Safeguard Investment Advisory Group, LLC
Registered investment adviser · Corona, CA · CRD #146132
Form ADV data as of 2026-09-01Regulatory assets
$702.3 million
Total accounts
4,458
Employees
25
Disclosure events
0
Firm details
- Website: https://www.safeguardinvestment.com
- Telephone: 877-213-7233
- SEC file number: 801-110651
- Most recent Form ADV filing: 2026-03-26
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $700.7 million |
| Non-discretionary regulatory assets under management | $1.6 million |
| Total regulatory assets under management | $702.3 million |
| Discretionary accounts | 4,406 |
| Non-discretionary accounts | 52 |
| Total accounts | 4,458 |
| Regulatory assets under management attributable to non-U.S. persons | $0 |
People
| Total employees (excluding clerical) | 25 |
| Employees performing investment advisory functions (including research) | 9 |
| Employees who are registered representatives of a broker-dealer | 0 |
| Employees registered as investment adviser representatives with a state | 9 |
| Employees registered as IARs for another investment adviser | 1 |
| Employees who are licensed insurance agents | 9 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
| Number of persons acting as qualified custodians for the firm's clients | 3 |
How the firm is compensated
Advisory services offered
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys or sells for itself securities it also recommends to clients
- Recommends securities in which it has another sales interest
- Recommends brokers or dealers to clients
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 1,331 | $377.2 million |
| High net worth individuals | 395 | $308.6 million |
| Pension and profit sharing plans (not the participants or government plans) | 56 | $12.2 million |
| Charitable organizations | 4 | $764,095 |
| Corporations or other businesses not listed above | 18 | $3.6 million |