# Sobel Financial LLC

> Sobel Financial LLC is a state-registered investment advisory firm in Denver, CO, registered since 2019, reporting under $25 million in regulatory assets under management in its Form ADV filing dated September 14, 2026.

- CRD: 304019
- Filed as: SOBEL FINANCIAL LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Denver, CO
- Filing period: October 2026
- Form ADV filing dated: September 14, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/304019
- AdvisorCensus page: https://advisorcensus.com/firm/sobel-financial-llc-denver-co-304019

## Quick answers

**How is Sobel Financial LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Sobel Financial LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Sobel Financial LLC located?**
Sobel Financial LLC's principal office is in Denver, CO, according to its Form ADV.

**Is Sobel Financial LLC registered with the SEC or a state?**
Sobel Financial LLC is a state-registered investment advisory firm, registered since 2019. Status as filed: APPROVED. CRD 304019.

**How much does Sobel Financial LLC manage?**
Sobel Financial LLC reports $16,572,399 in regulatory assets under management in its Form ADV filing dated September 14, 2026 (0% discretionary).

**What types of clients does Sobel Financial LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (50); high net worth individuals (3).

**Does Sobel Financial LLC report any disciplinary disclosures?**
Reports 1 disclosure item on Form ADV Item 11: yes answers to 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 public record on IAPD: https://adviserinfo.sec.gov/firm/summary/304019

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $16,572,399
- Discretionary: $0
- Non-discretionary: $16,572,399

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 50 | $12,896,613 |
| High net worth individuals | 3 | $3,675,786 |

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

### Firm details
- Registered since: 2019 (7 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CO
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 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 public record on IAPD: https://adviserinfo.sec.gov/firm/summary/304019

### Websites listed on Form ADV (Item 1.I)
- sobelfinancial.com
- LinkedIn @ryan-sobel

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Sobel Financial LLC (CRD 304019): Form ADV filing data as of October 2026.