{
  "crd_number": 299094,
  "slug": "success-wealth-management-llc-wexford-pa-299094",
  "primary_business_name": "SUCCESS WEALTH MANAGEMENT LLC",
  "legal_name": "SUCCESS WEALTH MANAGEMENT LLC",
  "dbas": [],
  "city": "Wexford",
  "state": "PA",
  "country": "United States",
  "cbsa_code": "38300",
  "metro": {
    "cbsa_code": "38300",
    "common_name": "Pittsburgh",
    "msa_name": "Pittsburgh, PA",
    "path": "/advisors/pa/pittsburgh"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2023-11-30",
  "years_registered": 2,
  "period": "2026-10-01",
  "filing_date": "2026-09-29",
  "carried_forward": false,
  "raum_total": 110470000.0,
  "raum_discretionary": 110470000.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 15,
  "advisory_employees": 15,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 500000.0,
      "count": 2
    },
    "individuals": {
      "raum": 87900000.0,
      "count": 803
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 0.0,
      "count": 0
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 21120000.0,
      "count": 11
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 950000.0,
      "count": 5
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 2,
  "states_registered": [
    "CA",
    "FL",
    "IA",
    "IN",
    "KS",
    "KY",
    "LA",
    "MA",
    "MI",
    "MO",
    "NC",
    "NY",
    "OH",
    "OR",
    "PA",
    "RI",
    "SC",
    "TN",
    "TX",
    "WA",
    "WI"
  ],
  "websites": [
    "https://facebook.com/successwm",
    "https://linkedin.com/company/success-wealth-management-llc",
    "https://successwealth.org",
    "https://twitter.com/SuccessWM"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/299094",
  "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?"
    }
  ],
  "city_as_filed": "WEXFORD",
  "url": "https://advisorcensus.com/firm/success-wealth-management-llc-wexford-pa-299094",
  "display_name": "Success Wealth Management LLC",
  "summary": "Success Wealth Management LLC is an SEC-registered investment advisory firm in Wexford, PA, registered since 2023, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated September 29, 2026.",
  "citation": "AdvisorCensus. Success Wealth Management LLC (CRD 299094): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Success Wealth Management LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Success Wealth Management LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees)."
    },
    {
      "q": "How much does Success Wealth Management LLC charge?",
      "a": "Its Form ADV Part 2A brochure dated June 17, 2026 states: Flat fee: up to $5,000 (Financial Planning Services). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Success Wealth Management LLC located?",
      "a": "Success Wealth Management LLC's principal office is in Wexford, PA, according to its Form ADV; the October 2026 filing also lists 10 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Success Wealth Management LLC registered with the SEC or a state?",
      "a": "Success Wealth Management LLC is an SEC-registered investment advisory firm, registered since 2023. Status as filed: Approved. CRD 299094."
    },
    {
      "q": "How much does Success Wealth Management LLC manage?",
      "a": "Success Wealth Management LLC reports $110,470,000 in regulatory assets under management in its Form ADV filing dated September 29, 2026 (100% discretionary)."
    },
    {
      "q": "How have Success Wealth Management LLC's assets and staff changed since 2024?",
      "a": "In the Form ADV data for Success Wealth Management LLC: Regulatory assets under management: $40,125,000 in the October 2024 data and $110,470,000 in the October 2026 data, up 175%. Total employees: 14 in October 2024 and 15 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Success Wealth Management LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (803); high net worth individuals (11); corporations or other businesses not listed above (5)."
    },
    {
      "q": "Which custodians does Success Wealth Management LLC use?",
      "a": "Success Wealth Management LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Altruist and Charles Schwab & Co., Inc. as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Success Wealth Management LLC report any disciplinary disclosures?",
      "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.D(4) (another regulator's order in the past ten years). 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/299094"
    },
    {
      "q": "Does Success Wealth Management LLC state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated June 17, 2026 says: \"SWM does not require a minimum to open an account.\""
    },
    {
      "q": "What changed in Success Wealth Management LLC's recent Form ADV filings?",
      "a": "In the October 2026 filing data: Added an office in Medford, MA. No longer lists an office in Goodlettsville, TN. No longer lists an office in Portland, OR."
    }
  ],
  "filing_history": [
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 40125000.0,
      "total_employees": 14,
      "filing_date": "2024-09-10"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 66000000.0,
      "total_employees": 13,
      "filing_date": "2025-04-10"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 110470000.0,
      "total_employees": 15,
      "filing_date": "2026-09-29"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-10-01",
      "period_label": "October 2026",
      "notes": [
        "Added an office in Medford, MA.",
        "No longer lists an office in Goodlettsville, TN.",
        "No longer lists an office in Portland, OR."
      ]
    },
    {
      "period": "2026-06-01",
      "period_label": "June 2026",
      "notes": [
        "Employees performing advisory functions went from 13 to 15."
      ]
    },
    {
      "period": "2026-05-01",
      "period_label": "May 2026",
      "notes": [
        "Regulatory assets under management went from $96,600,000 to $110,470,000 (+14%).",
        "Added an office in Harbor Springs, MI."
      ]
    },
    {
      "period": "2026-02-01",
      "period_label": "February 2026",
      "notes": [
        "Regulatory assets under management went from $66,000,000 to $96,600,000 (+46%).",
        "Changed its office addresses in Somerset, MA."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated June 17, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "None",
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Flat fee: up to $5,000 (Financial Planning Services)"
    ],
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: None"
        ],
        "quotes": [
          "SWM does not require a minimum to open an account."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Flat fee: up to $5,000 (Financial Planning Services)"
        ],
        "quotes": [
          "Financial Planning Services are offered based on a negotiable flat fee up to $5,000."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 0.0,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "flat",
          "amount": null,
          "min": null,
          "max": 5000.0,
          "period": "one_time",
          "service": "Financial Planning Services"
        }
      ]
    },
    "quotes": [
      "SWM does not require a minimum to open an account.",
      "Financial Planning Services are offered based on a negotiable flat fee up to $5,000."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Altruist",
      "name_as_filed": "ALTRUIST",
      "affiliated": false
    },
    {
      "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/success-wealth-management-llc-wexford-pa-299094.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 803,
      "fewer_than_5": false,
      "raum": 87900000.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 11,
      "fewer_than_5": false,
      "raum": 21120000.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 2,
      "fewer_than_5": false,
      "raum": 500000.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 5,
      "fewer_than_5": false,
      "raum": 950000.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports 2 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/299094",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}