Wallace Advisory Group, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Wallace Advisory Group provides asset management, comprehensive portfolio management, and standalone financial planning and consulting to individuals, high‑net‑worth clients, and charitable organizations. Like many supported firms, it combines discretionary portfolio management with written financial plans and periodic client consultations.
The firm builds individualized portfolios using asset allocation and a mix of fundamental, quantitative and qualitative analysis, typically employing long‑term purchase strategies and a range of instruments including stocks, bonds, ETFs, options and private securities. It also uses third‑party sub‑advisors to implement strategies, conducts initial due diligence and ongoing reviews of those managers, and monitors and rebalances client accounts on a regular basis.
Wallace Advisory Group manages roughly $269 million in regulatory assets, a level of assets per advisor that is uncommon among supported firms, and it discloses affiliations that affect product distribution: representatives are registered with M Holdings Securities and are licensed insurance agents, and the firm provides insurance services through a DBA. Those affiliations mean the firm and its representatives may receive commission or trail compensation for securities and insurance sales and share fees with sub‑advisors; the brochure describes disclosure and oversight practices intended to address these conflicts.
Client services
Expertise
Fee options
Financial planning flat fees range from $5,000 to $50,000; ongoing planning and consulting services fee $5,000 per year; retainers required (typically 50% at signing)
Representatives are registered representatives of M Holdings Securities and receive commissions for sale of securities including trail fees from mutual funds
Account minimum: No minimum for advisory services; Financial Plans typically have a minimum fee of $5,000 Minimum fee: Financial Plans minimum fee typically $5,000
Main office
3658 Mount Diablo Boulevard, Suite 225
Lafayette CA 94549
Advisors at this office
1
Most active in
California · Hawaii · Nevada · Texas
Also doing business as
Wallace Advisory Group, LLC · Wallace Financial Insurance Services
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.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
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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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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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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.
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