Employee:No Information
Total Number of Individual Clients:No Information
Total Number of HNWI Clients:No Information
Average Individual Client Account Size:No Information
Average HNWI Account Size:No Information

Overview

THE SPARTAN GROUP is located at 16 N. Marengo, Suite #307, Pasadena, CA 91101 and was first established at Los Angeles, California in 10/11/2002. After operating for 23 years, THE SPARTAN GROUP has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of THE SPARTAN GROUP’s clients are individuals and 0% of their clients are high net worth individuals. THE SPARTAN GROUP has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at THE SPARTAN GROUP are registered to handle securities or provide financial advice. The firm has 0 disclosures, 0 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access THE SPARTAN GROUP‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at THE SPARTAN GROUP. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.

Crafted using large generative AI models

Where the Statistical Data for THE SPARTAN GROUP Comes From

Understanding the Statistics for THE SPARTAN GROUP and How They Compare to Other Firms Through Our Analysis

Average Account Value
Individuals
No Information
HNWI
No Information
Breakdown of Assets Under Management
Total Client Assets:
No Information
Individuals
No Information
HNWI
No Information
MISC
No Information
Employees
Total
No Information
Registered
No Information
Client Ratios
No Information
No Information
Clients
Total
No Information
Individuals
No Information
HNWI
No Information
Firm Disclosures
No Disclosures

FIRM INFORMATION

Main Address
16 N. Marengo, Suite #307, Pasadena, CA 91101
Mailing Address
16 N. Marengo, Suite #307, Pasadena, CA 91101
Firm Size
Small
Phone Number
(626) 204-6380
Established
California since 10/11/2002
Firm Type
Limited Liability Company
Fiscal year end
December
Related websites
Participation or Interest in Client Transactions
Self-custody

FIRM DOCUMENTS


DIRECT OWNERS & EXECUTIVE OFFICERS

NameTitleAquiredCRD#
JOHNSON, JOHN ORVILLEFOUNDING MEMBER3167704
MORGAN, PETER DAWSONFOUNDING MEMBER, CCO, AMLCO1264882
THORNTON, STEVEN LEEFINOP4496384

The Importance of Understanding a Firm’s Role when Evaluating an Advisor

How Do I Determine Which Firm to Work With?

Advisor's working at THE SPARTAN GROUP

ST

Steven Lee Thornton

Steve Lee Thornton
RR
CRD#: 4496384
Location:
Pasadena, CA 91101
Company:
THE SPARTAN GROUP
Disclosures:
Experience:
26 years
View Profile
AP

Alexander Frederick Pompetzki

Alexander Pompetzki
RR
CRD#: 7170275
Location:
Pasadena, CA 91101
Company:
THE SPARTAN GROUP
Disclosures:
Experience:
3 years
View Profile
PM

Peter Dawson Morgan

RR
CRD#: 1264882
Location:
Tiburon, CA
Company:
THE SPARTAN GROUP
Disclosures:
Experience:
41 years
View Profile
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