AdvisorCensus / Financial advisors / Palm Springs Advisory LLC
Palm Springs Advisory LLC is an SEC-registered investment advisory firm, registered since 2017, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated September 2, 2026.
Quick answers
From the filingHow is Palm Springs Advisory LLC compensated?
On its Form ADV (Item 5.E, October 2026), Palm Springs Advisory LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; performance-based fees.
How much does Palm Springs Advisory LLC charge?
Its Form ADV Part 2A brochure dated August 4, 2026 states: Up to $1,000,000: 2% a year; $1,000,001 to $5,000,000: 1.75% a year; Above $5,000,000: 1.5% a year; Hourly rate: $500 an hour (Consulting services). Fees can differ by service and may be negotiable; the brochure is the complete statement.
Is Palm Springs Advisory LLC registered with the SEC or a state?
Palm Springs Advisory LLC is an SEC-registered investment advisory firm, registered since 2017. Status as filed: Approved. CRD 289398.
How much does Palm Springs Advisory LLC manage?
Palm Springs Advisory LLC reports $35,506,240 in regulatory assets under management in its Form ADV filing dated September 2, 2026 (15% discretionary).
How have Palm Springs Advisory LLC's assets and staff changed since 2021?
In the Form ADV data for Palm Springs Advisory LLC: Regulatory assets under management: $3,930,000 in the October 2021 data and $35,506,240 in the October 2026 data, up 803%. Total employees: 1 in October 2021 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Palm Springs Advisory LLC serve?
By number of clients on Form ADV Item 5.D: high net worth individuals (18); corporations or other businesses not listed above (5); individuals (other than high net worth individuals) (2).
Which custodians does Palm Springs Advisory LLC use?
Palm Springs Advisory LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Interactive Brokers LLC as custodians holding 10% or more of its separately managed account assets.
Does Palm Springs Advisory LLC report any disciplinary disclosures?
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/289398
Does Palm Springs Advisory LLC state an account minimum?
Its Form ADV Part 2A brochure dated August 4, 2026 says: "The minimum account size is $100,000 but can be less at the Firm’s discretion."
What changed in Palm Springs Advisory LLC's recent Form ADV filings?
In the April 2026 filing data: Regulatory assets under management went from $4,723,133 to $35,506,240 (+652%).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Hourly charges
- Performance-based fees
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
Fees and minimums
Form ADV Part 2A| Assets | Annual rate |
|---|---|
| Up to $1,000,000 | 2% |
| $1,000,001 to $5,000,000 | 1.75% |
| Above $5,000,000 | 1.5% |
The brochure's wording
PSA charges an annualized percentage of Net Liquidation Value (NLV), billed monthly in arrears and deducted at the beginning of the following month. Each Client’s written fee Schedule must select one valuation method: average daily adjusted NLV or month-end adjusted NLV.
AUM Management Fee 0<$1,000,000 2.0% $1,000,001-$5,000,000 1.75% Over $5,000,000 1.5%
Account minimum: $100,000 (the brochure says it may be waived or negotiated)
The brochure's wording
The minimum account size is $100,000 but can be less at the Firm’s discretion.
Hourly rate: $500 an hour (Consulting services)
The brochure's wording
Consulting services are charged at up to $500 per hour or a fixed project fee stated in a separate written engagement.
As stated in the firm's Form ADV Part 2A brochure dated August 4, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$35,506,240 as of October 2026, filing dated September 2, 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
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2017 (8 years)
- Employees
- Total: 2. Performing investment advisory functions: 1.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
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.
- States registered or notice-filed
-
1 state or jurisdiction
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $35,506,240 | 2 | September 2, 2026 |
| October 2025 | $2,015,591 | 1 | March 28, 2025 |
| October 2024 | $1,659,074 | 1 | March 7, 2024 |
| October 2023 | $1,693,736 | 1 | March 29, 2023 |
| October 2022 | $3,143,013 | 1 | March 25, 2022 |
| October 2021 | $3,930,000 | 1 | August 18, 2021 |
Regulatory assets under management: $3,930,000 in the October 2021 data and $35,506,240 in the October 2026 data, up 803%.
Total employees: 1 in October 2021 and 2 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.
Changes in the filing
Last 12 months- April 2026
- Regulatory assets under management went from $4,723,133 to $35,506,240 (+652%).
- January 2026
- Regulatory assets under management went from $2,015,591 to $4,723,133 (+134%).
- Updated its list of owners and control persons (Schedule A).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Palm Springs Advisory LLC (CRD 289398): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/palm-springs-advisory-llc-289398