Strategic Income Group Llc
- Regulatory AUM
- $362M
- Discretionary
- $355M
- Clients
- 368
- Avg AUM / client
- $985K
- Accounts
- 1,211
- Employees
- 5
AUM over time
Annual snapshots from Form ADV filings · as of Jun 12, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 346 | $244M | 67.2% |
| High net worth individuals | 20 | $68.4M | 18.9% |
| Pooled investment vehicles (non-investment companies) | 2 | $42.6M | 11.8% |
| Pension and profit sharing plans | Fewer than 5 clients | $7.8M | 2.15% |
Private funds (2)
Reported in Form ADV Section 7.B.(1), filing of Dec 2024 · $40.5M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Sig Opportunities Fund, Lp | Real Estate Fund | Arizona | $22.3M | 72 |
| Strategic Income Fund, Lp | Hedge Fund | Arizona | $18.2M | 85 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Maverick Aviation Group, Llc 401 K Savings Plan Maverick Aviation Group, Llc | 2024 |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Gauthier, Kristi, Lee | Owner | Mar 2013 (13y) | ≈ 28.13% – 75% via The Gauthier Family Trust | |
| Michael John Gauthier | Ceo & Chief Compliance Officer | CFP | Mar 2013 (13y) | ≈ 28.13% – 75% via The Gauthier Family Trust |
| Martha Cortez | Registered representative | Nov 2013 (13y) | ||
| Charles M Manberg | Registered representative | CFP | Feb 2014 (12y) | |
| Laurie Kay Simons | Registered representative | CFP | Nov 2019 (7y) | |
| Keri Ann Alcos | Registered representative | Sep 2022 (4y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Gauthier Holdings Llc | Manager & Managing Member | Mar 2013 | A | 75% or more |
| The Gauthier Family Trust | Managing Member | Feb 2008 | B | ≈ 56.25% – 100% via Gauthier Holdings Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Gauthier, Kristi, Lee: 50% – 75% of The Gauthier Family Trust × 75% – 100% of Gauthier Holdings Llc × 75% – 100% direct ≈ 28.13% – 75% of the firm
- Michael John Gauthier: 50% – 75% of The Gauthier Family Trust × 75% – 100% of Gauthier Holdings Llc × 75% – 100% direct ≈ 28.13% – 75% of the firm
- The Gauthier Family Trust: 75% – 100% of Gauthier Holdings Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (2, $40.5M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Sig Opportunities Fund, Lp | Real Estate Fund | $22.3M | $25.0K | 72 |
| Strategic Income Fund, Lp | Hedge Fund | $18.2M | $25.0K | 85 |
From Form ADV Section 7.B private fund reporting.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Maverick Aviation Group, Llc 401 K Savings Plan | Maverick Aviation Group, Llc | 220 | $9.9M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/12/2026 | 1.35 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Pension consulting services
- • Selection of other advisers
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $301M (83% of AUM) Jun 2026
- Inspira Financial $42.6M (12% of AUM) Jun 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 12, 2026.
View current Form ADV (SEC/IAPD) ↗