{
  "crd_number": 152841,
  "slug": "moss-luse-and-womble-llc-plano-tx-152841",
  "primary_business_name": "MOSS, LUSE & WOMBLE, LLC",
  "legal_name": "MOSS, LUSE & WOMBLE, LLC",
  "dbas": [],
  "city": "Plano",
  "state": "TX",
  "country": "United States",
  "cbsa_code": "19100",
  "metro": {
    "cbsa_code": "19100",
    "common_name": "Dallas",
    "msa_name": "Dallas-Fort Worth-Arlington, TX",
    "path": "/advisors/tx/dallas"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2019-04-10",
  "years_registered": 7,
  "period": "2026-10-01",
  "filing_date": "2026-09-28",
  "carried_forward": false,
  "raum_total": 803162000.0,
  "raum_discretionary": 803162000.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 42,
  "advisory_employees": 21,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 137014000.0,
      "count": 365
    },
    "pension_profit_sharing": {
      "raum": 350595000.0,
      "count": 399
    },
    "high_net_worth_individuals": {
      "raum": 315553000.0,
      "count": 110
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "pension_consulting",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CA",
    "CO",
    "FL",
    "GA",
    "IL",
    "KS",
    "LA",
    "MD",
    "MI",
    "MO",
    "NC",
    "NE",
    "NH",
    "NJ",
    "NM",
    "NV",
    "NY",
    "PA",
    "TX",
    "VA",
    "WA",
    "WI"
  ],
  "websites": [
    "https://facebook.com/MLWFINANCIAL",
    "https://linkedin.com/COMPANY/11034756",
    "https://mlwfinancial.com",
    "https://twitter.com/MOSSLUSEWOMBLE"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/152841",
  "city_as_filed": "PLANO",
  "url": "https://advisorcensus.com/firm/moss-luse-and-womble-llc-plano-tx-152841",
  "display_name": "Moss, Luse & Womble, LLC",
  "summary": "Moss, Luse & Womble, LLC is an SEC-registered investment advisory firm in Plano, TX, registered since 2019, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated September 28, 2026.",
  "citation": "AdvisorCensus. Moss, Luse & Womble, LLC (CRD 152841): 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",
    "Pension consulting services"
  ],
  "quick_answers": [
    {
      "q": "How is Moss, Luse & Womble, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Moss, Luse & Womble, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)."
    },
    {
      "q": "How much does Moss, Luse & Womble, LLC charge?",
      "a": "Its Form ADV Part 2A brochure dated March 24, 2026 states: Asset-based fee: up to 0.45% of assets a year (the maximum the brochure states); Subscription: up to $855 a month (ongoing financial planning monitoring services for business…); Hourly rate: $260 an hour (excess hours); Subscription: $235 a month (Standard 401(k) Plan plan design, installation and…); Subscription: $470 a month (Standard Cash Balance Plan plan design, installation and…). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Moss, Luse & Womble, LLC located?",
      "a": "Moss, Luse & Womble, LLC's principal office is in Plano, TX, according to its Form ADV."
    },
    {
      "q": "Is Moss, Luse & Womble, LLC registered with the SEC or a state?",
      "a": "Moss, Luse & Womble, LLC is an SEC-registered investment advisory firm, registered since 2019. Status as filed: Approved. CRD 152841."
    },
    {
      "q": "How much does Moss, Luse & Womble, LLC manage?",
      "a": "Moss, Luse & Womble, LLC reports $803,162,000 in regulatory assets under management in its Form ADV filing dated September 28, 2026 (100% discretionary)."
    },
    {
      "q": "How have Moss, Luse & Womble, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Moss, Luse & Womble, LLC: Regulatory assets under management: $195,600,000 in the October 2021 data and $803,162,000 in the October 2026 data, up 311%. Total employees: 31 in October 2021 and 42 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Moss, Luse & Womble, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: pension and profit sharing plans (but not the plan participants or government pension plans) (399); individuals (other than high net worth individuals) (365); high net worth individuals (110)."
