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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 1b 10b

SIMPLICITY WEALTH

SIMPLICITY WEALTH LLC, CRD 300572

SUMMIT, NJ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1625124d-e397-f46b-5bba-6df76ddbdff0

Data as of Jul 8, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 310
Dated events: 40
On other graphs: 0
Observed: Feb 6, 2019 to Jul 8, 2026
83 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: mixed wealth managerderivedprivate_client_share=0.4 fund_share=0.59 institutional_share=0.0 related_bd=true related_bank=false bd_reps=24.0
Regulatory AUM: $4.3BItem 5.F on the latest filing (2026-07-08); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $4.2B
Private client RAUM: $1.7BderivedItem 5.D individuals plus high net worth individuals
Private client share: 40%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 204
RAUM per advisor: $20.9Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 424
Advisory employees: 190
Offices: 52Schedule D 1.F, beyond the principal office
Accounts: 14,045
Individual clients: 7,811
High net worth clients: 645
Custody, client assets: $1.5B
SEC number: 801-114798
CIK: 1913243
CRD: 300572
Filings on the tape: 83
First filed: Feb 6, 2019
Latest filed: Jul 8, 2026
Organised: Limited Liability Company, DE
Website: taylorwealthandinsurance.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 202

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
AUGUST HENRY VELTEN	n/a	SUMMIT, NJ \| Melbourne, FL	7	16	2	no
Chad Emmerson Blanton	n/a	SUMMIT, NJ \| Phoenix, AZ	7	18	1	no
JEFFREY IAN MCCARTY	n/a	Santa Clarita, CA \| SUMMIT, NJ	7	29	2	no
DAVID JAY VOGEL	n/a	SUMMIT, NJ \| Sandy Springs, GA	7	44	7	no
RODNEY DEAN JARRELL	Certified Financial Planner	SUMMIT, NJ \| Carrollton, TX	7	17	3	no
DONALD A SHELTON	n/a	SUMMIT, NJ \| Miami, FL	6	21	2	no
Robert Thomas Murphy	n/a	Glastonbury, CT \| SUMMIT, NJ	5	25	4	yes
CHRISTOPHER FREDIANI GEIST	n/a	SUMMIT, NJ \| Eden Prairie, MN	5	19	1	no
Nathaniel Paul Barton	n/a	Phoenix, AZ \| SUMMIT, NJ	5	20	4	no
Daniel Scott Rhoads	n/a	Pennsburg, PA \| SUMMIT, NJ	5	10	n/a	no
THOMAS JOHN ROZMAN	Chartered Financial Analyst	SUMMIT, NJ \| Minneapolis, MN	4	39	1	no
Elena M Larson	n/a	SUMMIT, NJ \| Meredith, NH	4	26	2	no
Justin Jay Jones	n/a	SUMMIT, NJ \| Dacula, GA	4	13	n/a	no
ALAN DEAN CANTRELL	n/a	Fayetteville, AR \| SUMMIT, NJ	4	40	4	no
WALTER GORDON DECHERD	n/a	Houston, TX \| SUMMIT, NJ	3	18	1	no
Matthew Frank Krueger	n/a	Hampshire, IL \| SUMMIT, NJ	3	20	1	no
DAVID BRADLEY FORREST	n/a	Radnor, PA \| SUMMIT, NJ	3	11	1	no
Patrick Chevalier	n/a	Houston, TX \| SUMMIT, NJ	3	17	2	no
Mike Nimmo	Certified Financial Planner	SUMMIT, NJ \| Minneapolis, MN	3	12	1	no
Natalie Cantrell Yarbrough	n/a	Fayetteville, AR \| SUMMIT, NJ	3	15	1	no
HOYT SCOTT ROBEY	Chartered Financial Consultant	SUMMIT, NJ \| Woods Cross, UT	3	35	6	no
ROBERT CANNON	n/a	Riverside, CT \| SUMMIT, NJ	3	35	1	no
Ted F Henley	n/a	Colorado Springs, CO \| SUMMIT, NJ	3	10	n/a	no
PAULA JEAN REYNOLDS	n/a	SUMMIT, NJ \| Woodbury, MN	3	15	n/a	no
WILLIAM BOYD MILLER	n/a	SUMMIT, NJ \| Mandeville, LA	3	26	1	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
DONALDSON, BRUCE, GEORGE	CHIEF EXECUTIVE OFFICER/BOARD MEMBER	Na	yes	01/2019	Jul 8, 2026	Jul 8, 2026
LEIDNER, MITCHELL, MARC	CFO AND TREASURER/BOARD MEMBER	Na	yes	09/2021	Jul 8, 2026	Jul 8, 2026
MCCANN, ERIN, BARTLETT	President	Na	yes	01/2019	Jul 8, 2026	Jul 8, 2026
Parker, Christina	GENERAL COUNSEL	Na	yes	09/2021	Jul 8, 2026	Jul 8, 2026
Raider, Scott, N	CHIEF COMPLIANCE OFFICER	Na	yes	02/2025	Jul 8, 2026	Jul 8, 2026
ROZMAN, THOMAS, JOHN	CHIEF INVESTMENT OFFICER	Na	yes	12/2021	Jul 8, 2026	Jul 8, 2026
SIMPLICITY FINANCIAL MARKETING	Owner	E	yes	01/2019	Jul 8, 2026	Jul 8, 2026
LEE EQUITY PARTNERS III GP, LLC	GENERAL PARTNER	F	yes	12/2020	Apr 21, 2021	Sep 20, 2024
LEP PEQUOD GP, LLC	GENERAL PARTNER	F	yes	12/2020	Apr 21, 2021	Sep 20, 2024
LEP PEQUOD HOLDINGS LP	Stockholder	E	yes	12/2020	Apr 21, 2021	Sep 20, 2024
LEP SIMPLICITY HOLDINGS, L.P.	Member	E	yes	12/2020	Apr 21, 2021	Sep 20, 2024
Margolies, Jared	CHIEF COMPLIANCE OFFICER	Na	yes	10/2023	May 1, 2020	Sep 20, 2024
PEQUOD MIDCO INC	Stockholder	E	yes	12/2020	Apr 21, 2021	Sep 20, 2024
PEQUOD TOPCO INC.	Stockholder	E	yes	12/2020	Apr 21, 2021	Sep 20, 2024
SIMPLICITY FINANCIAL MARKETING GROUP HOLDINGS INC.	Stockholder	F	yes	02/2018	Feb 6, 2019	Sep 20, 2024
SIMPLICITY FINANCIAL MARKETING HOLDINGS INC.	Owner	E	yes	01/2019	Feb 6, 2019	Sep 20, 2024
TINNIRELLO, PAUL, ADAM	EXECUTIVE VICE PRESIDENT	Na	no	10/2023	Jul 8, 2026	Jul 8, 2026
Wickersham, Sean, David	BOARD MEMBER	Na	no	08/2023	Jul 8, 2026	Jul 8, 2026

