{
  "crd_number": 121060,
  "slug": "investmark-advisory-group-llc-shelton-ct-121060",
  "primary_business_name": "INVESTMARK ADVISORY GROUP LLC",
  "legal_name": "INVESTMARK ADVISORY GROUP LLC",
  "dbas": [],
  "city": "Shelton",
  "state": "CT",
  "country": "United States",
  "cbsa_code": "47930",
  "metro": {
    "cbsa_code": "47930",
    "common_name": "Waterbury",
    "msa_name": "Waterbury-Shelton, CT",
    "path": "/advisors/ct/waterbury"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2012-04-23",
  "years_registered": 14,
  "period": "2026-10-01",
  "filing_date": "2026-03-05",
  "carried_forward": false,
  "raum_total": 929666878.0,
  "raum_discretionary": 929666878.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 10,
  "advisory_employees": 10,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 141651497.0,
      "count": 373
    },
    "high_net_worth_individuals": {
      "raum": 674159716.0,
      "count": 225
    },
    "corporations_other_businesses": {
      "raum": 113855665.0,
      "count": 92
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 4,
  "states_registered": [
    "CA",
    "CT",
    "FL",
    "GA",
    "LA",
    "MA",
    "ME",
    "NC",
    "NH",
    "NJ",
    "NY",
    "PA",
    "SC",
    "TX",
    "VA",
    "VT"
  ],
  "websites": [
    "https://facebook.com/DIRECTIONOFWEALTH",
    "https://facebook.com/InvestmarkAdvisoryGroup.TheDirectionOfWealth",
    "https://investmark.net",
    "https://linkedin.com/COMPANY/INVESTMARK",
    "https://reinsurancemax.com",
    "https://twitter.com/IAG_ADVISORY"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/121060",
  "disclosure_items": [
    {
      "item": "11.C(1)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?"
    },
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    }
  ],
  "city_as_filed": "SHELTON",
  "url": "https://advisorcensus.com/firm/investmark-advisory-group-llc-shelton-ct-121060",
  "display_name": "Investmark Advisory Group LLC",
  "summary": "Investmark Advisory Group LLC is an SEC-registered investment advisory firm in Shelton, CT, registered since 2012, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated March 5, 2026.",
  "citation": "AdvisorCensus. Investmark Advisory Group LLC (CRD 121060): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Investmark Advisory Group LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Investmark Advisory Group LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Investmark Advisory Group LLC located?",
      "a": "Investmark Advisory Group LLC's principal office is in Shelton, CT, according to its Form ADV; the April 2026 filing also lists 2 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Investmark Advisory Group LLC registered with the SEC or a state?",
      "a": "Investmark Advisory Group LLC is an SEC-registered investment advisory firm, registered since 2012. Status as filed: Approved. CRD 121060."
    },
    {
      "q": "How much does Investmark Advisory Group LLC manage?",
      "a": "Investmark Advisory Group LLC reports $929,666,878 in regulatory assets under management in its Form ADV filing dated March 5, 2026 (100% discretionary)."
    },
    {
      "q": "How have Investmark Advisory Group LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Investmark Advisory Group LLC: Regulatory assets under management: $541,679,509 in the October 2021 data and $929,666,878 in the October 2026 data, up 72%. Total employees: 10 in October 2021 and 10 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Investmark Advisory Group LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (373); high net worth individuals (225); corporations or other businesses not listed above (92)."
    },
    {
      "q": "Which custodians does Investmark Advisory Group LLC use?",
      "a": "Investmark Advisory Group LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists National Financial Services LLC and SEI Investments Distribution Co. as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Investmark Advisory Group LLC report any disciplinary disclosures?",
      "a": "Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.C(1) (SEC or CFTC finding of a false statement or omission), 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/121060"
    },
    {
      "q": "What changed in Investmark Advisory Group LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $812,207,175 to $929,666,878 (+14%). No longer lists an office in Lebanon, NH."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 541679509.0,
      "total_employees": 10,
      "filing_date": "2021-08-17"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 653484133.0,
      "total_employees": 10,
      "filing_date": "2022-03-15"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 623169311.0,
      "total_employees": 10,
      "filing_date": "2023-03-22"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 712457504.0,
      "total_employees": 10,
      "filing_date": "2024-03-05"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 812207175.0,
      "total_employees": 10,
      "filing_date": "2025-04-24"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 929666878.0,
      "total_employees": 10,
      "filing_date": "2026-03-05"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $812,207,175 to $929,666,878 (+14%).",
        "No longer lists an office in Lebanon, NH."
      ]
    },
    {
      "period": "2026-01-01",
      "period_label": "January 2026",
      "notes": [
        "No longer registered or notice-filed in DE."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "National Financial Services LLC",
      "name_as_filed": "NATIONAL FINANCIAL SERVICES LLC",
      "affiliated": false
    },
    {
      "name": "SEI Investments Distribution Co.",
      "name_as_filed": "SEI INVESTMENTS DISTRIBUTION CO.",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/investmark-advisory-group-llc-shelton-ct-121060.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 373,
      "fewer_than_5": false,
      "raum": 141651497.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 225,
      "fewer_than_5": false,
      "raum": 674159716.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 92,
      "fewer_than_5": false,
      "raum": 113855665.0
    }
  ],
  "disclosure_line": "Reports 4 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/121060",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}