    },
    {
      "q": "Which custodians does Moss, Luse & Womble, LLC use?",
      "a": "Moss, Luse & Womble, 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 Moss, Luse & Womble, 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/152841"
    },
    {
      "q": "Does Moss, Luse & Womble, LLC state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 24, 2026 says: \"Moss, Luse & Womble does not have any minimum requirements for opening or maintaining an account.\""
    },
    {
      "q": "What changed in Moss, Luse & Womble, LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Employees performing advisory functions went from 18 to 21. Regulatory assets under management went from $595,179,000 to $803,162,000 (+35%). Registered or notice-filed in VA, WA."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 195600000.0,
      "total_employees": 31,
      "filing_date": "2021-08-23"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 298700000.0,
      "total_employees": 31,
      "filing_date": "2022-09-05"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 319593000.0,
      "total_employees": 37,
      "filing_date": "2023-07-07"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 435602000.0,
      "total_employees": 36,
      "filing_date": "2024-03-21"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 595179000.0,
      "total_employees": 35,
      "filing_date": "2025-07-30"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 803162000.0,
      "total_employees": 42,
      "filing_date": "2026-09-28"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 18 to 21.",
        "Regulatory assets under management went from $595,179,000 to $803,162,000 (+35%).",
        "Registered or notice-filed in VA, WA."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 24, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": "0.45% of assets a year",
    "account_minimum": "None",
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Subscription: up to $855 a month (ongoing financial planning monitoring services for business…)",
      "Hourly rate: $260 an hour (excess hours)",
      "Subscription: $235 a month (Standard 401(k) Plan plan design, installation and…)",
      "Subscription: $470 a month (Standard Cash Balance Plan plan design, installation and…)"
    ],
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: up to 0.45% of assets a year (the maximum the brochure states)"
        ],
        "quotes": [
          "Client will pay the Advisor for compensation for its services under this Agreement, an advisory fee at an annual rate of up to 0.45% of assets being managed by the Advisor."
        ]
      },
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: None"
        ],
        "quotes": [
          "Moss, Luse & Womble does not have any minimum requirements for opening or maintaining an account."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Subscription: up to $855 a month (ongoing financial planning monitoring services for business…)"
        ],
        "quotes": [
          "The Advisor will charge a fixed fee for ongoing financial planning monitoring services as follows: • A fee ranging up to $855 per month for business owners of one business"
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Hourly rate: $260 an hour (excess hours)"
        ],
        "quotes": [
          "Advisor may need to bill excess hours at $260.00 per hour."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Subscription: $235 a month (Standard 401(k) Plan plan design, installation and…)"
        ],
        "quotes": [
          "Standard 401(k) Plan (15 or less employees in prior tax year) - $235 per month"
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Subscription: $470 a month (Standard Cash Balance Plan plan design, installation and…)"
        ],
        "quotes": [
          "Standard Cash Balance Plan (15 or less employees in prior tax year) - $470 per month"
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": 0.45,
      "account_minimum": 0.0,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "subscription",
          "amount": null,
          "min": null,
          "max": 855.0,
          "period": "monthly",
          "service": "ongoing financial planning monitoring services for business owners of one business"
        },
        {
          "kind": "hourly",
          "amount": 260.0,
          "min": null,
          "max": null,
          "period": "hour",
          "service": "excess hours"
        },
        {
          "kind": "subscription",
          "amount": 235.0,
          "min": null,
          "max": null,
          "period": "monthly",
          "service": "Standard 401(k) Plan plan design, installation and administration services"
        },
        {
          "kind": "subscription",
          "amount": 470.0,
          "min": null,
          "max": null,
          "period": "monthly",
          "service": "Standard Cash Balance Plan plan design, installation and administration services"
        }
      ]
    },
    "quotes": [
      "Client will pay the Advisor for compensation for its services under this Agreement, an advisory fee at an annual rate of up to 0.45% of assets being managed by the Advisor.",
      "Moss, Luse & Womble does not have any minimum requirements for opening or maintaining an account.",
      "The Advisor will charge a fixed fee for ongoing financial planning monitoring services as follows: • A fee ranging up to $855 per month for business owners of one business",
      "Advisor may need to bill excess hours at $260.00 per hour.",
      "Standard 401(k) Plan (15 or less employees in prior tax year) - $235 per month",
      "Standard Cash Balance Plan (15 or less employees in prior tax year) - $470 per month"
    ],
    "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/moss-luse-and-womble-llc-plano-tx-152841.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 365,
      "fewer_than_5": false,
      "raum": 137014000.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 110,
      "fewer_than_5": false,
      "raum": 315553000.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 399,
      "fewer_than_5": false,
      "raum": 350595000.0
    }
  ],
  "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/152841",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}