Equitable Advisors, LLC

• 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 March 31, 2026) for its fees and any account minimum, on the SEC's IAPD site.

$47,255,793,924 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
• Portfolio management for businesses (other than small businesses) or institutional clients
• Pension consulting services
• Selection of other advisers (including private fund managers)
• Educational seminars/workshops

Also doing business as

"BUILD IT" RETIREMENT, #LADYLIFEPLAN#, 1804 FINANCIAL GROUP, 345 WEALTH MANAGEMENT LLC, 360 FINANCIAL MANAGEMENT GROUP, 360 PLANNING PARTNERS, LLC, 3CFINANCIAL, 422 FINANCIAL, 75 STRONG FINANCIAL GROUP, A VERRELLI AND ASSOCIATES, A.P. LUBRANO & COMPANY, INC., ADVANCED BENEFIT DESIGN GROUP, INC., ADVANCED WEALTH STRATEGIES, AETERNUM CAPITAL, ALLAM FINANCIAL SERVICES GROUP, INC., ALLISON FINANCIAL GROUP, INC., ALPHA OMEGA FINANCIAL, LLC, ALPHA PHOENIX, ANASTASIA & ASSOCIATES WEALTH MANAGEMENT SOLUTIONS, ANDERSON FINANCIAL, ANGLE-LAU WEALTH MANAGEMENT, ANTHEM WEALTH, LLC, APOLLO GROUP, ARB WEALTH MANAGEMENT, ARC WEALTH MANAGEMENT, ARDEN FINANCIAL GROUP, ARDEN WEALTH PARTNERS, LLC, ASCEND PLANNING & CONSULTING, LLC, ASCENDANCY FINANCIAL GROUP, ASCENT FINANCIAL GROUP, ASPIRE FINANCIAL GROUP, ASPIRE WEALTH MANAGEMENT, ASTON CAPITAL GROUP, AT ASPEN LLC, ATLAS ADVISOR GROUP, ATLAS FINANCIAL GROUP, ATTORNEYS CAPITAL MANAGEMENT, AVON FINANCIAL GROUP, AYOUCH AND MANTLE FINANCIAL GROUP, B&P RETIREMENT SOLUTIONS, BABCOCK WEALTH MANAGEMENT, BALA FINANCIAL STRATEGIES, BARRETT FINANCIAL SOLUTIONS, BAY AREA PRIVATE WEALTH GROUP, BEACON WEALTH PARTNERS, BEEBE FINANCIAL SOLTIONS, BELUS WEALTH, LLC, BERNIER FINANCIAL SERVICES, BEST FINANCIAL SERVICES, BETTER WORLD FINANCIAL, BL FINANCIAL GROUP, BLU-STAR STRATEGIC ADVISORS, BLUE COVE CAPITAL, BLUE RIDGE FINANCIAL PARTNERS, BLUEPRINT FINANCIAL SOLUTIONS, BLUEWATER WEALTH STRATEGIES, BMK WEALTH MANAGEMENT LLC, BODDY & ASSOCIATES, BOLLINGER ADVISORS, BOSCH FINANCIAL, INC., BOWMAN WEALTH DEFENSE SERVICES, BREMS WEALTH MANAGEMENT, BRIGHT HARBOR WEALTH MANAGEMENT LLC, CAMPUS WEALTH MANAGEMENT, CANOPY FINANCIAL GROUP, CAPITAL FINANCIAL GROUP, CAPITAL MANAGEMENT GROUP OF NEW YORK, CAPITAL STRATEGIES, CAPITALWISE WEALTH MANAGEMENT, LLC, CASCADE WEALTH STRATEGIES, LLC, CBG WEALTH MANAGEMENT, CEDAR AND SAGE FINANCIAL, CENTURY FINANCIAL STRATEGIES, CHRISTE