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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

CONQUIS FINANCIAL LLC

CRD 319579

MILLBRAE, CA

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:74feba5a-d852-5ceb-d29a-4670c0a5eb11

Data as of Aug 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 6
On other graphs: 0
Observed: Mar 14, 2022 to Aug 10, 2026
18 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $280MItem 5.F on the latest filing (2026-08-10); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $280M
Private client RAUM: $280MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $140Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 234
Individual clients: 10
High net worth clients: 40
Custody, client assets: $76.7M
SEC number: 801-123701
CIK: 2052436
CRD: 319579
Filings on the tape: 18
First filed: Mar 14, 2022
Latest filed: Aug 10, 2026
Organised: Limited Liability Company, CA

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
KATHERINE ANN SIMMONDS	Certified Financial Planner	MILLBRAE, CA	4	35	4	no
Jacob David Levy	Certified Financial Planner	MILLBRAE, CA	1	9	n/a	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
BLACK, CHARLES, CURTIS	CHIEF COMPLIANCE OFFICER	Na	yes	06/2023	Jun 5, 2023	Oct 4, 2024
SIMMONDS, KATHERINE, ANN	PRESIDENT/CHIEF EXECUTIVE OFFICER	E	yes	03/2022	Mar 14, 2022	Oct 4, 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; showing 4 of 5

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Private funds	Fund GAV
2025	Apr 23, 2026	$280M	$280M	2	2	n/a	n/a
2024	Feb 28, 2025	$221M	$221M	2	2	n/a	n/a
2023	Mar 25, 2024	$207M	$207M	2	2	n/a	n/a
2022	Mar 15, 2023	$170M	$170M	3	3	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	1	-1	50.0%	0	0	0	2	3

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	$280M	$221M	26.8%	$170M	18.1%	2	2	0	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
MARINER INDEPENDENT	2	Jul 5, 2022	May 19, 2022	MILLBRAE, CA	Team lift out	RIA to new firm	3.6%

Relationships

Registered with (5)

← Jacob David LevyAdvisorregistration: current employment
Oct 24, 2024 to presentfactForm ADV
← KATHERINE ANN SIMMONDSAdvisorregistration: current employment
May 19, 2022 to presentfactForm ADV
← Brieanna Rain FordAdvisorregistration: previous registration
Apr 4, 2025 to Apr 23, 2026factForm ADV
← Adam Bashir GovaniAdvisorregistration: previous registration
Oct 6, 2023 to Jan 21, 2025factForm ADV
← Joshua Ferber LevineAdvisorregistration: previous registration
May 19, 2022 to Mar 8, 2024factForm ADV

Controls (2)

← SIMMONDS, KATHERINE, ANNOwnerPRESIDENT/CHIEF EXECUTIVE OFFICER, ownership code E, individual
Mar 14, 2022 to Oct 4, 2024factForm ADV
← BLACK, CHARLES, CURTISOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 5, 2023 to Oct 4, 2024factForm ADV

Moved with (1)

← MARINER INDEPENDENTRegistered adviser2 advisors, team lift out, same day
Jul 5, 2022 to May 19, 2022factForm ADV

Dated events

Occurred
Apr 23, 2026
Advisor changed firm
Brieanna Rain Ford left Conquis Financial Llc for Bakeravenue (registered 2026-06-04)
Form ADVobserved 4 days ago
Occurred
Jan 21, 2025
Advisor changed firm
Adam Bashir Govani left Conquis Financial Llc for Mercer Global Advisors Inc. (registered 2026-01-05)
Form ADVobserved 4 days ago
Occurred
Mar 8, 2024
Advisor changed firm
Joshua Ferber Levine left Conquis Financial Llc for Firefly Wealth Management (registered 2024-06-28)
Form ADVobserved 4 days ago
Occurred
Jun 5, 2023
Control person joined
Curtis Charles Black (Chief Compliance Officer) appeared on Schedule A of Conquis Financial Llc
Form ADVobserved 4 days ago
Occurred
Jul 5, 2022
Team lift-out
2 advisors left Mariner Independent (Millbrae, CA) for Conquis Financial LLC on the same day
Form ADVobserved 3 days ago
2 advisors
Occurred
Mar 14, 2022
First Form ADV filing
Conquis Financial Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:74feba5a-d852-5ceb-d29a-4670c0a5eb11
First observed: Mar 14, 2022
Last observed: Aug 10, 2026 40 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.

CONQUIS FINANCIAL LLC

CRD 319579

MILLBRAE, CA

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:74feba5a-d852-5ceb-d29a-4670c0a5eb11

Data as of Aug 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:05 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

KATHERINE ANN SIMMONDS

Certified Financial Planner

MILLBRAE, CA

Jacob David Levy

Certified Financial Planner

MILLBRAE, CA

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BLACK, CHARLES, CURTIS

CHIEF COMPLIANCE OFFICER

yes

06/2023

Jun 5, 2023

Oct 4, 2024

SIMMONDS, KATHERINE, ANN

PRESIDENT/CHIEF EXECUTIVE OFFICER

yes

03/2022

Mar 14, 2022

Oct 4, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 23, 2026

$280M

n/a

2024

Feb 28, 2025

$221M

n/a

2023

Mar 25, 2024

$207M

n/a

2022

Mar 15, 2023

$170M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-1

50.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$280M

$221M

26.8%

$170M

18.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MARINER INDEPENDENT

Jul 5, 2022

May 19, 2022

MILLBRAE, CA

Team lift out

RIA to new firm

3.6%