STRATEGIC RETIREMENT ADVISORS, LLC of ELK GROVE, CA is an SEC-registered investment adviser (CRD 142887). Regulatory assets under management: $216.9M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pensions.
| Name | Role | Location |
|---|---|---|
| Brent Gerald Mick | CHIEF COMPLIANCE OFFICER | — |
| Jeffrey Elvis Miller | MANAGING MEMBER | — |
| MICK BRENT GERALD | CHIEF COMPLIANCE OFFICER | — |
| MILLER JEFFREY ELVIS | MANAGING MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-10-06 | civil | PLAINTIFF ALLEGES STRATEGIC RETIREMENT ADVISORS, LLC (SRA) ADVISED IT TO ESTABLISH A NEW QUALIFIED GOVERNMENTAL DEFINED CONTRIBUTION PLAN. PLAINTIFF ALLEGES THIRD-PARTY ADMINISTRATOR AND CUSTODIAN, ALSO NAMED DEFENDANTS, DID NOT PROPERLY ESTABLISH AND ADMINISTER THE NEW PLAN; AND ITS PRIOR PLAN'S TH… | Final | $33K |
| 2016-01-12 | civil | PLAINTIFF ALLEGES STRATEGIC RETIREMENT ADVISORS, LLC (SRA) ADVISED IT TO ESTABLISH A NEW QUALIFIED GOVERNMENTAL DEFINED CONTRIBUTION PLAN. PLAINTIFF ALLEGES THIRD-PARTY ADMINISTRATOR AND CUSTODIAN, ALSO NAMED DEFENDANTS, DID NOT PROPERLY ESTABLISH AND ADMINISTER THE NEW PLAN; AND ITS PRIOR PLAN'S TH… | Final | $33K |