{
  "crd_number": 128929,
  "slug": "gwn-securities-inc-palm-beach-gardens-fl-128929",
  "primary_business_name": "GWN SECURITIES INC.",
  "legal_name": "GWN SECURITIES INC.",
  "dbas": [],
  "city": "Palm Beach Gardens",
  "state": "FL",
  "country": "United States",
  "cbsa_code": "33100",
  "metro": {
    "cbsa_code": "33100",
    "common_name": "Miami",
    "msa_name": "Miami-Fort Lauderdale-West Palm Beach, FL",
    "path": "/advisors/fl/miami"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2004-01-02",
  "years_registered": 22,
  "period": "2026-10-01",
  "filing_date": "2026-04-13",
  "carried_forward": false,
  "raum_total": 4753625856.0,
  "raum_discretionary": 4753625856.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 707,
  "advisory_employees": 448,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 3886277473.0,
      "count": 35546
    },
    "high_net_worth_individuals": {
      "raum": 850336350.0,
      "count": 2217
    },
    "corporations_other_businesses": {
      "raum": 17012033.0,
      "count": 30
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "other",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "market_timing",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 3,
  "states_registered": [
    "AK",
    "AL",
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "IA",
    "ID",
    "IL",
    "IN",
    "KS",
    "KY",
    "LA",
    "MA",
    "MD",
    "ME",
    "MI",
    "MN",
    "MO",
    "MS",
    "MT",
    "NC",
    "ND",
    "NE",
    "NH",
    "NJ",
    "NM",
    "NV",
    "NY",
    "OH",
    "OK",
    "OR",
    "PA",
    "RI",
    "SC",
    "SD",
    "TN",
    "TX",
    "UT",
    "VA",
    "VI",
    "VT",
    "WA",
    "WI",
    "WV",
    "WY"
  ],
  "websites": [
    "https://facebook.com/GWNSECURITIES",
    "https://gwnsecurities.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/128929",
  "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?"
    },
    {
      "item": "11.E(2)",
      "question": "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?"
    }
  ],
  "city_as_filed": "PALM BEACH GARDENS",
  "url": "https://advisorcensus.com/firm/gwn-securities-inc-palm-beach-gardens-fl-128929",
  "display_name": "GWN Securities Inc.",
  "summary": "GWN Securities Inc. is an SEC-registered investment advisory firm in Palm Beach Gardens, FL, registered since 2004, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated April 13, 2026.",
  "citation": "AdvisorCensus. GWN Securities Inc. (CRD 128929): 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)",
    "Other"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Selection of other advisers (including private fund managers)",
    "Market timing services"
  ],
  "quick_answers": [
    {
      "q": "How is GWN Securities Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), GWN Securities Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); other."
    },
    {
      "q": "Where is GWN Securities Inc. located?",
      "a": "GWN Securities Inc.'s principal office is in Palm Beach Gardens, FL, according to its Form ADV; the May 2026 filing also lists 25 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is GWN Securities Inc. registered with the SEC or a state?",
      "a": "GWN Securities Inc. is an SEC-registered investment advisory firm, registered since 2004. Status as filed: Approved. CRD 128929."
    },
    {
      "q": "How much does GWN Securities Inc. manage?",
      "a": "GWN Securities Inc. reports $4,753,625,856 in regulatory assets under management in its Form ADV filing dated April 13, 2026 (100% discretionary)."
    },
    {
      "q": "How have GWN Securities Inc.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for GWN Securities Inc.: 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. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does GWN Securities Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (35,546); high net worth individuals (2,217); corporations or other businesses not listed above (30)."
    },
    {
      "q": "Which custodians does GWN Securities Inc. use?",
      "a": "GWN Securities Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Fidelity Brokerage Services LLC and Matrix Trust Company as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does GWN Securities Inc. report any disciplinary disclosures?",
      "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation), 11.D(4) (another regulator's order in the past ten years), and 11.E(2) (self-regulatory organization's finding of a rule violation). 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/128929"
    },
    {
      "q": "What changed in GWN Securities Inc.'s recent Form ADV filings?",
      "a": "In the April 2026 filing data: 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%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 2681865281.0,
      "total_employees": 650,
      "filing_date": "2021-07-14"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 3143187902.0,
      "total_employees": 759,
      "filing_date": "2022-05-03"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 2838916178.0,
      "total_employees": 755,
      "filing_date": "2023-03-15"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 3079617915.0,
      "total_employees": 755,
      "filing_date": "2024-03-27"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 3650274405.0,
      "total_employees": 744,
      "filing_date": "2025-04-11"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 4753625856.0,
      "total_employees": 707,
      "filing_date": "2026-04-13"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "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%)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Fidelity Brokerage Services LLC",
      "name_as_filed": "FIDELITY BROKERAGE SERVICES LLC",
      "affiliated": false
    },
    {
      "name": "Matrix Trust Company",
      "name_as_filed": "MATRIX TRUST COMPANY",
      "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/gwn-securities-inc-palm-beach-gardens-fl-128929.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 35546,
      "fewer_than_5": false,
      "raum": 3886277473.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 2217,
      "fewer_than_5": false,
      "raum": 850336350.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 30,
      "fewer_than_5": false,
      "raum": 17012033.0
    }
  ],
  "disclosure_line": "Reports 3 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/128929",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}