{ "crd_number": 151197, "slug": "exchange-traded-concepts-llc-oklahoma-city-ok-151197", "primary_business_name": "EXCHANGE TRADED CONCEPTS, LLC", "legal_name": "EXCHANGE TRADED CONCEPTS, LLC", "dbas": [], "city": "Oklahoma City", "state": "OK", "country": "United States", "cbsa_code": "36420", "metro": { "cbsa_code": "36420", "common_name": "Oklahoma City", "msa_name": "Oklahoma City, OK", "path": "/advisors/ok/oklahoma-city" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2009-08-18", "years_registered": 17, "period": "2026-10-01", "filing_date": "2026-02-11", "carried_forward": false, "raum_total": 22952324758.0, "raum_discretionary": 22952324758.0, "raum_non_discretionary": 0.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 16, "advisory_employees": 13, "client_count_bucket": null, "clients_by_type": { "investment_companies": { "raum": 22952324758.0, "count": 130 } }, "compensation_types": [ "fixed", "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_investment_companies", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "NY", "OK" ], "websites": [ "https://exchangetradedconcepts.com", "https://linkedin.com/company/exchange-traded-concepts/about", "https://linkedin.com/in/garrett-stevens-b0a21815", "https://twitter.com/ETCETF" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/151197", "city_as_filed": "OKLAHOMA CITY", "url": "https://advisorcensus.com/firm/exchange-traded-concepts-llc-oklahoma-city-ok-151197", "display_name": "Exchange Traded Concepts, LLC", "summary": "Exchange Traded Concepts, LLC is an SEC-registered investment advisory firm in Oklahoma City, OK, registered since 2009, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated February 11, 2026.", "citation": "AdvisorCensus. Exchange Traded Concepts, LLC (CRD 151197): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Portfolio management for investment companies (and business development companies)", "Selection of other advisers (including private fund managers)" ], "quick_answers": [ { "q": "How is Exchange Traded Concepts, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Exchange Traded Concepts, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Exchange Traded Concepts, LLC located?", "a": "Exchange Traded Concepts, LLC's principal office is in Oklahoma City, OK, according to its Form ADV; the March 2026 filing also lists 1 other office (Schedule D, Section 1.F)." }, { "q": "Is Exchange Traded Concepts, LLC registered with the SEC or a state?", "a": "Exchange Traded Concepts, LLC is an SEC-registered investment advisory firm, registered since 2009. Status as filed: Approved. CRD 151197." }, { "q": "How much does Exchange Traded Concepts, LLC manage?", "a": "Exchange Traded Concepts, LLC reports $22,952,324,758 in regulatory assets under management in its Form ADV filing dated February 11, 2026 (100% discretionary)." }, { "q": "How have Exchange Traded Concepts, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Exchange Traded Concepts, LLC: Regulatory assets under management: $7,310,979,000 in the October 2021 data and $22,952,324,758 in the October 2026 data, up 214%. Total employees: 17 in October 2021 and 16 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Exchange Traded Concepts, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: investment companies (130)." }, { "q": "Does Exchange Traded Concepts, LLC report any disciplinary disclosures?", "a": "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/151197" }, { "q": "What changed in Exchange Traded Concepts, LLC's recent Form ADV filings?", "a": "In the March 2026 filing data: Employees performing advisory functions went from 14 to 13. Regulatory assets under management went from $10,174,416,057 to $22,952,324,758 (+126%)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 7310979000.0, "total_employees": 17, "filing_date": "2021-07-28" }, { "period": "2022-10-01", "regulatory_assets_under_management": 8619465000.0, "total_employees": 21, "filing_date": "2022-08-19" }, { "period": "2023-10-01", "regulatory_assets_under_management": 5687316000.0, "total_employees": 9, "filing_date": "2023-04-19" }, { "period": "2024-10-01", "regulatory_assets_under_management": 5492604000.0, "total_employees": 15, "filing_date": "2024-03-04" }, { "period": "2025-10-01", "regulatory_assets_under_management": 10174416057.0, "total_employees": 17, "filing_date": "2025-03-04" }, { "period": "2026-10-01", "regulatory_assets_under_management": 22952324758.0, "total_employees": 16, "filing_date": "2026-02-11" } ], "recent_changes": [ { "period": "2026-03-01", "period_label": "March 2026", "notes": [ "Employees performing advisory functions went from 14 to 13.", "Regulatory assets under management went from $10,174,416,057 to $22,952,324,758 (+126%)." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/exchange-traded-concepts-llc-oklahoma-city-ok-151197.md", "clients": [ { "type": "investment_companies", "label": "Investment companies", "count": 130, "fewer_than_5": false, "raum": 22952324758.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/151197", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }