{
  "crd_number": 312448,
  "slug": "investment-advisor-group-hancock-ny-312448",
  "primary_business_name": "INVESTMENT ADVISOR GROUP",
  "legal_name": "CLPF LLC",
  "dbas": [
    "CL PRICE FINANCIAL",
    "GWN WEALTH",
    "KOHN FINANCIAL PLANNING"
  ],
  "city": "Hancock",
  "state": "NY",
  "country": "United States",
  "cbsa_code": null,
  "metro": null,
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2021-02-08",
  "years_registered": 5,
  "period": "2026-10-01",
  "filing_date": "2026-03-11",
  "carried_forward": false,
  "raum_total": 80956080.0,
  "raum_discretionary": 80605680.0,
  "raum_non_discretionary": 350400.0,
  "raum_band": "25m_100m",
  "raum_band_label": "$25 million to $100 million",
  "total_employees": 3,
  "advisory_employees": 3,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "charitable": {
      "raum": 212004.0,
      "count": 1,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 39119525.0,
      "count": 113
    },
    "high_net_worth_individuals": {
      "raum": 41624551.0,
      "count": 10
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "other",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "periodicals_newsletters",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 2,
  "states_registered": [
    "CT",
    "DE",
    "FL",
    "NH",
    "NJ",
    "NY",
    "PA",
    "TX"
  ],
  "websites": [
    "https://investmentadvisorgroup.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/312448",
  "disclosure_items": [
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(3)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?"
    }
  ],
  "city_as_filed": "HANCOCK",
  "url": "https://advisorcensus.com/firm/investment-advisor-group-hancock-ny-312448",
  "display_name": "Investment Advisor Group",
  "summary": "Investment Advisor Group is an SEC-registered investment advisory firm in Hancock, NY, registered since 2021, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 11, 2026.",
  "citation": "AdvisorCensus. Investment Advisor Group (CRD 312448): 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)",
    "Other"
  ],
  "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)",
    "Publication of periodicals or newsletters"
  ],
  "quick_answers": [
    {
      "q": "How is Investment Advisor Group compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Investment Advisor Group reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); other."
    },
    {
      "q": "How much does Investment Advisor Group charge?",
      "a": "Its Form ADV Part 2A brochure dated March 11, 2026 states: Hourly rate: $300 an hour (financial planning services); Flat fee: up to $25,000 a year (financial planning services). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Investment Advisor Group located?",
      "a": "Investment Advisor Group's principal office is in Hancock, NY, according to its Form ADV."
    },
    {
      "q": "Is Investment Advisor Group registered with the SEC or a state?",
      "a": "Investment Advisor Group is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 312448."
    },
    {
      "q": "How much does Investment Advisor Group manage?",
      "a": "Investment Advisor Group reports $80,956,080 in regulatory assets under management in its Form ADV filing dated March 11, 2026 (100% discretionary)."
    },
    {
      "q": "How have Investment Advisor Group's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Investment Advisor Group: Regulatory assets under management: $151,383,257 in the October 2021 data and $80,956,080 in the October 2026 data, down 47%. Total employees: 17 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Investment Advisor Group serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (113); high net worth individuals (10); charitable organizations (1)."
    },
    {
      "q": "Which custodians does Investment Advisor Group use?",
      "a": "Investment Advisor Group's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Fidelity Brokerage Services LLC as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Investment Advisor Group report any disciplinary disclosures?",
      "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.D(3) (another regulator's finding of causing a business's authorization to be denied, suspended, revoked, or restricted). 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/312448"
    },
    {
      "q": "What changed in Investment Advisor Group's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $72,280,174 to $80,956,080 (+12%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 151383257.0,
      "total_employees": 17,
      "filing_date": "2021-09-30"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 173696109.0,
      "total_employees": 15,
      "filing_date": "2022-03-15"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 78330296.0,
      "total_employees": 10,
      "filing_date": "2023-05-01"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 69977960.0,
      "total_employees": 3,
      "filing_date": "2024-02-27"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 72280174.0,
      "total_employees": 3,
      "filing_date": "2025-06-13"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 80956080.0,
      "total_employees": 3,
      "filing_date": "2026-03-11"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $72,280,174 to $80,956,080 (+12%)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 11, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Hourly rate: $300 an hour (financial planning services)",
      "Flat fee: up to $25,000 a year (financial planning services)"
    ],
    "figures": [
      {
        "label": "Planning fee",
        "statements": [
          "Hourly rate: $300 an hour (financial planning services)"
        ],
        "quotes": [
          "In such case that hourly fees are charged, the fee shall be no more than $300 per hour."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Flat fee: up to $25,000 a year (financial planning services)"
        ],
        "quotes": [
          "When a flat fee is agreed upon and charged, it will vary depending on the services to be provided and may range up to $25,000 per year."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": null,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "hourly",
          "amount": 300.0,
          "min": null,
          "max": null,
          "period": "hour",
          "service": "financial planning services"
        },
        {
          "kind": "flat",
          "amount": null,
          "min": null,
          "max": 25000.0,
          "period": "annual",
          "service": "financial planning services"
        }
      ]
    },
    "quotes": [
      "In such case that hourly fees are charged, the fee shall be no more than $300 per hour.",
      "When a flat fee is agreed upon and charged, it will vary depending on the services to be provided and may range up to $25,000 per year."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Fidelity Brokerage Services LLC",
      "name_as_filed": "FIDELITY BROKERAGE SERVICES LLC",
      "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/investment-advisor-group-hancock-ny-312448.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 113,
      "fewer_than_5": false,
      "raum": 39119525.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 10,
      "fewer_than_5": false,
      "raum": 41624551.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 1,
      "fewer_than_5": true,
      "raum": 212004.0
    }
  ],
  "disclosure_line": "Reports 2 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/312448",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}