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CORECAP ADVISORS, LLC	n/a	Bd affiliated wealth	$4.0B	N	yes	n/a
TLG ADVISORS, INC.	n/a	Bd affiliated wealth	$2.3B	N	yes	n/a
LIFEPRO ASSET MANAGEMENT, LLC	n/a	Former SEC adviser	$311M	N	yes	n/a
CORECAP INVESTMENTS, LLC	n/a	n/a	n/a	N	yes	n/a
SIMPLICITY FINANCIAL MARKETING HOLDINGS INC.	n/a	n/a	n/a	N	yes	n/a
THE LEADERS GROUP, INC.	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published; showing 30 of 48

City	State	Country	Employees	Also broker-dealer
Phoenix	Az	United States	3	no
Charlotte	Nc	United States	3	no
Fayetteville	Ar	United States	2	no
Bloomington	Mn	United States	2	no
PINE BROOK	Nj	United States	2	no
Mcallen	TX	United States	2	no
Hoover	Al	United States	1	no
Flagstaff	Az	United States	1	no
SANTA CLARITA	CA	United States	1	no
Denver	Co	United States	1	no
GREENWOOD VILLAGE	Co	United States	1	yes
Glastonbury	Ct	United States	1	yes
Riverside	Ct	United States	1	no
Clearwater	FL	United States	1	no
FORT LAUDERDALE	FL	United States	1	no
Melbourne	FL	United States	1	no
Miami	FL	United States	1	no
Miami	FL	United States	1	no
ORANGE PARK	FL	United States	1	no
PALM HARBOR	FL	United States	1	no
PONTE VEDRA BEACH	FL	United States	1	no
WINTER PARK	FL	United States	1	no
WEST DES MOINES	Ia	United States	1	no
Hampshire	IL	United States	1	no
PRAIRIE VILLAGE	Ks	United States	1	no
Florence	Ky	United States	1	no
Mandeville	La	United States	1	no
Plymouth	Ma	United States	1	no
EDEN PRAIRIE	Mn	United States	1	no
Woodbury	Mn	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 7 of 9

