{ "crd_number": 293160, "slug": "expand-financial-group-llc-293160", "primary_business_name": "EXPAND FINANCIAL GROUP, LLC", "legal_name": "EXPAND FINANCIAL GROUP, LLC", "dbas": [], "city": null, "state": null, "country": null, "cbsa_code": null, "metro": null, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2026-01-02", "years_registered": 0, "period": "2026-10-01", "filing_date": "2026-05-01", "carried_forward": false, "raum_total": 113456003.0, "raum_discretionary": 97221159.0, "raum_non_discretionary": 16234844.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 11, "advisory_employees": 6, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "charitable": { "raum": 11779161.0, "count": 20 }, "individuals": { "raum": 31354242.0, "count": 232 }, "banking_thrift": { "raum": 0.0, "count": 0, "fewer_than_5": true }, "state_municipal": { "raum": 0.0, "count": 0, "fewer_than_5": true }, "insurance_companies": { "raum": 0.0, "count": 0, "fewer_than_5": true }, "investment_companies": { "raum": 0.0, "count": 0 }, "pension_profit_sharing": { "raum": 0.0, "count": 0, "fewer_than_5": true }, "other_investment_advisers": { "raum": 0.0, "count": 0, "fewer_than_5": true }, "high_net_worth_individuals": { "raum": 70015799.0, "count": 65 }, "pooled_investment_vehicles": { "raum": 0.0, "count": 0 }, "corporations_other_businesses": { "raum": 306801.0, "count": 3, "fewer_than_5": true }, "business_development_companies": { "raum": 0.0, "count": 0 }, "sovereign_wealth_foreign_official": { "raum": 0.0, "count": 0, "fewer_than_5": true } }, "compensation_types": [ "fixed", "hourly", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 2, "states_registered": [ "AZ", "CA", "FL", "HI", "ID", "LA", "MT", "NV", "NY", "OH", "OR", "PA", "TN", "TX", "WA" ], "websites": [ "https://expandfinancialgroup.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/293160", "disclosure_items": [ { "item": "11.D(2)", "question": "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?" }, { "item": "11.D(4)", "question": "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?" } ], "city_as_filed": null, "url": "https://advisorcensus.com/firm/expand-financial-group-llc-293160", "display_name": "Expand Financial Group, LLC", "summary": "Expand Financial Group, LLC is an SEC-registered investment advisory firm, registered since 2026, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated May 1, 2026.", "citation": "AdvisorCensus. Expand Financial Group, LLC (CRD 293160): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Selection of other advisers (including private fund managers)" ], "quick_answers": [ { "q": "How is Expand Financial Group, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Expand Financial Group, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)." }, { "q": "Is Expand Financial Group, LLC registered with the SEC or a state?", "a": "Expand Financial Group, LLC is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 293160." }, { "q": "How much does Expand Financial Group, LLC manage?", "a": "Expand Financial Group, LLC reports $113,456,003 in regulatory assets under management in its Form ADV filing dated May 1, 2026 (86% discretionary)." }, { "q": "What types of clients does Expand Financial Group, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (232); high net worth individuals (65); charitable organizations (20)." }, { "q": "Which custodians does Expand Financial Group, LLC use?", "a": "Expand Financial Group, LLC'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." }, { "q": "Does Expand Financial Group, LLC report any disciplinary disclosures?", "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.D(4) (another regulator's order in the past ten years). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/293160" }, { "q": "Does Expand Financial Group, LLC state an account minimum?", "a": "Its Form ADV Part 2A brochure dated May 1, 2026 says: \"The Firm does not impose minimum account balance requirements for opening and maintaining accounts or otherwise engaging us.\"" }, { "q": "What changed in Expand Financial Group, LLC's recent Form ADV filings?", "a": "In the April 2026 filing data: Registered or notice-filed in ID, NY." } ], "filing_history": [], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Registered or notice-filed in ID, NY." ] }, { "period": "2026-02-01", "period_label": "February 2026", "notes": [ "Newly registered with the SEC." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated May 1, 2026", "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": null, "account_minimum": "None", "account_minimum_may_be_waived": false, "minimum_annual_fee": null, "figures": [ { "label": "Account minimum", "statements": [ "Account minimum: None" ], "quotes": [ "The Firm does not impose minimum account balance requirements for opening and maintaining accounts or otherwise engaging us." ] } ], "quotes": [ "The Firm does not impose minimum account balance requirements for opening and maintaining accounts or otherwise engaging us." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [ { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "affiliated": false } ], "custodians_note": "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.", "markdown_url": "https://advisorcensus.com/firm/expand-financial-group-llc-293160.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 232, "fewer_than_5": false, "raum": 31354242.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 65, "fewer_than_5": false, "raum": 70015799.0 }, { "type": "banking_thrift", "label": "Banking or thrift institutions", "count": 0, "fewer_than_5": true, "raum": 0.0 }, { "type": "investment_companies", "label": "Investment companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "business_development_companies", "label": "Business development companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 0, "fewer_than_5": true, "raum": 0.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 20, "fewer_than_5": false, "raum": 11779161.0 }, { "type": "state_municipal", "label": "State or municipal government entities (including government pension plans)", "count": 0, "fewer_than_5": true, "raum": 0.0 }, { "type": "other_investment_advisers", "label": "Other investment advisers", "count": 0, "fewer_than_5": true, "raum": 0.0 }, { "type": "insurance_companies", "label": "Insurance companies", "count": 0, "fewer_than_5": true, "raum": 0.0 }, { "type": "sovereign_wealth_foreign_official", "label": "Sovereign wealth funds and foreign official institutions", "count": 0, "fewer_than_5": true, "raum": 0.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 3, "fewer_than_5": true, "raum": 306801.0 } ], "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.", "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/293160", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }