CAMBRIDGE FINANCIAL GROUP, LLC (CRD# 117428)


Item 5 Information About Your Advisory Business - Employees, Clients, and Compensation
Responses to this Item help us understand your business, assist us in preparing for on-site examinations, and provide us with data we use when making regulatory policy. Part 1A Instruction 5.a. provides additional guidance to newly formed advisers for completing this Item 5.
Employees
 
If you are organized as a sole proprietorship, include yourself as an employee in your responses to Item 5.A. and Items 5.B.(1), (2), (3), (4), and (5). If an employee performs more than one function, you should count that employee in each of your responses to Items 5.B.(1), (2), (3), (4), and (5).
 
A.   Approximately how many employees do you have? Include full- and part-time employees but do not include any clerical workers.
5
 
B. (1)   Approximately how many of the employees reported in 5.A. perform investment advisory functions (including research)?
4
(2) Approximately how many of the employees reported in 5.A. are registered representatives of a broker-dealer?
0
(3) Approximately how many of the employees reported in 5.A. are registered with one or more state securities authorities as investment adviser representatives?
5
(4) Approximately how many of the employees reported in 5.A. are registered with one or more state securities authorities as investment adviser representatives for an investment adviser other than you?
0
(5) Approximately how many of the employees reported in 5.A. are licensed agents of an insurance company or agency?
0
(6) Approximately how many firms or other persons solicit advisory clients on your behalf?
0
 
In your response to Item 5.B.(6), do not count any of your employees and count a firm only once – do not count each of the firm's employees that solicit on your behalf.
 
Clients
 
In your responses to Items 5.C. and 5.D. do not include as "clients" the investors in a private fund you advise, unless you have a separate advisory relationship with those investors.
 
C. (1) To approximately how many clients for whom you do not have regulatory assets under management did you provide investment advisory services during your most recently completed fiscal year?
0
(2) Approximately what percentage of your clients are non-United States persons?
1%
 
D. For purposes of this Item 5.D., the category "individuals" includes trusts, estates, and 401(k) plans and IRAs of individuals and their family members, but does not include businesses organized as sole proprietorships.
The category "business development companies" consists of companies that have made an election pursuant to section 54 of the Investment Company Act of 1940. Unless you provide advisory services pursuant to an investment advisory contract to an investment company registered under the Investment Company Act of 1940, do not answer (d)(1) or (d)(3) below.


Indicate the approximate number of your clients and amount of your total regulatory assets under management (reported in Item 5.F. below) attributable to each of the following type of client. If you have fewer than 5 clients in a particular category (other than (d), (e), and (f)) you may check Item 5.D.(2) rather than respond to Item 5.D.(1).

The aggregate amount of regulatory assets under management reported in Item 5.D.(3) should equal the total amount of regulatory assets under management reported in Item 5.F.(2)(c) below.

If a client fits into more than one category, select one category that most accurately represents the client to avoid double counting clients and assets. If you advise a registered investment company, business development company, or pooled investment vehicle, report those assets in categories (d), (e), and (f) as applicable.
 
Type of Client (1) Number of Client(s) (2) Fewer than 5 Clients (3) Amount of Regulatory Assets under Management
(a) Individuals (other than high net worth individuals) Checkbox not checked $
(b) High net worth individuals Checkbox not checked $
(c) Banking or thrift institutions Checkbox not checked $
(d) Investment companies   $
(e) Business development companies   $
(f) Pooled investment vehicles (other than investment companies and business development companies)   $
(g) Pension and profit sharing plans (but not the plan participants or government pension plans) Checkbox not checked $
(h) Charitable organizations Checkbox not checked $
(i) State or municipal government entities (including government pension plans) Checkbox not checked $
(j) Other investment advisers Checkbox not checked $
(k) Insurance companies Checkbox not checked $
(l) Sovereign wealth funds and foreign official institutions Checkbox not checked $
(m) Corporations or other businesses not listed above Checkbox not checked $
(n) Other:   Checkbox not checked $
 
Compensation Arrangements
E. You are compensated for your investment advisory services by (check all that apply):
Checkbox checked, changed   (1)    A percentage of assets under your management
Checkbox not checked (2) Hourly charges
Checkbox not checked (3) Subscription fees (for a newsletter or periodical)
Checkbox checked, changed (4) Fixed fees (other than subscription fees)
Checkbox not checked (5) Commissions
Checkbox not checked (6) Performance-based fees
Checkbox not checked (7) Other (specify):
 


Item 5 Information About Your Advisory Business - Regulatory Assets Under Management
Regulatory Assets Under Management
Yes No
F.   (1) Do you provide continuous and regular supervisory or management services to securities portfolios?
 Radio button selected, changed  Radio button not selected
(2) If yes, what is the amount of your regulatory assets under management and total number of accounts?
U.S. Dollar Amount Total Number of Accounts
Discretionary: (a) $ 0 (d) 0
Non-Discretionary: (b) $ 185,900,000 (e) 847
Total: (c) $ 185,900,000 (f) 847
 
Part 1A Instruction 5.b. explains how to calculate your regulatory assets under management. You must follow these instructions carefully when completing this Item.
 