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 8, 2026	$4.3B	$4.2B	424	190	52	n/a	n/a
2024	Mar 26, 2025	$3.6B	$3.5B	242	242	52	n/a	n/a
2023	Mar 27, 2024	$3.2B	$3.1B	159	159	52	n/a	n/a
2022	Mar 30, 2023	$201M	$201M	46	42	33	n/a	n/a
2021	Mar 28, 2022	$173M	$173M	39	35	30	n/a	n/a
2020	Apr 1, 2021	$165M	$165M	46	46	38	n/a	n/a
2019	Mar 31, 2020	$49.3M	$49.3M	41	41	36	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
59	16	43	7.8%	17	1	0	133	42

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$4.3B	$3.6B	18.7%	$201M	177.0%	424	242	52	52

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
KINETIC INVESTMENT MANAGEMENT, INC.	3	Feb 22, 2024	Mar 7, 2024	SUMMIT, NJ	Team lift out	RIA to RIA	4.6%
BEACON ASSOCIATES WEALTH MANAGEMENT, LLC	2	Apr 8, 2022	Mar 14, 2022	SUMMIT, NJ	Team lift out	RIA to RIA	7.4%
AE WEALTH MANAGEMENT, LLC	2	Mar 1, 2022	May 10, 2022	PEORIA, AZ	Team lift out	RIA to ibd	6.7%
FOUNDATIONS INVESTMENT ADVISORS LLC	2	Apr 12, 2021	May 19, 2021	LAFAYETTE, LA	Team lift out	RIA to RIA	6.5%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MOBILE BAY WEALTH MANAGEMENT, LLC	2	Jul 14, 2026	Jul 14, 2026	MOBILE, AL	Team lift out	Other	100.0%
APTUS WEALTH MANAGEMENT, LLC	2	Jun 29, 2026	Feb 24, 2025	LEWIS CENTER, OH	Team lift out	Other	100.0%
CONNECT FINANCIAL ADVISORS	2	Mar 17, 2026	Apr 16, 2026	LOGAN, UT	Team lift out	Other	33.3%
CETERA INVESTMENT ADVISERS LLC	4	Jan 21, 2026	Jul 3, 2026	SAN DIEGO, CA	Team lift out	Ibd to RIA	0.0%
BROOKSTONE WEALTH ADVISORS, LLC	2	Aug 15, 2025	Sep 9, 2025	CREAM RIDGE, NJ	Team lift out	Other	0.9%
MUTUAL TRUST ASSET MGMT., INC.	2	Aug 8, 2025	Aug 20, 2025	OCALA, FL	Team lift out	RIA to RIA	33.3%
IAMS WEALTH MANAGEMENT, LLC	2	Feb 11, 2025	Feb 13, 2025	GRAND RAPIDS, MI	Team lift out	Other	4.0%
EHLERT FINANCIAL GROUP, INC.	2	Sep 5, 2024	Sep 13, 2024	LINCOLNSHIRE, IL	Team lift out	Other	50.0%
FOUNDATIONS INVESTMENT ADVISORS LLC	2	Aug 15, 2024	Jan 2, 2025	WINDHAM, NH	Team lift out	Other	1.1%
SIMPLICITY SOLUTIONS, LLC	2	Mar 27, 2024	Apr 2, 2024	MINNEAPOLIS, MN	Team lift out	Other	66.7%
SIMPLICITY SOLUTIONS, LLC	2	Dec 31, 2022	Dec 5, 2023	MINNEAPOLIS, MN	Team lift out	Other	40.0%
WEALTH WATCH ADVISORS, INC	2	Oct 15, 2019	Oct 28, 2019	MIAMI, FL	Team lift out	RIA to new firm	6.9%
VIRTUE CAPITAL MANAGEMENT, LLC	2	Jul 29, 2019	Aug 7, 2019	BRENTWOOD, TN	Team lift out	RIA to new firm	2.7%

Relationships

showing 80 of 310

Registered with (77)

