Convergence Financial

• A percentage of assets under your management
• Hourly charges
• Fixed fees (other than subscription fees)

Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ

See the firm's brochure (dated June 22, 2026) for its fees and any account minimum, on the SEC's IAPD site.

$903,955,351 as of October 2026, filing dated September 30, 2026.

A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means

A firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.

• Financial planning services
• Portfolio management for individuals and/or small businesses
• Pension consulting services

Legal name

Convergence Financial, LLC

Also doing business as

360 INTEGRATED FINANCIAL, CONVERGENCE FINANCIAL & TAX, CONVERGENCE WEALTH, FOUR RIVERS FINANCIAL, GREAT PLAINS WEALTH PARTNERS, HOMEBROOK WEALTH, HORIZON WEALTH PARTNERS, LEGACY GROUP FINANCIAL ADVISORS, LEGACY WEALTH MGT., LLC, RAMOS GROUP, TELOS STRATEGIC WEALTH, WESCOAT WEALTH MANAGEMENT

Registration

SEC-registered investment adviser. Status as filed: Approved.

Registered since

2019 (7 years)

Employees

Total: 18. Performing investment advisory functions: 13.

Wrap fee program participation

Yes.

Custodians (Schedule D, Section 5.K(3))

LPL Financial LLC

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.

Other offices (Schedule D, Section 1.F)

11 other offices, as of the October 2026 filing

Boonville, MOBranson, MOEagan, MNFairmont, MNForsyth, MOIndependence, MONew Madrid, MOOverland Park, KSOzark, MOSedona, AZWichita, KS

States registered or notice-filed

28 states or jurisdictions

ARAZCACOFLGAIAILINKSLAMDMIMNMOMTNCNENHNYOHPASCTNTXUTVAWI

SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration

1 Reports 1 disclosure item on Form ADV Item 11. View on IAPD.

Questions answered yes on this filing

Regulatory matters Items 11.C to 11.G

• 11.D(5) Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. What happened, and who was involved, is on the Disclosure Reporting Pages of the IAPD record. Reading a firm's disclosures

Regulatory assets under management: $215,611,495 in the October 2021 data and $903,955,351 in the October 2026 data, up 319%.

Total employees: 19 in October 2021 and 18 in October 2026.

As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.

1. October 2026
   • No longer lists the business name Pharos Private Wealth.
   • No longer lists the business name Legacy Wealth Management.
   • No longer lists the business name Commercial Trust Financial Services.
   • Added the business name Legacy Wealth MGT., LLC.
   • Added the business name Horizon Wealth Partners.
   • Added the business name Homebrook Wealth.
   • Added an office in Sedona, AZ.
   • No longer lists an office in Fayette, MO.
   • No longer lists an office in Salisbury, MO.
2. September 2026
   • Added the business name Pharos Private Wealth.
   • Added the business name Great Plains Wealth Partners.
   • Added an office in Eagan, MN.
   • Added an office in Wichita, KS.
   • No longer lists an office in Apple Valley, MN.
3. July 2026
   • Added the business name Legacy Wealth Management.
4. May 2026
   • Updated its list of owners and control persons (Schedule A).
5. April 2026
   • Item 11 disclosure answers changed: 1 yes answer, previously 0 (now yes: 11.D(5)).
   • Regulatory assets under management went from $703,445,900 to $903,955,351 (+29%).
   • Registered or notice-filed in MD.
6. February 2026
   • Added an office in Overland Park, KS.
   • Registered or notice-filed in MI, NH.
7. November 2025
   • Added the business name Convergence Wealth.
   • Added an office in Forsyth, MO.

Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.