FINANCIAL SERVICES, CITY BENEFITS GROUP, CJ CAPITAL INSURANCE AND FINANCIAL SERVICES, CLARK & ANDERSON FINANCIAL SERVICES, LLC, CLEARGROVE WEALTH PARTNERS, CLERGY PLANNING GROUP, COASTAL WEALTH MANAGEMENT AND INSURANCE SERVICES, COMMUNITY FINANCIAL GROUP, COMPREHENSIVE FINANCIAL STRATEGIES, CORNERSTONE FINANCIAL SERVICES, CORNERSTONE FINANCIAL, LLP, CORNERSTONE PLANNING GROUP, LLC, CORNERSTONE WEALTH MANAGEMENT, COSENTINO FINANCIAL GROUP, LTD, COUNTRY VALUES FINANCIAL, COVE FINANCIAL, LLC, COVENANT ADVISORY GROUP, COVENANT CAPITAL GROUP, COWIE MCGRAW & LESNEY FINANCIAL GROUP, CRIST AND FREDETTE FINANCIAL, CROWNSTONE WEALTH PARTNERS, CS PREMIER FINANCIAL, CUBE FINANCIAL PARTNERS, LLC, CYPRESS FINANCIAL CONSULTANTS, LLC, D3 FINANCIAL SERVICES, DABYN WEALTH STRATEGIES, DAILEY FINANCIAL GROUP, DANIEL M. HOLDT, INC., DAVID SCHMIDT PENSION, INSURANCE & FINANCIAL SERVICES, DAYTON & SYDNEY WEALTH STRATEGIES GROUP, LLC, DEAN J. ROSKO AND ASSOCIATES, DENOVO ADVISORY GROUP, DENOVO MEDICAL ASSOCIATES, DERGALIS ASSOCIATES, DIAPOULES, FEINSTEIN AND KAPLAN FINANCIAL GROUP, DILIGENCE FINANCIAL GROUP, DIVORCE FINANCIAL PARTNERS, DOWNS FISCHER FINANCIAL, DRAKE, DRAKE AND ASSOCIATES, DREAM RETIREMENT STRATEGIES, INC, DRIFTLESS FINANCIAL GROUP, DRISCOLL WEALTH MANAGEMENT LLC, DUNCAN WEALTH MANAGEMENT, DVM FINANCIAL STRATEGIES, EAGLE POINT WEALTH STRATEGIES, EAGLEBRIDGE WEALTH MANAGEMENT, ECP DESIGN & SERVICE GROUP, LTD, EDUCATED WEALTH STRATEGIES, ELEVATE FINANCIAL GROUP, EMERGY GROUP, EMMAUS FINANCIAL GROUP, EMPIRE WEALTH SOLUTIONS LLC, EMPOWERMENT WEALTH STRATEGIES, ENTERPRISE STRATEGIES GROUP, ENVISION STRATEGIC FINANCIAL, LLC, EQUINOX FINANCIAL PARTNERS, LLC, EQUITY WEALTH SOLUTIONS GROUP, ESHELMAN & ASSOCIATES, ESHELMAN FINANCIAL, ESSENTIAL WEALTH STRATEGIES, LLC, EVERGREEN WEALTH STRATEGIES, LLC, EVERSTEADY WEALTH MANAGEMENT, EVOLUTION ADVISORS, EVOLVING WEALTH FINANCIAL, EXECUTIVE BENEFITS FINANCIAL GROUP, EXODUS WEALTH MANAGEMENT GROUP (EXODUS WMG), EXPECT FINANCIAL SERVICES, FALCON FINANCIAL GROUP, LLC, FAMILY FOCUSED FINANCIAL, LLC, FAMILY LEGACY WEALTH SOLUTIONS, FAMILY TREE FINANCIAL STRATEGIES, FAXIO PRIVATE WEALTH, FIDELIS PRIVATE PLANNING, FIDELIS WEALTH STRATEGIES, LLC, FIDIR FINANCIAL GROUP, FINANCIAL COMPASS GROUP, LLC, FINANCIAL DESIGNS WEALTH STRATEGIES, FINANCIAL FOUNDATIONS, FINANCIAL HEALTH GROUP, FIRST CHOICE