← EDDIE GHANSHYAMBHAI PATELAdvisorregistration: current employment
Sep 8, 2026 to presentfactForm ADV
← Timothy Adam BeauregardAdvisorregistration: current employment
Sep 4, 2026 to presentfactForm ADV
← Sean IrvinAdvisorregistration: current employment
Aug 27, 2026 to presentfactForm ADV
← John Lester MashburnAdvisorregistration: current employment
Aug 12, 2026 to presentfactForm ADV
← LOGAN RICHARD HARRISAdvisorregistration: current employment
Aug 6, 2026 to presentfactForm ADV
← JACK EDWARD TRENTAdvisorregistration: current employment
Aug 4, 2026 to presentfactForm ADV
← Richard Dale PearsonAdvisorregistration: current employment
Jul 31, 2026 to presentfactForm ADV
← Edward RujaAdvisorregistration: current employment
Jul 30, 2026 to presentfactForm ADV
← MICHAEL ANTHONY CORRIGANAdvisorregistration: current employment
Jul 27, 2026 to presentfactForm ADV
← Dylan SunderlandAdvisorregistration: current employment
Jul 27, 2026 to presentfactForm ADV
← GRANT A THERRIENAdvisorregistration: current employment
Jul 20, 2026 to presentfactForm ADV
← Joel Steven RieckAdvisorregistration: current employment
Jul 17, 2026 to presentfactForm ADV
← DAVID ANDREW HARRYAdvisorregistration: current employment
Jul 14, 2026 to presentfactForm ADV
← VIRGINIA MCNEIL O'BRIENAdvisorregistration: current employment
Jul 14, 2026 to presentfactForm ADV
← LACY GEIL MULROYAdvisorregistration: current employment
Jul 14, 2026 to presentfactForm ADV
← Christopher Lee WholehanAdvisorregistration: current employment
Jul 13, 2026 to presentfactForm ADV
← Clinton SpradleyAdvisorregistration: current employment
Jul 10, 2026 to presentfactForm ADV
← Ryan Michael BridgesAdvisorregistration: current employment
Jul 9, 2026 to presentfactForm ADV
← Antonino M FilipponeAdvisorregistration: current employment
Jul 8, 2026 to presentfactForm ADV
← ANTONIO MICHAEL FILIPPONEAdvisorregistration: current employment
Jul 7, 2026 to presentfactForm ADV
← Benjamin John SmithAdvisorregistration: current employment
Jul 7, 2026 to presentfactForm ADV
← Steven MusserAdvisorregistration: current employment
Jul 3, 2026 to presentfactForm ADV
← ROBERT VANCE BURNETTEAdvisorregistration: current employment
Jul 2, 2026 to presentfactForm ADV
← Trent Michael HartAdvisorregistration: current employment
Jun 18, 2026 to presentfactForm ADV
← Phylip Charles SimmonsAdvisorregistration: current employment
Jun 10, 2026 to presentfactForm ADV
← Sergio SerranoAdvisorregistration: current employment
Jun 9, 2026 to presentfactForm ADV
← Adam SevierAdvisorregistration: current employment
Jun 4, 2026 to presentfactForm ADV
← Sandeep VarmaAdvisorregistration: current employment
May 27, 2026 to presentfactForm ADV
← Ryan Jennestad LovellAdvisorregistration: current employment
May 27, 2026 to presentfactForm ADV
← Kevin Aaron KrauseAdvisorregistration: current employment
May 18, 2026 to presentfactForm ADV
and 47 more

Affiliated with (3)

→ TLG ADVISORS, INC.Registered adviserother investment adviser, common control
factForm ADV
→ CORECAP ADVISORSRegistered adviserother investment adviser, common control
factForm ADV
→ LIFEPRO ASSET MANAGEMENTRegistered adviserother investment adviser, common control
factForm ADV

