# Appian Way Financial

> Appian Way Financial is an SEC-registered investment advisory firm in Pasadena, CA, registered since 2024, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 23, 2026.

- CRD: 168109
- Filed as: APPIAN WAY FINANCIAL
- Legal name: Appian Way Financial LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Pasadena, CA
- Filing period: October 2026
- Form ADV filing dated: March 23, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/168109
- AdvisorCensus page: https://advisorcensus.com/firm/appian-way-financial-pasadena-ca-168109

## Quick answers

**How is Appian Way Financial compensated?**
On its Form ADV (Item 5.E, October 2026), Appian Way Financial reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**Where is Appian Way Financial located?**
Appian Way Financial's principal office is in Pasadena, CA, according to its Form ADV.

**Is Appian Way Financial registered with the SEC or a state?**
Appian Way Financial is an SEC-registered investment advisory firm, registered since 2024. Status as filed: Approved. CRD 168109.

**How much does Appian Way Financial manage?**
Appian Way Financial reports $142,870,837 in regulatory assets under management in its Form ADV filing dated March 23, 2026 (97% discretionary).

**How have Appian Way Financial's assets and staff changed since 2025?**
In the Form ADV data for Appian Way Financial: Regulatory assets under management: $123,693,132 in the October 2025 data and $142,870,837 in the October 2026 data, up 16%. Total employees: 1 in October 2025 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Appian Way Financial serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (81); high net worth individuals (23).

**Which custodians does Appian Way Financial use?**
Appian Way Financial's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Appian Way Financial report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/168109

**Does Appian Way Financial state an account minimum?**
Its Form ADV Part 2A brochure dated March 23, 2026 says: "Appian Way Financial does not require minimum income levels, minimum level of assets or other conditions for its services."

**What changed in Appian Way Financial's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $123,693,132 to $142,870,837 (+16%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated March 23, 2026)

- Account minimum: None

> Appian Way Financial does not require minimum income levels, minimum level of assets or other conditions for its services.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $142,870,837
- Discretionary: $137,994,806
- Non-discretionary: $4,876,031

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 81 | $66,871,529 |
| High net worth individuals | 23 | $55,310,382 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Not reported | $0 |
| Charitable organizations | Fewer than 5 | $20,688,926 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 2024 (1 year)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2025 | $123,693,132 | 1 | March 15, 2025 |
| October 2026 | $142,870,837 | 1 | March 23, 2026 |

Regulatory assets under management: $123,693,132 in the October 2025 data and $142,870,837 in the October 2026 data, up 16%.
Total employees: 1 in October 2025 and 1 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $123,693,132 to $142,870,837 (+16%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Appian Way Financial (CRD 168109): Form ADV filing data as of October 2026.