ADVISORS, LLC, FIRSTRUST FINANCIAL RESOURCES, FIT WEALTH ADVISOR, FLODDER FINANCIAL GROUP, FLODDER FINANCIAL GROUP LLC, FORTRESS WEALTH ADVISORY, FOUNDATION PLANNING GROUP, FOUR OAKS WEALTH STRATEGIES, FOURFRONT GROUP, FRANKLIN GROUP FINANCIAL SERVICES, FRANZEN WEALTH STRATEGIES LLC, FREEDOM FINANCIAL PARTNERS, LLC, FRONT RANGE FINANCIAL PARTNERS, G FINANCIAL GROUP, G3 WEALTH PARTNERS, GABEL FINANCIAL SERVICES, GAMBONE FINANCIAL GROUP, GBS, GEM WEALTH, GEOFFRION WEALTH LTD., GEORGE FINANCIAL INC., GIARDINA CAPITAL MANAGEMENT, GLOVICK FINANCIAL GROUP, GOAL POINT STRATEGIES, GOLDMAN FINANCIAL, GOTHAM WEALTH ADVISORY, GPS WEALTH ADVISORS, GREEN PINNACLES WEALTH MANAGEMENT, GREY DUCK WEALTH MANAGEMENT, GRIGGS AND GRIGGS, GUARDRAIL FINANCIAL, GUARDRAIL FINANCIAL AND INSURANCE SERVICES, HAMAD/KIM FINANCIAL, LLC, HARBORTOWN FINANCIAL GROUP, HARDISTY FINANCIAL & INSURANCE SERVICES, HARVEST FUTURE FINANCIAL, HARVEST WEALTH ADVISORS, LLC, HARVEY CAPITAL GROUP, HARVEYLENVIN CAPITAL, HAWKINS LAAKSO WEALTH MANAGEMENT, HAZARD FINANCIAL SERVICES, HCW RETIREMENT & FINANCIAL SERVICES, HEGDE WALKER EMANS FINANCIAL LEGACY GROUP, HENDERSON FINANCIAL, HENDERSON FINANCIAL & INSURANCE SERVICES, HERITAGE FINANCIAL GROUP, HIGH BLUFF CAPITAL MANAGEMENT, HIGHLAND FINANCIAL GROUP, HIGHPATH ADVISORS, HMD WEALTH MANAGEMENT INC., HOLISTIC FPS, HORIZON WEALTH MANAGEMENT, HOWELL FINANCIAL LLC, HUFFMAN & ROSS WEALTH MANAGEMENT, HULBERT FINANCIAL GROUP, HURON FINANCIAL GROUP, ILLUMINATE FINANCIAL GROUP, LLC, IMPACT WEALTH MANAGEMENT, INFINITY STRATEGIC PARTNERS, LLC, INFINITY WEALTH MANAGEMENT, INSIGHT INVESTMENT INSURANCE, INTEGRATED CAPITAL MANAGEMENT GROUP, INTEGRATED FINANCIAL STRATEGIES, INC., INTEGRITY FINANCIAL GROUP LLC, INTEGRITY WEALTH STRATEGIES, INTUITIVE PLANNING GROUP, IRONBOUND WEALTH MANAGEMENT GROUP, JEM WEALTH MANAGEMENT, JENNINGS WEALTH MANAGEMENT, JMS WEALTH MANAGEMENT, LLC, JONES & ROBERTS FINANCIAL, KAIZEN FINANCIAL PLANNING AND INSURANCE SOLUTIONS, INC., KARMAN AND ASSOCIATES, LTD, KARR BARTH ASSOCIATES, KARR BARTH ASSOCIATES, PRIVATE CLIENT GROUP ADVISORS, KETNER FINANCIAL GROUP, KEYSTONE WEALTH MANAGEMENT, KILLELEA FINANCIAL SERVICES, KING'S LEGACY FINANCIAL, KINGSBRIDGE FINANCIAL GROUP, INC., KLARA FINANCIAL STRATEGY, KLAZMER FINANCIAL GROUP, KPCG KENNEDY PRIVATE CLIENT GROUP, KURTZ AND ASSOCIATES, KURTZ FINANCIAL, LLC, L3P WEALTH SOLUTIONS, LAKE