Dated events

4 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jul 20, 2026
Advisor changed firm
Troy James Hines left Simplicity Wealth for Virtue Capital Management, Llc (registered 2026-08-11)
Form ADVobserved 5 days ago
Occurred
Jul 14, 2026
Team lift-out
2 advisors left Mobile Bay Wealth Management, LLC (Mobile, AL) for Simplicity Wealth on the same day
Form ADVobserved 5 days ago
2 advisors
Occurred
Jun 29, 2026
Team lift-out
2 advisors left Aptus Wealth Management, LLC (Lewis Center, OH) for Simplicity Wealth within 2 days
Form ADVobserved 5 days ago
2 advisors
Occurred
Jun 18, 2026
Advisor changed firm
Doran Joseph O'Brien left Simplicity Wealth for Trajan Wealth, L.L.C. (registered 2026-07-13)
Form ADVobserved 5 days ago
Occurred
May 22, 2026
Advisor changed firm
Anthony Edwin Echang left Simplicity Wealth for Wells Fargo Advisors (registered 2026-06-16)
Form ADVobserved 5 days ago
Occurred
May 18, 2026
Advisor changed firm
Nathan David Smith left Simplicity Wealth for Foundations Investment Advisors Llc (registered 2026-06-01)
Form ADVobserved 5 days ago
Occurred
May 15, 2026
Advisor changed firm
James R Newman left Simplicity Wealth for Portside Wealth Group, Llc (registered 2026-05-27)
Form ADVobserved 5 days ago
Occurred
May 11, 2026
Advisor changed firm
Chad Patrick Budy left Simplicity Wealth for Brookstone Capital Management Llc (registered 2026-05-19)
Form ADVobserved 5 days ago
Occurred
Apr 15, 2026
Advisor changed firm
David Morgan left Simplicity Wealth for Cambridge Investment Research Advisors, Inc. (registered 2026-09-02)
Form ADVobserved 5 days ago
Occurred
Mar 17, 2026
Team lift-out
2 advisors left Connect Financial Advisors (Logan, UT) for Simplicity Wealth within 3 days
Form ADVobserved 5 days ago
2 advisors
Occurred
Feb 3, 2026
Advisor changed firm
James Paul Ball left Simplicity Wealth for Virtue Capital Management, Llc (registered 2026-02-12)
Form ADVobserved 5 days ago
Occurred
Jan 30, 2026
Advisor changed firm
Hilary Zaragoza left Simplicity Wealth for Aegis Wealth Management, Inc. (registered 2026-02-18)
Form ADVobserved 5 days ago
Occurred
Jan 21, 2026
Team lift-out
4 advisors left Cetera Investment Advisers LLC (San Diego, CA) for Simplicity Wealth on the same day
Form ADVobserved 5 days ago
4 advisors
Occurred
Jan 6, 2026
Advisor changed firm
Billie Carter Miles left Simplicity Wealth for Signal Advisors Wealth, Llc (registered 2026-07-22)
Form ADVobserved 5 days ago
Occurred
Dec 16, 2025
Advisor changed firm
Tilden Lester Sowdon left Simplicity Wealth for Tlg Advisors, Inc. (registered 2025-12-12)
Form ADVobserved 5 days ago
Occurred
Dec 8, 2025
Advisor changed firm
Amy Marie Roberts left Simplicity Wealth for Creativeone Wealth, Llc (registered 2025-12-10)
Form ADVobserved 5 days ago
Occurred
Nov 24, 2025
Advisor changed firm
Santoria Simone Texidor left Simplicity Wealth for J.P. Morgan Securities Llc (registered 2026-01-22)
Form ADVobserved 5 days ago
Occurred
Oct 20, 2025
Advisor changed firm
Denver William Nowicz left Simplicity Wealth for Wealth For Life, Llc (registered 2025-10-15)
Form ADVobserved 5 days ago
