GWN Securities Inc.

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

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

The brochure lists different fees for different services or strategies. See the firm's brochure (dated April 13, 2026) for its fees and any account minimum, on the SEC's IAPD site.

$4,753,625,856 as of October 2026, filing dated April 13, 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
• Selection of other advisers (including private fund managers)
• Market timing services

Registration

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

Registered since

2004 (22 years)

Employees

Total: 707. Performing investment advisory functions: 448.

Wrap fee program participation

No.

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

Fidelity Brokerage Services LLCMatrix Trust Company

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 May 2026 filing

Adel, GAAltamonte Springs, FLAustin, TXBardstown, KYBellport, NYBluffton, SCBordentown, NJBridgewater, NJChester, NJFrisco, TXGarden Ridge, TXGreeley, COGreenwood Village, COHauppauge, NYHenderson, NVKansas City, MOMesquite, TXMiami Lakes, FLNorwalk, CTOwasso, OKPasadena, CASouth Jordan, UTTorrance, CATucson, AZWayne, PA

States registered or notice-filed

52 states or jurisdictions

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

3 Reports 3 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.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.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?

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: $2,681,865,281 in the October 2021 data and $4,753,625,856 in the October 2026 data, up 77%.

Total employees: 650 in October 2021 and 707 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. April 2026
   • Employees performing advisory functions went from 423 to 448.
   • Regulatory assets under management went from $3,650,274,405 to $4,753,625,856 (+30%).

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