# GWN Securities Inc.

> 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.

- CRD: 128929
- Filed as: GWN SECURITIES INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Palm Beach Gardens, FL
- Filing period: October 2026
- Form ADV filing dated: April 13, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/128929
- AdvisorCensus page: https://advisorcensus.com/firm/gwn-securities-inc-palm-beach-gardens-fl-128929

## Quick answers

**How is GWN Securities Inc. compensated?**
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.

**Where is GWN Securities Inc. located?**
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).

**Is GWN Securities Inc. registered with the SEC or a state?**
GWN Securities Inc. is an SEC-registered investment advisory firm, registered since 2004. Status as filed: Approved. CRD 128929.

**How much does GWN Securities Inc. manage?**
GWN Securities Inc. reports $4,753,625,856 in regulatory assets under management in its Form ADV filing dated April 13, 2026 (100% discretionary).

**How have GWN Securities Inc.'s assets and staff changed since 2021?**
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.

**What types of clients does GWN Securities Inc. serve?**
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).

**Which custodians does GWN Securities Inc. use?**
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.

**Does GWN Securities Inc. report any disciplinary disclosures?**
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

**What changed in GWN Securities Inc.'s recent Form ADV filings?**
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%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Other

### Custodians (Schedule D, Section 5.K(3))
- Fidelity Brokerage Services LLC
- Matrix 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.

### Regulatory assets under management (Item 5.F)
- Total: $4,753,625,856
- Discretionary: $4,753,625,856
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 35,546 | $3,886,277,473 |
| High net worth individuals | 2,217 | $850,336,350 |
| Corporations or other businesses not listed above | 30 | $17,012,033 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
- Market timing services

### Firm details
- Registered since: 2004 (22 years)
- Employees: 707 total, 448 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: 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
- Disclosures (Item 11): Reports 3 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 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. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/128929

### Other offices (Schedule D, Section 1.F), as of the May 2026 filing
- Adel, GA
- Altamonte Springs, FL
- Austin, TX
- Bardstown, KY
- Bellport, NY
- Bluffton, SC
- Bordentown, NJ
- Bridgewater, NJ
- Chester, NJ
- Frisco, TX
- Garden Ridge, TX
- Greeley, CO
- Greenwood Village, CO
- Hauppauge, NY
- Henderson, NV
- Kansas City, MO
- Mesquite, TX
- Miami Lakes, FL
- Norwalk, CT
- Owasso, OK
- Pasadena, CA
- South Jordan, UT
- Torrance, CA
- Tucson, AZ
- Wayne, PA

### Websites listed on Form ADV (Item 1.I)
- gwnsecurities.com
- Facebook @GWNSECURITIES

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $2,681,865,281 | 650 | July 14, 2021 |
| October 2022 | $3,143,187,902 | 759 | May 3, 2022 |
| October 2023 | $2,838,916,178 | 755 | March 15, 2023 |
| October 2024 | $3,079,617,915 | 755 | March 27, 2024 |
| October 2025 | $3,650,274,405 | 744 | April 11, 2025 |
| October 2026 | $4,753,625,856 | 707 | April 13, 2026 |

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.

## Changes in the filing (last 12 months)

### 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%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. GWN Securities Inc. (CRD 128929): Form ADV filing data as of October 2026.