Occurred
Oct 17, 2025
Advisor changed firm
Ronald T Swanick left Simplicity Wealth for Independent Wealth Network, Inc. (registered 2025-10-21)
Form ADVobserved 5 days ago
Occurred
Oct 16, 2025
Advisor changed firm
Kenneth D. Greene left Simplicity Wealth for Ae Wealth Management, Llc (registered 2025-10-07)
Form ADVobserved 5 days ago
Occurred
Sep 10, 2025
Advisor changed firm
Matthew Glen Oaks left Simplicity Wealth for Ae Wealth Management, Llc (registered 2025-09-02)
Form ADVobserved 5 days ago
Occurred
Aug 15, 2025
Team lift-out
2 advisors left Brookstone Wealth Advisors, LLC (Cream Ridge, NJ) for Simplicity Wealth on the same day
Form ADVobserved 5 days ago
2 advisors
Occurred
Aug 8, 2025
Team lift-out
2 advisors left Mutual Trust Asset Mgmt., Inc. (Tampa, FL) for Simplicity Wealth on the same day
Form ADVobserved 5 days ago
2 advisors
Occurred
Jul 23, 2025
Advisor changed firm
Daniel Aurelian Nicolaescu left Simplicity Wealth for Lasting Mark Retirement Group Llc (registered 2025-08-11)
Form ADVobserved 5 days ago
Occurred
Jul 22, 2025
Advisor changed firm
Randy Dominic Jaramillo left Simplicity Wealth for Foundations Investment Advisors Llc (registered 2025-07-23)
Form ADVobserved 5 days ago
Occurred
Jul 2, 2025
Advisor changed firm
Stephen Scott Harper left Simplicity Wealth for Advisor Share Wealth Management, Llc (registered 2025-07-02)
Form ADVobserved 5 days ago
Occurred
Jun 16, 2025
Advisor changed firm
Emile Paul Dufrene left Simplicity Wealth for Foundations Investment Advisors Llc (registered 2025-06-20)
Form ADVobserved 5 days ago
Occurred
Jun 9, 2025
Advisor changed firm
David Alan King left Simplicity Wealth for Allstate Financial Advisors, Llc (registered 2025-08-01)
Form ADVobserved 5 days ago
Occurred
Apr 25, 2025
Advisor changed firm
Ted Miller left Simplicity Wealth for The Fiduciary Alliance (registered 2025-10-30)
Form ADVobserved 5 days ago
Occurred
Feb 19, 2025
Advisor changed firm
Bryan Peterson left Simplicity Wealth for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-04-28)
Form ADVobserved 5 days ago
Occurred
Feb 11, 2025
Team lift-out
2 advisors left Iams Wealth Management, LLC (Grand Rapids, MI) for Simplicity Wealth on the same day
Form ADVobserved 4 days ago
2 advisors
Occurred
Dec 19, 2024
Advisor changed firm
Ryan Davidson left Simplicity Wealth for Mml Investors Services, Llc (registered 2025-07-07)
Form ADVobserved 5 days ago
Occurred
Dec 16, 2024
Advisor changed firm
Andrew R Zimmer left Simplicity Wealth for Curi Capital, Llc (registered 2025-04-16)
Form ADVobserved 5 days ago
Occurred
Sep 13, 2024
Advisor changed firm
Joseph Carmen Deitrich left Simplicity Wealth for Foundations Investment Advisors Llc (registered 2024-09-16)
Form ADVobserved 5 days ago
Occurred
Sep 5, 2024
Team lift-out
2 advisors left Ehlert Financial Group, Inc. (Lincolnshire, IL) for Simplicity Wealth on the same day
Form ADVobserved 5 days ago
2 advisors
Occurred
Sep 3, 2024
Advisor changed firm
Gaetan Reginald Policard left Simplicity Wealth for Foundations Investment Advisors Llc (registered 2024-09-06)
Form ADVobserved 5 days ago