FINANCIAL GROUP, LAKE WEALTH MANAGEMENT, LAKESIDE FINANCIAL PARTNERS, LAWSON HATCH FINANCIAL SERVICES, LEANNE WITH THE PLAN, LEDERACH FINANCIAL, LLC, LEGACY STRATEGIES GROUP, LLC, LEGACY WEALTH MANAGEMENT, LEGACY WEALTH MANAGEMENT STRATEGIES, LEGACY WEALTH STRATEGIES, LEGADO FINANCIAL GROUP, LLC, LEGION FINANCIAL, LEMNIS CAPITAL, LICENTIA FINANCIAL, LIFE LOYAL ADVISORS, LIFE TIME FINANCIAL SERVICES, LIFECAPITAL PARTNERS, LIFECIRCLE, LIFEPRINT PLANNING, LIFETIME RETIREMENT STRATEGIES GROUP, LLC, LIFETIME WEALTH STRATEGIES, LITTON FINANCIAL, LOCKSTEP WEALTH MANAGEMENT, LONERGAN ADVISORS, LLC, LOPER FINANCIAL, LOVELACE FINANCIAL GROUP, LQ FINANCIAL LLC, LUCAS STAUB AND ASSOCIATES WEALTH MANAGEMENT GROUP, LV WEALTH MANAGEMENT, M&H WEALTH MANAGEMENT, MADAKET PARTNERS, MAGIS WEALTH ADVISORS, MAHTANI FINANCIAL, MAINSTREET FINANCIAL SERVICES, MAPSTONE VERITAS FINANCIAL GROUP, MASTER STREET WEALTH MANAGEMENT, LLC, MASTERS ADVISORY PARTNERS, MASTIO FINANCIAL RESOURCES, MATAURO, LLC, MATZ WEALTH MANAGEMENT, INC, MCC FINANCIAL LLC, MCKINNON AND ASSOCIATES PRIVATE WEALTH SERVICES, MDJ FINANCIAL SERVICES INC, MDS WEALTH MANAGEMENT, MEDICAL PROFESSIONAL ADVISORY GROUP, MIAMI VALLEY FINANCIAL SERVICES, MICHAEL BAUTISTA, CFP, MICHAEL J. LIMAS & ASSOCIATES, MILLSON/WALKER FINANCIAL GROUP, LTD., MJM FINANCIAL PARTNERS, MK FINANCIAL SOLUTIONS, LLC, MODERN PLANNING GROUP, LLC, MONARCH FINANCIAL ASSOCIATES, MOORE WEALTH STRATEGIES, LLC, MORENO CAPITAL MANAGEMENT, MOSAIC CAPITAL GROUP, MURDOCK FINANCIAL, NET WORTH MANAGEMENT GROUP, NEW CANAAN GROUP, LLC, NEW PENN WEALTH MANAGEMENT LLC, NEXSTEP FINANCIAL GROUP, LLC, NEXT LEVEL PLANNING, NIGRO WEALTH MANAGEMENT, NOBLE FINANCIAL, NORTH POINTE FINANCIAL GROUP, NORTHGATE FINANCIAL SERVICES, INC., NORTHLIGHT WEALTH PARTNERS, OAK CAPITAL MANAGEMENT, LLC, OAK FINANCIAL PARTNERS, OAKBRIDGE FINANCIAL GROUP, LLC, OAKMONT FINANCIAL LLC, OHANA WEALTH LEGACY, OKUMA CAPITAL MANAGEMENT, OLSEN-SHILIBEER WEALTH MANAGEMENT, OPTIMAL PLANNING PARTNERS, INC, PACE FINANCIAL PARTNERS, LLC, PACIFIC COAST WEALTH STRATEGIES, PADDOCK WEALTH MANAGEMENT, PANNING WEALTH, LLC, PANORAMA INSTITUTIONAL SOLUTIONS, PARADIGM 2020 FINANCIAL STRATEGIES GROUP LLC, PARADIGM WEALTH MANAGEMENT, PARADIS WEALTH, INC., PARAMOUNT ADVISORS GROUP, PARAMOUNT FINANCIAL PARTNERS, LLC, PARTNERS IN PLANNING, LLC, PEACH STATE ADVISORS, PENN ADVISORS FINANCIAL