DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

626 FINANCIAL, LLC

CRD 306474

PORTAGE, MI

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:52e9266b-e3ed-9a12-ce5b-3fcda506a064

Data as of Aug 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Dec 22, 2020 to Aug 18, 2026
21 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: independent wealth managerderivedprivate_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $380MItem 5.F on the latest filing (2026-08-18); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $377M
Private client RAUM: $376MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $75.9Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 5
Advisory employees: 5
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 1,270
Individual clients: 329
High net worth clients: 122
Custody, client assets: $107M
SEC number: 801-120219
CIK: 1911035
CRD: 306474
Filings on the tape: 21
First filed: Dec 22, 2020
Latest filed: Aug 18, 2026
Organised: Limited Liability Company, MI
Website: 626financial.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
KAREN DEBORAH MORSE	n/a	PORTAGE, MI	5	34	2	no
BRANT SHRIMPLIN	n/a	PORTAGE, MI	5	23	2	no
THOMAS WILLIAM ANDERTON	Certified Financial Planner	PORTAGE, MI	5	20	2	no
RYAN COLBY HOWARD	n/a	PORTAGE, MI	5	12	3	no
ANN DAVIS	n/a	PORTAGE, MI	5	16	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
ANDERTON, THOMAS, WILLIAM	MANAGING MEMBER / MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER	D	yes	12/2020	Dec 22, 2020	Mar 27, 2024
SHRIMPLIN, BRANT	MANAGING MEMBER / MANAGING DIRECTOR	D	yes	12/2020	Dec 22, 2020	Mar 27, 2024

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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 12, 2026	$380M	$377M	5	5	1	n/a	n/a
2024	Mar 5, 2025	$326M	$325M	5	5	0	n/a	n/a
2023	Mar 27, 2024	$287M	$286M	5	5	0	n/a	n/a
2022	Mar 21, 2023	$261M	$260M	5	5	0	n/a	n/a
2021	Feb 25, 2022	$292M	$291M	6	6	0	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
0	0	0	0.0%	0	0	0	0	0

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	$380M	$326M	16.3%	$261M	13.3%	5	5	1	0

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
LPL FINANCIAL LLC	5	Sep 16, 2021	Mar 31, 2021	PORTAGE, MI	Team lift out	Ibd to RIA	0.0%

Relationships

Registered with (5)

← KAREN DEBORAH MORSEAdvisorregistration: current employment
Mar 31, 2021 to presentfactForm ADV
← BRANT SHRIMPLINAdvisorregistration: current employment
Mar 31, 2021 to presentfactForm ADV
← THOMAS WILLIAM ANDERTONAdvisorregistration: current employment
Mar 31, 2021 to presentfactForm ADV
← RYAN COLBY HOWARDAdvisorregistration: current employment
Mar 31, 2021 to presentfactForm ADV
← ANN DAVISAdvisorregistration: current employment
Mar 31, 2021 to presentfactForm ADV

Controls (2)

← SHRIMPLIN, BRANTOwnerMANAGING MEMBER / MANAGING DIRECTOR, ownership code D, individual
Dec 22, 2020 to Mar 27, 2024factForm ADV
← ANDERTON, THOMAS, WILLIAMOwnerMANAGING MEMBER / MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER, ownership code D, individual
Dec 22, 2020 to Mar 27, 2024factForm ADV

Moved with (1)

← LPL FINANCIAL LLCRegistered adviser5 advisors, team lift out
Sep 16, 2021 to Mar 31, 2021factForm ADV

Dated events

Occurred
Feb 25, 2022
Regulatory AUM changed
626 Financial, Llc reported RAUM $291.8M, up 154% from $115.0M (2021-11-03 to 2022-02-25)
Form ADVobserved 6 days ago
$177M
Occurred
Dec 22, 2020
First Form ADV filing
626 Financial filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:52e9266b-e3ed-9a12-ce5b-3fcda506a064
First observed: Dec 22, 2020
Last observed: Aug 18, 2026 34 days 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.

626 FINANCIAL, LLC

CRD 306474

PORTAGE, MI

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:52e9266b-e3ed-9a12-ce5b-3fcda506a064

Data as of Aug 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:13 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

KAREN DEBORAH MORSE

n/a

PORTAGE, MI

BRANT SHRIMPLIN

n/a

PORTAGE, MI

THOMAS WILLIAM ANDERTON

Certified Financial Planner

PORTAGE, MI

RYAN COLBY HOWARD

n/a

PORTAGE, MI

ANN DAVIS

n/a

PORTAGE, MI

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ANDERTON, THOMAS, WILLIAM

MANAGING MEMBER / MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER

yes

12/2020

Dec 22, 2020

Mar 27, 2024

SHRIMPLIN, BRANT

MANAGING MEMBER / MANAGING DIRECTOR

yes

12/2020

Dec 22, 2020

Mar 27, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 12, 2026

$380M

$377M

n/a

2024

Mar 5, 2025

$326M

$325M

n/a

2023

Mar 27, 2024

$287M

$286M

n/a

2022

Mar 21, 2023

$261M

$260M

n/a

2021

Feb 25, 2022

$292M

$291M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$380M

$326M

16.3%

$261M

13.3%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LPL FINANCIAL LLC

Sep 16, 2021

Mar 31, 2021

PORTAGE, MI

Team lift out

Ibd to RIA

0.0%