Show 4 bookkeeping events

Occurred
Sep 15, 2026
Matthew Mccormack registered as an investment adviser representative at Simplicity Wealth
Occurred
Sep 15, 2026
Edward James Mercier registered as an investment adviser representative at Simplicity Wealth
Occurred
Sep 14, 2026
Jason Siebert registered as an investment adviser representative at Simplicity Wealth
Occurred
Mar 26, 2025
Simplicity Wealth reported 134 state-registered advisory representatives, up from 73 (2025-01-24 to 2025-03-26)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1625124d-e397-f46b-5bba-6df76ddbdff0
First observed: Feb 6, 2019
Last observed: Jul 8, 2026 2 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SIMPLICITY WEALTH

SIMPLICITY WEALTH LLC, CRD 300572

SUMMIT, NJ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1625124d-e397-f46b-5bba-6df76ddbdff0

Data as of Jul 8, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:43 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

AUGUST HENRY VELTEN

n/a

SUMMIT, NJ | Melbourne, FL

Chad Emmerson Blanton

n/a

SUMMIT, NJ | Phoenix, AZ

JEFFREY IAN MCCARTY

n/a

Santa Clarita, CA | SUMMIT, NJ

DAVID JAY VOGEL

n/a

SUMMIT, NJ | Sandy Springs, GA

RODNEY DEAN JARRELL

Certified Financial Planner

SUMMIT, NJ | Carrollton, TX

DONALD A SHELTON

n/a

SUMMIT, NJ | Miami, FL

Robert Thomas Murphy

n/a

Glastonbury, CT | SUMMIT, NJ

yes

CHRISTOPHER FREDIANI GEIST

n/a

SUMMIT, NJ | Eden Prairie, MN

Nathaniel Paul Barton

n/a

Phoenix, AZ | SUMMIT, NJ

Daniel Scott Rhoads

n/a

Pennsburg, PA | SUMMIT, NJ

n/a

THOMAS JOHN ROZMAN

Chartered Financial Analyst

SUMMIT, NJ | Minneapolis, MN

Elena M Larson

n/a

SUMMIT, NJ | Meredith, NH

Justin Jay Jones

n/a

SUMMIT, NJ | Dacula, GA

n/a

ALAN DEAN CANTRELL

n/a

Fayetteville, AR | SUMMIT, NJ

WALTER GORDON DECHERD

n/a

Houston, TX | SUMMIT, NJ

Matthew Frank Krueger

n/a

Hampshire, IL | SUMMIT, NJ

DAVID BRADLEY FORREST

n/a

Radnor, PA | SUMMIT, NJ

Patrick Chevalier

n/a

Houston, TX | SUMMIT, NJ

Mike Nimmo

Certified Financial Planner

SUMMIT, NJ | Minneapolis, MN

Natalie Cantrell Yarbrough

n/a

Fayetteville, AR | SUMMIT, NJ

HOYT SCOTT ROBEY

Chartered Financial Consultant

SUMMIT, NJ | Woods Cross, UT

ROBERT CANNON

n/a

Riverside, CT | SUMMIT, NJ

Ted F Henley

n/a

Colorado Springs, CO | SUMMIT, NJ

n/a

PAULA JEAN REYNOLDS

n/a

SUMMIT, NJ | Woodbury, MN

n/a

WILLIAM BOYD MILLER

n/a

SUMMIT, NJ | Mandeville, LA

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DONALDSON, BRUCE, GEORGE

CHIEF EXECUTIVE OFFICER/BOARD MEMBER

yes

01/2019

Jul 8, 2026

LEIDNER, MITCHELL, MARC

CFO AND TREASURER/BOARD MEMBER

yes

09/2021

Jul 8, 2026

MCCANN, ERIN, BARTLETT

President

yes

01/2019

Jul 8, 2026

Parker, Christina

GENERAL COUNSEL

yes

09/2021

Jul 8, 2026

Raider, Scott, N

CHIEF COMPLIANCE OFFICER

yes

02/2025

Jul 8, 2026

ROZMAN, THOMAS, JOHN

CHIEF INVESTMENT OFFICER

yes

12/2021

Jul 8, 2026

SIMPLICITY FINANCIAL MARKETING

Owner

yes

01/2019

Jul 8, 2026

LEE EQUITY PARTNERS III GP, LLC

GENERAL PARTNER

yes

12/2020

Apr 21, 2021

Sep 20, 2024

LEP PEQUOD GP, LLC

GENERAL PARTNER

yes

12/2020

Apr 21, 2021

Sep 20, 2024

LEP PEQUOD HOLDINGS LP

Stockholder

yes

12/2020

Apr 21, 2021

Sep 20, 2024

LEP SIMPLICITY HOLDINGS, L.P.

Member

yes

12/2020

Apr 21, 2021

Sep 20, 2024

Margolies, Jared

CHIEF COMPLIANCE OFFICER

yes

10/2023

May 1, 2020

Sep 20, 2024

PEQUOD MIDCO INC

Stockholder

yes

12/2020

Apr 21, 2021

Sep 20, 2024

PEQUOD TOPCO INC.

Stockholder

yes

12/2020

Apr 21, 2021

Sep 20, 2024

SIMPLICITY FINANCIAL MARKETING GROUP HOLDINGS INC.

Stockholder

yes

02/2018

Feb 6, 2019

Sep 20, 2024

SIMPLICITY FINANCIAL MARKETING HOLDINGS INC.

Owner

yes

01/2019

Feb 6, 2019

Sep 20, 2024

TINNIRELLO, PAUL, ADAM

EXECUTIVE VICE PRESIDENT

10/2023

Jul 8, 2026

Wickersham, Sean, David

BOARD MEMBER

08/2023

Jul 8, 2026

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CORECAP ADVISORS, LLC

n/a

Bd affiliated wealth

$4.0B

yes

n/a

TLG ADVISORS, INC.

n/a

Bd affiliated wealth

$2.3B

yes

n/a

LIFEPRO ASSET MANAGEMENT, LLC

n/a

Former SEC adviser

$311M

yes

n/a

CORECAP INVESTMENTS, LLC

n/a

yes

n/a

SIMPLICITY FINANCIAL MARKETING HOLDINGS INC.