RESOURCES, PERENNIAL WEALTH MANAGEMENT, PERISCOPE WEALTH MANAGEMENT, PERISCOPE WEALTH PARTNERS, PERPETUA WEALTH MANAGEMENT, PHOENIX PRIVATE WEALTH, PHYSICIAN PLANNING ASSOCIATES, PILLAR GROUP, PINNACLE FAMILY WEALTH, PLAN FOR TOMORROW, PLAN YOUR VIRGINIA RETIREMENT, LLC, PLUTUS FINANCIAL PARTNERS, POINT NORTH FINANCIAL, POIRIER ASSOCIATES, LLC, POLLACK FINANCIAL GROUP, PRECISION PRIVATE WEALTH, PREMIER CAPITAL MANAGEMENT GROUP, PREMIER CLIENT GROUP, LLC, PREMIER CONSULTING PARTNERS LLC, PREMIER FINANCIAL RESOURCES, PREMIER HERITAGE, PRESTIGE FINANCIAL GROUP, PRESTIGE WEALTH STRATEGIES, PRICE FINANCIAL SERVICES, PRINCIPATUS WEALTH, PRISM WEALTH STRATEGIES, PRIVATE CLIENT GROUP, PRIVATE WEALTH GROUP, PRIVATE WEALTH PARTNERS LLC, PRIVATE WEALTH STRATEGIES GROUP, PROGRESSIVE WEALTH GROUP, PROMED ADVISORS LLC, PROPOSITUM WEALTH MANAGEMENT, PROVIDENT FINANCIAL, Q6 ADVISORS, INC., QUANTUM FINANCIAL GROUP, QUANTUM FINANCIAL SOLUTIONS, QUANTUM WEALTH, R.I.C.H. PLANNING GROUP, LLC, RAISTONE WEALTH PARTNERS, LLC, RANCHO WEALTH MANAGEMENT, REESE WEALTH MANAGEMENT, REFLECTION FINANCIAL STRATEGIES, LLC, RETIRE HAWAII, RETIREMENT INCOME PLANNING, LLC, RETIREMENT PATH ADVISORS, RITTENBERG ASSOCIATES, RIVER RUN WEALTH ADVISORS, ROBERT P. KETOLA & ASSOCIATES, INC., ROC FINANCIAL SERVICES, ROCKBRIDGE FINANCIAL, ROMAN, ROMAN & ASSOCIATES, LLC, RONNY LIU INSURANCE AND FINANCIAL SERVICES, ROSENZWEIG & ASSOCIATES, ROSS WEALTH STRATEGIES, ROUNDTREE FINANCIAL, ROYAL FINANCIAL PARTNERS, ROYAL WEALTH PLANNERS, RUBIN GOLDMAN AND ASSOCIATES, RWC FINANCIAL GROUP, SARA WEALTH MANAGEMENT, LLC, SCHAPPELL FINANCIAL GROUP, SCHWARTZ FINANCIAL ASSOCIATES OF FIRSTRUST FINANCIAL RESOURCES, SCM ADVISORS, SCOTT J GREENBERG PRIVATE WEALTH MANAGEMENT, SEEBECK ASSOCIATES, SENTRY WEALTH GROUP, SEQUOIA FINANCIAL GROUP, SHUSTER FINANCIAL GROUP, LLC, SIGNATURE GROUP, SIGNATURE WEALTH CONCEPTS, LLC, SIGNATURE WEALTH PARTNERS, SIGNITY FINANCIAL, SINGLETARY FINANCIAL GROUP, SMARTSET2, SMOKEY THOMAS FINANCIAL, SONG VIEW FINANCIAL, SOUND PARTNERS, SOUND PRIVATE WEALTH, SOUTHARD GENERAL GROUP INC., SOUTHERN WEALTH MANAGEMENT, SOUTHWEST WEALTH STRATEGIES, LLC, SPECIAL NEEDS FINANCIAL SERVICES, SPECIALIZED STRATEGIES GROUP, STAR ADVISORS, STAR CITY PRIVATE WEALTH, STELLAR FINANCIAL SERVICES, STEPPING STONES FINANCIAL, STERLING WEALTH MANAGEMENT, LLC, STEWART FINANCIAL GROUP, STONEBRIDGE