AMPLIFY FINANCIAL, LLC
Adviser information for AMPLIFY FINANCIAL, LLC last updated from Form ADV on March 31st, 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 | Arizona, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| 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 | 0 | $0 |
| Charitable organizations | 0 | $0 |
| 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 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-128942 |
|---|---|
| SEC ERA File Number | 801-128942 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 325721 |
| Legal Entity Identifier | None |
Principal Office
8605 EAST RAINTREE DRIVESUITE 280
SCOTTSDALE
AZ
United States
Monday - Friday, 8:00 A.M. - 5:00 P.M.
Tel: 602-732-4745, Fax: 602-734-5495
Chief Compliance Officer
JOLEN GARCIA
8605 EAST RAINTREE DRIVE
SUITE 280
SCOTTSDALE
AZ
United States
Tel:
602-732-4745
Fax:
602-734-5495
J******@********M
(Full email address available in API data)
Industry Affiliates
| ASHTON THOMAS INSURANCE AGENCY, LLC | Insurance company or agency |
| ASHTON THOMAS PRIVATE WEALTH | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| AMPLIFY VENTURES GROUP, LLC | Domestic Entity | – | MEMBER | 08/2023 | > 75% |
| BRODT, AARON, PAUL | Individual | – | CHIEF EXECUTIVE OFFICER | 05/2023 | < 5% |
| Garcia, Peggy, Jolen | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2023 | < 5% |
| Brodt, Heidi, Maria | Individual | – | BUSINESS MANAGER | 05/2023 | < 5% |
| HATFIELD, DAVID, T. | Individual | – | CHIEF TECHNOLOGY OFFICER | 05/2023 | < 5% |
| WEALTHVISION, LLC | Domestic Entity | AMPLIFY VENTURES GROUP, LLC | MEMBER | 08/2023 | 50-75% |
| HANA HOLDINGS, LLC | Domestic Entity | AMPLIFY VENTURES GROUP, LLC | MEMBER | 08/2023 | 50-75% |