n/a

yes

n/a

THE LEADERS GROUP, INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Phoenix

United States

Charlotte

United States

Fayetteville

United States

Bloomington

United States

PINE BROOK

United States

Mcallen

United States

Hoover

United States

Flagstaff

United States

SANTA CLARITA

United States

Denver

United States

GREENWOOD VILLAGE

United States

yes

Glastonbury

United States

yes

Riverside

United States

Clearwater

United States

FORT LAUDERDALE

United States

Melbourne

United States

Miami

United States

Miami

United States

ORANGE PARK

United States

PALM HARBOR

United States

PONTE VEDRA BEACH

United States

WINTER PARK

United States

WEST DES MOINES

United States

Hampshire

United States

PRAIRIE VILLAGE

United States

Florence

United States

Mandeville

United States

Plymouth

United States

EDEN PRAIRIE

United States

Woodbury

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 8, 2026

$4.3B

$4.2B

424

190

n/a

2024

Mar 26, 2025

$3.6B

$3.5B

242

n/a

2023

Mar 27, 2024

$3.2B

$3.1B

159

n/a

2022

Mar 30, 2023

$201M

n/a

2021

Mar 28, 2022

$173M

n/a

2020

Apr 1, 2021

$165M

n/a

2019

Mar 31, 2020

$49.3M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

7.8%

133

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$4.3B

$3.6B

18.7%

$201M

177.0%

424

242

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

KINETIC INVESTMENT MANAGEMENT, INC.

Feb 22, 2024

Mar 7, 2024

SUMMIT, NJ

Team lift out

RIA to RIA

4.6%

BEACON ASSOCIATES WEALTH MANAGEMENT, LLC

Apr 8, 2022

Mar 14, 2022

SUMMIT, NJ

Team lift out

RIA to RIA

7.4%

AE WEALTH MANAGEMENT, LLC

Mar 1, 2022

May 10, 2022

PEORIA, AZ

Team lift out

RIA to ibd

6.7%

FOUNDATIONS INVESTMENT ADVISORS LLC

Apr 12, 2021

May 19, 2021

LAFAYETTE, LA

Team lift out

RIA to RIA

6.5%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MOBILE BAY WEALTH MANAGEMENT, LLC

Jul 14, 2026

MOBILE, AL

Team lift out

Other

100.0%

APTUS WEALTH MANAGEMENT, LLC

Jun 29, 2026

Feb 24, 2025

LEWIS CENTER, OH

Team lift out

Other

100.0%

CONNECT FINANCIAL ADVISORS

Mar 17, 2026

Apr 16, 2026

LOGAN, UT

Team lift out

Other

33.3%

CETERA INVESTMENT ADVISERS LLC

Jan 21, 2026

Jul 3, 2026

SAN DIEGO, CA

Team lift out

Ibd to RIA

0.0%

BROOKSTONE WEALTH ADVISORS, LLC

Aug 15, 2025

Sep 9, 2025

CREAM RIDGE, NJ

Team lift out

Other

0.9%

MUTUAL TRUST ASSET MGMT., INC.

Aug 8, 2025

Aug 20, 2025

OCALA, FL

Team lift out

RIA to RIA

33.3%

IAMS WEALTH MANAGEMENT, LLC

Feb 11, 2025

Feb 13, 2025

GRAND RAPIDS, MI

Team lift out

Other

4.0%

EHLERT FINANCIAL GROUP, INC.

Sep 5, 2024

Sep 13, 2024

LINCOLNSHIRE, IL

Team lift out

Other

50.0%

FOUNDATIONS INVESTMENT ADVISORS LLC

Aug 15, 2024

Jan 2, 2025

WINDHAM, NH

Team lift out

Other

1.1%

SIMPLICITY SOLUTIONS, LLC

Mar 27, 2024

Apr 2, 2024

MINNEAPOLIS, MN

Team lift out

Other

66.7%

SIMPLICITY SOLUTIONS, LLC

Dec 31, 2022

Dec 5, 2023

MINNEAPOLIS, MN

Team lift out

Other

40.0%

WEALTH WATCH ADVISORS, INC

Oct 15, 2019

Oct 28, 2019

MIAMI, FL

Team lift out

RIA to new firm

6.9%

VIRTUE CAPITAL MANAGEMENT, LLC

Jul 29, 2019

Aug 7, 2019

BRENTWOOD, TN

Team lift out

RIA to new firm

2.7%