Private Advisor Group Annual Notice: Summary of Material Changes
Private Advisor Group, LLC’s Part 2A Brochure dated March 30, 2021, contains material changes to Private Advisor Group, LLC’s disclosure statement that was filed on March 29, 2019, to Item 5 and Item 6 regarding Private Advisor Group agreeing to accept performance fees from certain clients, to Item 4 regarding ownership of the company and participation in certain advisory programs with custodians, and about holding non-tradable assets in advisory accounts.
Complete copies of Private Advisor Group, LLC’s Part 2A Brochure and Part 2A Brochure for SWM II and Privacy Notice are available below.
If you have any questions about this summary or about the contents of the brochures, please contact us at 973.538.7010 or RIAcompliance@PrivateAdvisorGroup.com.
We are required to send this information to all of our clients annually.
Additional Disclosures
Please click through below for disclosures on specific investment programs used by Investment Advisor Representatives of Private Advisor Group:
- Absolute Capital Management
- Advisor Capital Management
- AlphaSimplex
- Aperio
- Asset Dedication
- Belle Haven (Part 2A)
- Belle Haven
- Brinker Capital (9.25.2020 Orion acquired Brinker- this fuses the in-house investment management resources of those of CLS Investments – per businesswire.com)
- Brinker Capital
- BTS Asset Management
- Carret
- Churchill Management Group
- Cougar Global Investments
- Eaton Vance
- Ethic Inc
- Envestnet Inc (Envestnet acquired Placemark in 2014 – now called Envestnet | PMC)
- Envestnet Inc
- Eqis Capital (Wrap Fee)
- Flexible Plan Investments
- Formula Folio Investments LLC
- FTJ (now Orion Portfolio Solutions)
- Horter Investment Management
- Lockwood Advisors
- Lord Abbott
- Managed Assets Portfolio (MAP)
- Motiv8
- Parametric Portfolio Association
- PMA Asset Management (Formally Miles Capital)
- PIMCO
- Russell Investments
- Sawtooth
- SEM Wealth Management
- State Street Global Advisors
- Symmetry
- The Haverford Trust Company
- The Pacific Financial Group (TPFG)
- Innealta Capital
RIA Platform Agreements
Click below for access to the most current version of LPL independent investment advisor account agreements.
- Account Packet – Manager Access Select
- Account Packet – Model Wealth Portfolios (MWP)
- Account Packet – Optimum Market Portfolios (OMP)
- Account Packet – Manager Access Network (MAN) Account
- Account Packet – SWM/SWM II Account
- Account Packet – Personal Wealth Portfolios (PWP)
- Guided Wealth Portfolios (GWP) Account Agreement