Omnistar Financial Group, Inc.
- Regulatory AUM
- $286M
- Discretionary
- $286M
- Clients
- 261
- Avg AUM / client
- $1.1M
- Accounts
- 1,077
- Employees
- 7
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of May 19, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 158 | $50.6M | 17.7% |
| High net worth individuals | 78 | $172M | 60.0% |
| Pension and profit sharing plans | 23 | $60.4M | 21.1% |
| Charitable organizations | 1 | $2.6M | 0.9% |
| Corporations and other businesses | 1 | $645K | 0.23% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Associated Hardwoods, Inc. 401(k) Profit Sharing Plan Associated Hardwoods, Inc. | Granite Falls, NC | 2024 |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Phillip Lloyd Clark | President/Cco | Feb 2002 (25y) | 75% or more | |
| Roger Lee Fuller | Registered representative | CFP | Apr 2021 (5y) | |
| Dustin Thomas Hocken | Registered representative | CFP Chartered Financial Consultant | Apr 2021 (5y) | |
| Lawrence Spell Carr | Registered representative | CFP | Mar 2022 (4y) | |
| Christopher Smith | Registered representative | CFA | Oct 2025 (1y) | |
| Michael Stuart | Registered representative | May 2026 (0y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Associated Hardwoods, Inc. 401(k) Profit Sharing Plan | Associated Hardwoods, Inc. | 199 | $8.5M | 04/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/19/2026 | 899 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Reported custodians
- National Financial Services (Fidelity) $286M (100% of AUM) May 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 19, 2026.
View current Form ADV (SEC/IAPD) ↗