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DE GROOTE FINANCIAL GROUP, LLC
CRD 168178File 801-78358
APPROVED
Retail clients
Custody
Filing as of May 27, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$1.22B
Above cohort median (national)
Discretionary AUM
$1.22B
Clients
377
2,346 accounts
Employees
9
Above cohort median in CA
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- LARO
- Registration date
- Jul 25, 2013
- Principal office
- 3013 WILLOW LANE, THOUSAND OAKS, CA, 91361
- Phone
- (805) 230-0111
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.22B
- Discretionary AUM
- $1.22B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 2,346
- Non-discretionary accounts
- 0
- Total accounts
- 2,346
- AUM per client
- $3.2M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 12 | $313.8M |
| High net worth individuals | 147 | $731.5M |
| Pension and profit sharing plans | 18 | $17.8M |
| Individuals (other than high net worth individuals) | 200 | $152.8M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 8 | 9 | increased by1 |
| Apr 1, 2026 | Clients | 425 | 377 | decreased by48 |
| Apr 1, 2026 | AUM | $750,623,008 | $1,215,942,608 | increased by$465,319,600 |
| Apr 1, 2026 | Accounts | 2,093 | 2,346 | increased by253 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 7 | 8 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 415 | 425 | increased by10 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $562,690,300 | $750,623,008 | increased by$187,932,708 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,821 | 2,093 | increased by272 |
| Apr 1, 2022 | Clients | 333 | 415 | increased by82 |
| Apr 1, 2022 | AUM | $420,615,000 | $562,690,300 | increased by$142,075,300 |
| Apr 1, 2022 | Accounts | 1,168 | 1,821 | increased by653 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “DE GROOTE” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“DE GROOTE” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.