FINANCIAL GROUP, STONEBRIDGE WEALTH STRATEGIES, STONEGATE FINANCIAL PARTNERS, STRATUS ADVISORS, SULLIVAN & ASSOCIATES, SUMMIT WEALTH GROUP, SUMMIT WEALTH PARTNERS, SURGEONS CAPITAL MANAGEMENT, SYNERGY WEALTH MANAGEMENT, T. M. CAREY & ASSOCIATES, TACK ADVISORS, TAYLOR FINANCIAL STRATEGIES, TFG PRIVATE WEALTH MANAGEMENT, THE ARTEMIS ORGANIZATION, THE BAILEY GROUP, THE BLACKOAK GROUP, LLC, THE CONNECTICUT GROUP, THE DEBART GROUP INC., THE DELLAVECCHIA GROUP, LLC, THE DMG GROUP, THE EMERGY GROUP, THE FALCON FINANCIAL GROUP, LLC, THE FINANCIAL DEPOT, LLC., THE HAWKINS LAAKSO GROUP, THE IM GROUP CAPITAL LLC, THE JETER COMPANY, THE LANGUS GROUP, THE LAW ENFORCEMENT GROUP, THE MANCHESTER GROUP OF FIRSTRUST FINANCIAL RESOURCE, THE MILESTONE GROUP, THE PHILADELPHIA WEALTH MANAGMENT CO., THE PRISM GROUP OF NORTH FLORIDA, INC., THE ROCKLAND GROUP - WEALTH MANAGEMENT, LLC, THE SIGNATURE GROUP, THE SNOW RETIREMENT GROUP, THE SUMMIT GROUP, THE WEALTH ADVISOR GROUP, THE WEALTH COLLECTIVE LLC, TITAN FINANCIAL GROUP, LLC, TJM INTEGRATED WEALTH MANAGEMENT, LLC, TOURBILLON GROUP, TPS FINANCIAL, TRAILHEAD CAPITAL MANAGEMENT GROUP LLC, TRIDENT WEALTH MANAGEMENT, TRINITY WEALTH ADVISORS, TRIPLECROWN WEALTH MANAGEMENT, LLC, TURNING LEAF FINANCIAL, TYRBROOK FINANCIAL, UNITAS WEALTH MANAGEMENT, V.L.F. HUDSON, VANEK CAPITAL MANAGEMENT, VANTAGE FINANCIAL GROUP, VAUGHAN WEALTH MANAGEMENT, VAZQUEZ WEALTH MANAGEMENT, LLC, VERTEX FINANCIAL STRATEGIES, VISTA WEALTH PARTNERS, VITA FINANCIAL GROUP, VOYAGEUR FINANCIAL GROUP, LLC, W. H. BLACK & COMPANY, W.I.T. CAPITAL MANAGEMENT, LLC, WASHINGTON PARK FINANCIAL GROUP, WATERMARK CAPITAL MANAGEMENT, WAYPOINT FINANCIAL PARTNERS, LLC, WEALTH BRIDGE FINANCIAL PARTNERS, WEALTH FINANCIAL COMPASS, WEALTH MANAGEMENT STRATEGIES, WEALTH MANAGEMENT STRATEGIES OF CENTRAL FLORIDA, WEALTH MANAGEMENT STRATEGIES OF FLORIDA, LLC, WEALTH STRATEGY PARTNERS, WEALTH TREE FINANCIAL, WEALTHBRIDGE FINANCIAL PARTNERS, WEALTHBRIDGE LEGACY PARTNERS, WEEKS FINANCIAL GROUP, WELL LIVED WEALTH, LLC, WELLS, ROSELIEB & RAIA WEALTH MANAGEMENT, LLC, WHIDBEY WEALTH MANAGEMENT, WHITE TREE FINANCIAL, WILLIAM S. POOLE FINANCIAL SERVICES, WINDSOR HARBOR FINANCIAL, WISDOM WEALTH MANAGEMENT, WOMEN WEALTH & WISDOM, WOODBURY WEALTH MANAGEMENT, YOUR WEALTH PARTNERS, ZEIGLER FINANCIAL, ZELLER KERN WEALTH ADVISORS, ZEPLOWITZ GROUP, ZEUTENHORST FINANCIAL, INC.