(3) What is the approximate amount of your total regulatory assets under management (reported in Item 5.F.(2)(c) above) attributable to clients who are non-United States persons?
$


Item 5 Information About Your Advisory Business - Advisory Activities
Advisory Activities
G.   What type(s) of advisory services do you provide? Check all that apply.
Checkbox checked, changed   (1)    Financial planning services
Checkbox checked, changed (2) Portfolio management for individuals and/or small businesses
Checkbox not checked (3) Portfolio management for investment companies (as well as "business development companies" that have made an election pursuant to section 54 of the Investment Company Act of 1940)
Checkbox not checked (4) Portfolio management for pooled investment vehicles (other than investment companies)
Checkbox not checked (5) Portfolio management for businesses (other than small businesses) or institutional clients (other than registered investment companies and other pooled investment vehicles)
Checkbox not checked (6) Pension consulting services
Checkbox not checked (7) Selection of other advisers (including private fund managers)
Checkbox not checked (8) Publication of periodicals or newsletters
Checkbox not checked (9) Security ratings or pricing services
Checkbox not checked (10) Market timing services
Checkbox not checked (11) Educational seminars/workshops
Checkbox checked, changed (12) Other(specify): TAX PREPARATION
 
Do not check Item 5.G.(3) unless you provide advisory services pursuant to an investment advisory contract to an investment company registered under the Investment Company Act of 1940, including as a subadviser. If you check Item 5.G.(3), report the 811 or 814 number of the investment company or investment companies to which you provide advice in Section 5.G.(3) of Schedule D.

H. If you provide financial planning services, to how many clients did you provide these services during your last fiscal year?
 Radio button not selected  0
 Radio button not selected 1 - 10
 Radio button not selected 11 - 25
 Radio button not selected 26 - 50
 Radio button not selected 51 - 100
 Radio button selected, changed 101 - 250
 Radio button not selected 251 - 500
 Radio button not selected More than 500
If more than 500, how many?
(round to the nearest 500)


In your responses to this Item 5.H., do not include as "clients" the investors in a private fund you advise, unless you have a separate advisory relationship with those investors.

Yes No
I. (1) Do you participate in a wrap fee program?  Radio button not selected  Radio button selected, changed
(2) If you participate in a wrap fee program, what is the amount of your regulatory assets under management attributable to acting as:
(a) sponsor to a wrap fee program
     $
(b) portfolio manager for a wrap fee program?
     $
(c) sponsor to and portfolio manager for the same wrap fee program?
     $

If you report an amount in Item 5.I.(2)(c), do not report that amount in Item 5.I.(2)(a) or Item 5.I.(2)(b).

If you are a portfolio manager for a wrap fee program, list the names of the programs, their sponsors and related information in Section 5.I.(2) of Schedule D.

If your involvement in a wrap fee program is limited to recommending wrap fee programs to your clients, or you advise a mutual fund that is offered through a wrap fee program, do not check Item 5.I.(1) or enter any amounts in response to Item 5.I.(2).
Yes No
J. (1) In response to Item 4.B. of Part 2A of Form ADV, do you indicate that you provide investment advice only with respect to limited types of investments?  Radio button not selected  Radio button selected, changed
(2) Do you report client assets in Item 4.E. of Part 2A that are computed using a different method than the method used to compute your regulatory assets under management?  Radio button not selected  Radio button selected, changed

K.

Separately Managed Account Clients
Yes No
(1) Do you have regulatory assets under management attributable to clients other than those listed in Item 5.D.(3)(d)-(f) (separately managed account clients)?  Radio button not selected  Radio button not selected


If yes, complete Section 5.K.(1) of Schedule D.


(2) Do you engage in borrowing transactions on behalf of any of the separately managed account clients that you advise?

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If yes, complete Section 5.K.(2) of Schedule D.


(3) Do you engage in derivative transactions on behalf of any of the separately managed account clients that you advise?

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If yes, complete Section 5.K.(2) of Schedule D.


(4) After subtracting the amounts in Item 5.D.(3)(d)-(f) above from your total regulatory assets under management, does any custodian hold ten percent or more of this remaining amount of regulatory assets under management?

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If yes, complete Section 5.K.(3) of Schedule D for each custodian.