A.E.I. Financial Group
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
A.E.I. Financial Group provides discretionary asset management, financial planning, and retirement-plan advisory services to individuals and plan sponsors. The firm implements portfolios using third‑party platforms (Orion Portfolio Solutions, Gradient Investments LLC, and Pontera for individual 401(k) asset management), and also offers financial planning and public workshops to educate clients.
The firm typically assesses clients’ objectives and risk tolerance, then recommends either in‑house strategies or third‑party managers and monitors those relationships on an ongoing basis, delivering periodic performance reporting and plan reviews. For qualified retirement plans, A.E.I. offers limited‑scope ERISA 3(21) fiduciary services including development of investment policy statements, selection and monitoring of plan options, and participant education.
Several features in the brochure are uncommon for a small independent adviser: the owner operates a tax‑preparation and insurance practice (A.E.I. Tax & Financial) and the firm discloses receiving external compensation and solicitor fees for referrals to third‑party managers. The combination of pension consulting, licensed insurance and tax services, and paid or free educational workshops distinguishes its service mix and creates disclosed conflicts of interest that the firm says it manages through disclosures and procedures.
Client services
Expertise
Fee options
Fixed financial planning fees between $1,500 and $4,000
$0+: 1% to 1.5% annually (based on household account size, negotiable) Up to $1,000,000 - $1,000,000: 2.00% maximum annual advisory fee (Strategic & Tactical Portfolios total); Gradient Investments portion 1.00%, A.E.I. Financial Group retention 1.00% $1,000,001 - $2,000,000: 1.65% maximum annual advisory fee; Gradient Investments 0.80%, A.E.I. Financial Group retention 0.85% $2,000,001 - $3,000,000: 1.20% maximum annual advisory fee; Gradient Investments 0.60%, A.E.I. Financial Group retention 0.60% Over $3,000,000+: 0.95% maximum annual advisory fee; Gradient Investments 0.45%, A.E.I. Financial Group retention 0.50% Up to $1,000,000 - $1,000,000: 1.70% maximum annual advisory fee (Allocation Portfolios total); Gradient Investments 0.70%, A.E.I. Financial Group retention 1.00% $1,000,001 - $2,000,000: 1.35% maximum annual advisory fee; Gradient Investments 0.60%, A.E.I. Financial Group retention 0.75% $2,000,001 - $3,000,000: 1.00% maximum annual advisory fee; Gradient Investments 0.50%, A.E.I. Financial Group retention 0.50% Over $3,000,000+: 0.80% maximum annual advisory fee; Gradient Investments 0.40%, A.E.I. Financial Group retention 0.40% All Values+: 0.60% maximum annual advisory fee (Client Directed Accounts total); Gradient Investments 0.30%, A.E.I. Financial Group retention 0.30% (minimum quarterly fee $25)
Insurance products commissions, external compensation from sales by licensed insurance agents
$247 per hour for financial planning services
Fee-only: Hourly financial planning fees at $247 per hour; Fixed fees between $1,500 and $4,000 for financial plans
Main office
3558 Round Barn Blvd. Ste 200
Santa Rosa CA 95403
Advisors at this office
1
Most active in
California
Also doing business as
A E I Financial Strategies · A E I Financial Strategies Inc. · A.E.I. Financial Group
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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