SAFEGUARD INVESTMENT ADVISORY GROUP, LLC

HTTPS://WWW.SAFEGUARDINVESTMENT.COM CORONA, CA Investment Advisor How do I update this listing?

Safeguard Investment Advisory Group is based out of Corona. Safeguard Investment Advisory Group is a large advisory firm with 1092 clients and discretionary assets under management (AUM) of $235,606,212 (Form ADV from 2021-05-25). Their last reported 13F filing for Q2 2021 included $140,389,000 in managed 13F securities and a top 10 holdings concentration of 56.39%. Safeguard Investment Advisory Group's largest holding is Invesco QQQ Trust Series 1 with shares held of 64,807. Whalewisdom has at least 3 13F filings

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06/30/2021

13F Activity

  • Market Value $140.389 Million
  • Prior Market Value $111.985 Million
  • New Purchases11 stocks
  • Additional Purchases38 stocks
  • Sold out of3 stocks
  • Reduced holdings in32 stocks
  • Top 10 Holdings % 56.39 %
  • Turnover % [1]:16.67%
  • Turnover Alt % [2]: 3.63 %
  • Time Held Top20:1.55 quarters
  • Time Held Top10:1.60 quarters
  • Time Held All:1.87 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

06/30/2021

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2021-08-16

Performance for Q2 2021: 7.0%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

SAFEGUARD INVESTMENT ADVISORY GROUP, LLC
4160 TEMESCAL CANYON ROAD SUITE 307
CORONA CA    92883
Country: United States

Business Phone: 877-213-7233
Fax: 951-667-4975
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: CA
Number of employees: 16
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges
Amount of client funds and securities:
Total Number of Clients: 1092
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Insider Transactions in the past year

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SAFEGUARD INVESTMENT ADVISORY GROUP, LLC

ownership team - last updated 2021-05-25
Name Title Start Date Direct/Indirect % Ownership
ABEDEEN, REID, NMN MEMBER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC MEMBER direct 2008-01-01
RIVERA, RICKY, NMN MEMBER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC MEMBER direct 2008-01-01
SOTA, EDWARD, ANTHONY MEMBER/ CHIEF COMPLIANCE OFFICER 07/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC MEMBER/ CHIEF COMPLIANCE OFFICER direct 2008-07-01

SAFEGUARD INVESTMENT ADVISORY GROUP, LLC

ownership team - last updated 2021-03-25
Name Title Start Date Direct/Indirect % Ownership
ABEDEEN, REID, NMN MEMBER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC MEMBER direct 2008-01-01
RIVERA, RICKY, NMN MEMBER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC MEMBER direct 2008-01-01
SOTA, EDWARD, ANTHONY MEMBER/ CHIEF COMPLIANCE OFFICER 07/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC MEMBER/ CHIEF COMPLIANCE OFFICER direct 2008-07-01
ABEDEEN, REID, NMN MEMBER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC MEMBER direct 2008-01-01
RIVERA, RICKY, NMN MEMBER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC MEMBER direct 2008-01-01
SOTA, EDWARD, ANTHONY MEMBER/ CHIEF COMPLIANCE OFFICER 07/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC MEMBER/ CHIEF COMPLIANCE OFFICER direct 2008-07-01

SAFEGUARD INVESTMENT ADVISORY GROUP, LLC

ownership team - last updated 2020-06-09
Name Title Start Date Direct/Indirect % Ownership
ABEDEEN, REID, NMN MEMBER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC MEMBER direct 2008-01-01
RIVERA, RICKY, NMN MEMBER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC MEMBER direct 2008-01-01
SOTA, EDWARD, ANTHONY MEMBER/ CHIEF COMPLIANCE OFFICER 07/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC MEMBER/ CHIEF COMPLIANCE OFFICER direct 2008-07-01

SAFEGUARD INVESTMENT ADVISORY GROUP, LLC

ownership team - last updated 2020-03-27
Name Title Start Date Direct/Indirect % Ownership

SAFEGUARD INVESTMENT ADVISORY GROUP, LLC

ownership team - last updated 2019-11-07
Name Title Start Date Direct/Indirect % Ownership
ABEDEEN, REID, NMN MEMBER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC MEMBER direct 2008-01-01
RIVERA, RICKY, NMN MEMBER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC MEMBER direct 2008-01-01
SOTA, EDWARD, ANTHONY MEMBER/ CHIEF COMPLIANCE OFFICER 07/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC MEMBER/ CHIEF COMPLIANCE OFFICER direct 2008-07-01

SAFEGUARD INVESTMENT ADVISORY GROUP, LLC

ownership team - last updated 2019-03-13
Name Title Start Date Direct/Indirect % Ownership
ABEDEEN, REID, NMN MEMBER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC MEMBER direct 2008-01-01
RIVERA, RICKY, NMN MEMBER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC MEMBER direct 2008-01-01
SOTA, EDWARD, ANTHONY MEMBER/ CHIEF COMPLIANCE OFFICER 07/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC MEMBER/ CHIEF COMPLIANCE OFFICER direct 2008-07-01

SAFEGUARD INVESTMENT ADVISORY GROUP, LLC

ownership team - last updated 2018-11-09
Name Title Start Date Direct/Indirect % Ownership
ABEDEEN, REID, NMN MEMBER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC MEMBER direct 2008-01-01
RIVERA, RICKY, NMN MEMBER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC MEMBER direct 2008-01-01
SOTA, EDWARD, ANTHONY MEMBER/ CHIEF COMPLIANCE OFFICER 07/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC MEMBER/ CHIEF COMPLIANCE OFFICER direct 2008-07-01

SAFEGUARD INVESTMENT ADVISORY GROUP, LLC

ownership team - last updated 2018-04-02
Name Title Start Date Direct/Indirect % Ownership
ABEDEEN, REID, NMN MEMBER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC MEMBER direct 2008-01-01
RIVERA, RICKY, NMN MEMBER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC MEMBER direct 2008-01-01
SOTA, EDWARD, ANTHONY MEMBER/ CHIEF COMPLIANCE OFFICER 07/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC MEMBER/ CHIEF COMPLIANCE OFFICER direct 2008-07-01

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