EXPAND FINANCIAL, LLC
Adviser information for EXPAND FINANCIAL, LLC last updated from Form ADV on March 12th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,460 | $1.3B |
| Non-Discretionary | 61 | $59.1M |
| Total | 1,521 | $1.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 90 | $15.9M |
| HNW Individuals | 22 | $55.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 1,330 | $1.3B |
| Charitable organizations | <5 | $3.5M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)CONSULTING |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesPERCENTAGE OF TOTAL PLAN ASSETS |
Identifiers
| SEC RIA File Number | 801-121644 |
|---|---|
| SEC ERA File Number | 801-121644 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 152515 |
| Legal Entity Identifier | None |
Principal Office
7935 SOUTH BEMIS STREETLITTLETON
CO
United States
Monday - Friday, 8 AM TO 5 PM
Tel: 720-387-8158, Fax: None
Chief Compliance Officer
SHERI A. BAKER
CHIEF COMPLIANCE OFFICER
400 AUSTIN AVENUE
WACO
TX
United States
Tel:
419-564-7192
Fax:
419-756-3961
S*****@******************M
(Full email address available in API data)
Regulatory Contact
QUINTAN KOCHER
ADVISOR
2600 SILVER FOX TRAIL
ASHLAND
OH
United States
Tel:
419-606-5592
Q******@******************M
(Full email address available in API data)
Industry Affiliates
| SUMMIT BENEFITS INSURANCE, LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BAKER, SHERI, ANNIS | Individual | – | CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER | 12/2009 | < 5% |
| JULY BUSINESS SERVICES HOLDINGS, LLC | Domestic Entity | – | MEMBER | 09/2022 | > 75% |
| JBS HOLDINGS GROUP, LLC | Domestic Entity | JULY BUSINESS SERVICES HOLDINGS, LLC | MEMBER | 09/2022 | 25-50% |
| PLATFORM JULY BUSINESS SERVICES HOLDINGS, LLC | Domestic Entity | JULY BUSINESS SERVICES HOLDINGS, LLC | MEMBER | 09/2022 | 50-75% |
| BAKKE, GREGORY, MICHAEL | Individual | – | CEO | 12/2020 | < 5% |