{ "crd_number": 307299, "slug": "wickham-financial-and-insurance-services-marietta-ga-307299", "primary_business_name": "WICKHAM FINANCIAL & INSURANCE SERVICES", "legal_name": "WICKHAM FINANCIAL GROUP, INC.", "dbas": [ "WICKHAM FINANCIAL & INSURANCE SERVICES" ], "city": "Marietta", "state": "GA", "country": "United States", "cbsa_code": "12060", "metro": { "cbsa_code": "12060", "common_name": "Atlanta", "msa_name": "Atlanta-Sandy Springs-Roswell, GA", "path": "/advisors/ga/atlanta" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2022-04-22", "years_registered": 4, "period": "2026-10-01", "filing_date": "2026-03-27", "carried_forward": false, "raum_total": 192959153.0, "raum_discretionary": 76823329.0, "raum_non_discretionary": 116135824.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 4, "advisory_employees": 3, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "other": { "raum": 1196416.0, "count": null, "description": "401KS", "fewer_than_5": true }, "individuals": { "raum": 75770814.0, "count": 255 }, "high_net_worth_individuals": { "raum": 115991923.0, "count": 53 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "pension_consulting", "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "GA", "NC", "SC", "TN", "TX" ], "websites": [ "https://facebook.com/wickhamservices", "https://instagram.com/wickhamservices", "https://linkedin.com/company/wickham-financial-&-insurance-services?viewAsMember=true", "https://wickhamservices.com", "https://youtube.com/channel/UCm4RupDIEF5yFFQ-ixudjjQ" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/307299", "city_as_filed": "MARIETTA", "url": "https://advisorcensus.com/firm/wickham-financial-and-insurance-services-marietta-ga-307299", "display_name": "Wickham Financial & Insurance Services", "summary": "Wickham Financial & Insurance Services is an SEC-registered investment advisory firm in Marietta, GA, registered since 2022, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 27, 2026.", "citation": "AdvisorCensus. Wickham Financial & Insurance Services (CRD 307299): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Pension consulting services" ], "quick_answers": [ { "q": "How is Wickham Financial & Insurance Services compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Wickham Financial & Insurance Services reports these compensation arrangements: a percentage of assets under its management." }, { "q": "Where is Wickham Financial & Insurance Services located?", "a": "Wickham Financial & Insurance Services' principal office is in Marietta, GA, according to its Form ADV." }, { "q": "Is Wickham Financial & Insurance Services registered with the SEC or a state?", "a": "Wickham Financial & Insurance Services is an SEC-registered investment advisory firm, registered since 2022. Status as filed: Approved. CRD 307299." }, { "q": "How much does Wickham Financial & Insurance Services manage?", "a": "Wickham Financial & Insurance Services reports $192,959,153 in regulatory assets under management in its Form ADV filing dated March 27, 2026 (40% discretionary)." }, { "q": "How have Wickham Financial & Insurance Services' assets and staff changed since 2022?", "a": "In the Form ADV data for Wickham Financial & Insurance Services: Regulatory assets under management: $133,731,951 in the October 2022 data and $192,959,153 in the October 2026 data, up 44%. Total employees: 3 in October 2022 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Wickham Financial & Insurance Services serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (255); high net worth individuals (53)." }, { "q": "Which custodians does Wickham Financial & Insurance Services use?", "a": "Wickham Financial & Insurance Services' 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 Wickham Financial & Insurance Services 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/307299" }, { "q": "What changed in Wickham Financial & Insurance Services' recent Form ADV filings?", "a": "In the April 2026 filing data: Regulatory assets under management went from $145,808,313 to $192,959,153 (+32%). Employees performing advisory functions went from 2 to 3." } ], "filing_history": [ { "period": "2022-10-01", "regulatory_assets_under_management": 133731951.0, "total_employees": 3, "filing_date": "2022-03-25" }, { "period": "2023-10-01", "regulatory_assets_under_management": 124984926.0, "total_employees": 3, "filing_date": "2023-09-19" }, { "period": "2024-10-01", "regulatory_assets_under_management": 144405158.0, "total_employees": 4, "filing_date": "2024-06-26" }, { "period": "2025-10-01", "regulatory_assets_under_management": 145808313.0, "total_employees": 4, "filing_date": "2025-03-31" }, { "period": "2026-10-01", "regulatory_assets_under_management": 192959153.0, "total_employees": 4, "filing_date": "2026-03-27" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Regulatory assets under management went from $145,808,313 to $192,959,153 (+32%).", "Employees performing advisory functions went from 2 to 3." ] }, { "period": "2026-01-01", "period_label": "January 2026", "notes": [ "No longer registered or notice-filed in FL." ] } ], "fees_from_brochure": null, "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/wickham-financial-and-insurance-services-marietta-ga-307299.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 255, "fewer_than_5": false, "raum": 75770814.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 53, "fewer_than_5": false, "raum": 115991923.0 }, { "type": "other", "label": "Other", "count": null, "fewer_than_5": true, "raum": 1196416.0 } ], "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/307299", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }