Spectrum Wealth Advisory Group, Llc
- Regulatory AUM
- $445M
- Discretionary
- $445M
- Clients
- 670
- Avg AUM / client
- $665K
- Accounts
- 1,520
- Employees
- 5
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 10, 2026
Investments (13F portfolio — 58 positions, $268,945,948)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | First Trust | MF Closed and MF Open | $36,327,689 | 532,040 | 13.5% | 8.16% |
| 2 | Jpmorgan Us | MF Closed and MF Open | $32,769,170 | 534,396 | 12.2% | 7.36% |
| 3 | Columbia Research | MF Closed and MF Open | $32,318,946 | 829,116 | 12.0% | 7.26% |
| 4 | Invesco Nasdaq | MF Closed and MF Open | $24,310,290 | 102,308 | 9.04% | 5.46% |
| 5 | Tcw Flexible | MF Closed and MF Open | $16,693,477 | 425,095 | 6.21% | 3.75% |
| 6 | Invesco Qqq | MF Closed and MF Open | $14,691,747 | 25,454 | 5.46% | 3.3% |
| 7 | John Hancock | MF Closed and MF Open | $11,857,862 | 279,863 | 4.41% | 2.66% |
| 8 | Mfs Active | MF Closed and MF Open | $11,282,735 | 379,635 | 4.2% | 2.53% |
| 9 | Apple Inc | Common Stock | $8,060,867 | 31,762 | 3.0% | 1.81% |
| 10 | State Street | MF Closed and MF Open | $7,836,362 | 85,625 | 2.91% | 1.76% |
| 11 | Ishares S&P | MF Closed and MF Open | $7,079,947 | 45,645 | 2.63% | 1.59% |
| 12 | Invesco S&P | MF Closed and MF Open | $5,867,375 | 56,761 | 2.18% | 1.32% |
| 13 | Wisdomtree Emerging | MF Closed and MF Open | $5,320,994 | 88,536 | 1.98% | 1.19% |
| 14 | Jpmorgan | MF Closed and MF Open | $4,394,241 | 91,892 | 1.63% | 0.99% |
| 15 | First Trust | MF Closed and MF Open | $4,018,972 | 101,927 | 1.49% | 0.9% |
| 16 | Pgim Active | MF Closed and MF Open | $3,815,416 | 110,177 | 1.42% | 0.86% |
| 17 | Invesco S&P | MF Closed and MF Open | $3,038,271 | 20,951 | 1.13% | 0.68% |
| 18 | State Street | MF Closed and MF Open | $2,980,684 | 4,583 | 1.11% | 0.67% |
| 19 | State Street | MF Closed and MF Open | $2,882,079 | 129,706 | 1.07% | 0.65% |
| 20 | First Trust | MF Closed and MF Open | $2,463,514 | 39,303 | 0.92% | 0.55% |
| 21 | First Trust | MF Closed and MF Open | $2,312,254 | 93,349 | 0.86% | 0.52% |
| 22 | Amazon Com | Common Stock | $1,899,425 | 9,120 | 0.71% | 0.43% |
| 23 | Alphabet Inc | Common Stock | $1,808,825 | 6,290 | 0.67% | 0.41% |
| 24 | First Trust | MF Closed and MF Open | $1,805,995 | 11,372 | 0.67% | 0.41% |
| 25 | Alphabet Inc | Common Stock | $1,677,430 | 5,848 | 0.62% | 0.38% |
Top 25 of 58 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 420 | $69.8M | 15.7% |
| High net worth individuals | 226 | $348M | 78.1% |
| Pension and profit sharing plans | 10 | $26.1M | 5.87% |
| Charitable organizations | 14 | $1.6M | 0.37% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Kenneth Lee Christie | Chief Compliance Officer & Managing Member | Chartered Financial Consultant | Sep 2018 (8y) | 75% or more |
| Michael Rutherford Thompson | Partner & Wealth Advisor | Chartered Financial Consultant | Jan 2019 (8y) | 5% – 10% |
| Konner L Christie | Registered representative | CFP | Jan 2025 (2y) |
Undisclosed: 0% – 20% 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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/10/2026 | 903 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
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
Custody
Reported custodians
- LPL Financial $420M (94% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: Mar 10, 2026.
View current Form ADV (SEC/IAPD) ↗