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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

EXCEED ADVISORY LLC

CRD 170403

NEW YORK, NY

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:8dc9b7a5-81a7-7b94-6cd4-51fc4e0a6e3d

Data as of Feb 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 4
On other graphs: 0
Observed: Jun 16, 2014 to Feb 19, 2026
33 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=0.83 fund_share=0.17 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $119MItem 5.F on the latest filing (2026-02-19); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $119M
Private client RAUM: $98.5MderivedItem 5.D individuals plus high net worth individuals
Private client share: 83%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $59.6Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 3
Advisory employees: 2
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 92
Individual clients: 61
High net worth clients: 30
SEC number: 801-79958
CRD: 170403
Filings on the tape: 33
First filed: Jun 16, 2014
Latest filed: Feb 19, 2026
Organised: Limited Liability Company, DE
Website: exceedinvestments.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
JOSEPH HALPERN	n/a	NEW YORK, NY	0	13	3	no
Bryan Patrick Sapp	Chartered Financial Analyst	Oregon, WI \| NEW YORK, NY	0	17	3	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
EXCEED HOLDINGS LLC	Member	E	yes	10/2013	Oct 20, 2014	Mar 27, 2024
HALPERN, JOSEPH	Owner	C	yes	10/2012	Jun 16, 2014	Mar 27, 2024
HALPERN, JOSEPH	MANAGER & CCO	Na	yes	10/2013	Jun 16, 2014	Mar 27, 2024

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
FOUNTAINHEAD AM, LLC	n/a	Asset manager	$1.3B	N	yes	n/a
FOUNTAINHEAD CAPITAL MANAGEMENT, LLC	n/a	Former SEC adviser	$1.0B	N	yes	n/a
FOUNTAINHEAD RETIREMENT SERVICES LLC	n/a	Former SEC adviser	n/a	N	yes	n/a

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 12 of 14

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 19, 2026	$119M	$119M	3	2	1	n/a	n/a
2024	Mar 7, 2025	$76.7M	$76.7M	2	2	1	n/a	n/a
2023	Mar 27, 2024	$49.1M	$49.1M	2	2	0	n/a	n/a
2022	Mar 30, 2023	$41.0M	$41.0M	2	2	0	n/a	n/a
2021	Mar 22, 2022	$112M	$112M	2	2	0	n/a	n/a
2020	Feb 24, 2021	$107M	$107M	2	1	0	n/a	n/a
2019	Feb 19, 2020	$110M	$110M	1	1	0	n/a	n/a
2018	Mar 25, 2019	$45.1M	$45.1M	2	1	0	n/a	n/a
2017	Jan 12, 2018	$41.0M	$41.0M	2	1	0	n/a	n/a
2016	Mar 13, 2017	$23.7M	$23.7M	4	4	n/a	n/a	n/a
2015	Feb 25, 2016	$20.7M	$20.7M	5	5	n/a	n/a	n/a
2014	Mar 13, 2015	n/a	n/a	5	5	n/a	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	1	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	$119M	$76.7M	55.4%	$41.0M	42.7%	3	2	1	1

Relationships

Affiliated with (7)

← OBSIDIAN CIO LLCRegistered adviserother investment adviser, common control
factForm ADV
→ FOUNTAINHEAD ADVISORSRegistered adviserother investment adviser, common control
factForm ADV
→ OBSIDIAN CIO LLCRegistered adviserother investment adviser, common control
factForm ADV
→ FOUNTAINHEAD RETIREMENT SERVICESRegistered adviserother investment adviser, common control
factForm ADV
← FOUNTAINHEAD ADVISORSRegistered adviserother investment adviser, common control
factForm ADV
← FOUNTAINHEAD MULTI-FAMILY OFFICE, LLCRegistered adviserother investment adviser, common control
factForm ADV
← FOUNTAINHEAD RETIREMENT SERVICESRegistered adviserother investment adviser, common control
factForm ADV

Registered with (3)

← JOSEPH HALPERNAdvisorregistration: previous registration
Feb 4, 2025 to Dec 31, 2025factForm ADV
← Bryan Patrick SappAdvisorregistration: previous registration
Feb 4, 2025 to Dec 31, 2025factForm ADV
← John BeldyAdvisorregistration: previous registration
Apr 29, 2022 to Aug 6, 2022factForm ADV

Controls (2)

← HALPERN, JOSEPHOwnerOWNER, ownership code C, individual
Jun 16, 2014 to Mar 27, 2024factForm ADV
← EXCEED HOLDINGS LLCOwnerMEMBER, ownership code E, domestic entity
Oct 20, 2014 to Mar 27, 2024factForm ADV

Dated events

Occurred
Dec 16, 2022
Control person left
Margaret Powell (Chief Compliance Officer) no longer on Schedule A of Exceed Advisory Llc (listed 2022-10-06, absent 2022-12-16)
Form ADVobserved 5 days ago
Occurred
Aug 6, 2022
Advisor changed firm
John Beldy left Exceed Advisory Llc for Sentry Capital Management, Llc (registered 2022-10-14)
Form ADVobserved 5 days ago
Occurred
May 22, 2020
Control person joined
Margaret Powell (Chief Compliance Officer) appeared on Schedule A of Exceed Advisory Llc
Form ADVobserved 5 days ago
Occurred
Jun 16, 2014
First Form ADV filing
Exceed Advisory Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8dc9b7a5-81a7-7b94-6cd4-51fc4e0a6e3d
First observed: Jun 16, 2014
Last observed: Feb 19, 2026 7 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.

EXCEED ADVISORY LLC

CRD 170403

NEW YORK, NY

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:8dc9b7a5-81a7-7b94-6cd4-51fc4e0a6e3d

Data as of Feb 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:16 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JOSEPH HALPERN

n/a

NEW YORK, NY

Bryan Patrick Sapp

Chartered Financial Analyst

Oregon, WI | NEW YORK, NY

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

EXCEED HOLDINGS LLC

Member

yes

10/2013

Oct 20, 2014

Mar 27, 2024

HALPERN, JOSEPH

Owner

yes

10/2012

Jun 16, 2014

Mar 27, 2024

HALPERN, JOSEPH

MANAGER & CCO

yes

10/2013

Jun 16, 2014

Mar 27, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

FOUNTAINHEAD AM, LLC

n/a

Asset manager

$1.3B

yes

n/a

FOUNTAINHEAD CAPITAL MANAGEMENT, LLC

n/a

Former SEC adviser

$1.0B

yes

n/a

FOUNTAINHEAD RETIREMENT SERVICES LLC

n/a

Former SEC adviser

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 19, 2026

$119M

n/a

2024

Mar 7, 2025

$76.7M

n/a

2023

Mar 27, 2024

$49.1M

n/a

2022

Mar 30, 2023

$41.0M

n/a

2021

Mar 22, 2022

$112M

n/a

2020

Feb 24, 2021

$107M

n/a

2019

Feb 19, 2020

$110M

n/a

2018

Mar 25, 2019

$45.1M

n/a

2017

Jan 12, 2018

$41.0M

n/a

2016

Mar 13, 2017

$23.7M

n/a

2015

Feb 25, 2016

$20.7M

n/a

2014

Mar 13, 2015

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

$119M

$76.7M

55.4%

$41.0M

42.7%