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Patricia Thom

Independent Financial Group, LLC
42 Years of Experience
San Luis Obispo, CA
13 DisclosuresBroker
View SEC Summary
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Patricia Thom is a registered investment advisor at Independent Financial Group, LLC, based in San Luis Obispo, CA, with 42 years of industry experience. Patricia is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 9 more. Their firm serves 26,635 clients with $13B in assets under management.

Independent Financial Group, LLC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
541 advisors
Number of Clients
26,635 clients
Average Client Portfolio
$485K average
Assets Under Management
$12.9B

Fee Structure

Minimum Investment:$25K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Up to $250K2.00%
$250K - $500K2.00%
$500K - $1.0M2.00%
$1.0M - $2.0M2.00%
$2.0M - $5.0M2.00%
$5M+2.00%

Maximum advisor fee is shown; program fees (0.04% to 0.16%) and transaction charges may apply depending on the selected program. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1880 Santa Barbara Avenue, Suite 220, San Luis Obispo, CA, 93401

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History

Regulatory History (13)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 2014
Settled
Customer Dispute
February 2012
Settled
Customer Dispute
October 2005
Denied
Customer Dispute
February 2003
Denied
Customer Dispute
September 2002
Denied
Customer Dispute
May 2002
Settled
Customer Dispute
August 2001
Settled
Customer Dispute
July 2001
Settled
Customer Dispute
May 2001
Settled
Customer Dispute
January 2001
Settled
Customer Dispute
January 2001
Settled
Employment Separation After Allegations
December 2000
Customer Dispute
January 2000
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Patricia is an officer/director of The Thom Group, a DBA used for marketing purposes since 2001. This activity is investment-related and takes about a quarter of Patricia's time.

Employment History
Current Registrations
Independent Financial Group, LLCBroker
September 2017 - Present · 9 yrs 1 mo
Independent Financial Group, LLC
September 2017 - Present · 9 yrs 1 mo
Previous Registrations
First Allied Advisory Services, INC.
July 2012 - September 2017 · 5 yrs 2 mos
First Allied Securities, INC.
July 2005 - July 2012 · 7 yrs
First Allied Securities, INC.Broker
June 2005 - September 2017 · 12 yrs 3 mos
The Thom Group
January 2003 - November 2017 · 14 yrs 10 mos
Round Hill Securities, INC.Broker
January 2001 - June 2005 · 4 yrs 5 mos
Sutro & CO. IncorporatedBroker
June 1995 - January 2001 · 5 yrs 7 mos
Everen Securities, INC.Broker
September 1990 - July 1995 · 4 yrs 10 mos
Bateman Eichler, Hill Richards, IncorporatedBroker
October 1983 - September 1990 · 6 yrs 11 mos
State Registrations15 states
ALAZCACOFLIDILKYNVNYOKORPATXWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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