Registration

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

Registered since

1978 (48 years)

Employees

Total: 5,674. Performing investment advisory functions: 4,664.

Wrap fee program participation

No.

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)

25 other offices, as of the October 2026 filing

Atlanta, GABala Cynwyd, PABellevue, WACharlotte, NCCincinnati, OHColumbia, MDDallas, TXFalls Church, VAGreenwood Village, COIndependence, OHIrvine, CAMiami, FLMilwaukee, WIMinneapolis, MNNew York, NYOak Brook, ILOrlando, FLOverland Park, KSPittsburgh, PASan Francisco, CAScottsdale, AZTroy, MIWellesley, MAWilliamsville, NYWoodbridge, NJ

States registered or notice-filed

52 states or jurisdictions

AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVIVTWAWIWVWY

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

10 Reports 10 disclosure items on Form ADV Item 11. View on IAPD.

Questions answered yes on this filing

Regulatory matters Items 11.C to 11.G

• 11.C(1) Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?
• 11.C(2) Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
• 11.C(4) Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
• 11.C(5) Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?
• 11.D(1) Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?
• 11.D(2) Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
• 11.D(4) In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?
• 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?
• 11.E(2) Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?
• 11.G Is the firm or an advisory affiliate now the subject of a regulatory proceeding that could result in a yes answer to any part of 11.C, 11.D, or 11.E?

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: $26,007,934,159 in the October 2021 data and $47,255,793,924 in the October 2026 data, up 82%.

Total employees: 6,057 in October 2021 and 5,674 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
   • Regulatory assets under management went from $42,484,170,010 to $47,255,793,924 (+11%).
2. August 2026
   • Added the business name Windsor Harbor Financial.
   • Added the business name Propositum Wealth Management.
   • Added the business name Plan Your Virginia Retirement, LLC.
   • Added the business name Perpetua Wealth Management.
   • Added the business name LV Wealth Management.
   • Added the business name Litton Financial.
   • Added the business name Fidelis Private Planning.
   • Added the business name Driftless Financial Group.
   • Added the business name Better World Financial.
   • Added the business name Arden Wealth Partners, LLC.
3. May 2026
   • Added the business name Vaughan Wealth Management.
   • Added the business name The Milestone Group.
   • Added the business name Song View Financial.
   • Added the business name Lockstep Wealth Management.
   • Added the business name JEM Wealth Management.
   • Added the business name Eversteady Wealth Management.
   • Added the business name Cleargrove Wealth Partners.
   • Added the business name Aspire Wealth Management.
   • Updated its list of owners and control persons (Schedule A).
4. April 2026
   • Regulatory assets under management went from $38,039,299,080 to $42,484,170,010 (+12%).
   • Employees performing advisory functions went from 4272 to 4664.
   • Added an office in Independence, OH.
   • Added an office in Overland Park, KS.
   • No longer lists an office in Cleveland, OH.
   • No longer lists an office in Stamford, CT.
5. February 2026
   • Added the business name 3CFINANCIAL.
   • Added the business name Emmaus Financial Group.
   • Added the business name Family Focused Financial, LLC.
   • Added the business name Green Pinnacles Wealth Management.
   • Added the business name High Bluff Capital Management.
   • Added the business name Horizon Wealth Management.
   • Added the business name Madaket Partners.
   • Added the business name MILLSON/WALKER Financial Group, Ltd..
   • Added the business name Northlight Wealth Partners.
   • Added the business name Southern Wealth Management.
   • Added the business name Titan Financial Group, LLC.
   • Added the business name Vantage Financial Group.
   • Added the business name Whidbey Wealth Management.
   • Added the business name White Tree Financial.
   • Added the business name Zeller Kern Wealth Advisors.
6. January 2026
   • Updated its list of owners and control persons (Schedule A).
7. November 2025
   • Added the business name Cedar and Sage Financial.
   • Added the business name Century Financial Strategies.
   • Added the business name Covenant Capital Group.
   • Added the business name Holistic FPS.
   • Added the business name Master Street Wealth Management, LLC.
   • Added the business name Paddock Wealth Management.
   • Added the business name Retirement Path Advisors.
   • Added the business name River Run Wealth Advisors.
   • Added the business name ROC Financial Services.

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