DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Simplicity Wealth
Wealth manager with institutional or fund businessSummit, New JerseyCRD 300572SEC 801-114798websiteIAPD
Legal name Simplicity Wealth LLC
Latest filing Jul 8, 2026
First filing on the tape Feb 6, 2019 · 83 filings
SEC status approved since Mar 11, 2019
RAUM
$4.3B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
40%
$1.7B individuals and HNW
Advisors
204
registered through the firm on IAPD
RAUM per advisor
$20.9M
derived; firm RAUM over IAPD count
Employees
424
190 advisory (5.B.1)
Offices
52
beyond the principal office
Private funds
0
reported on Schedule D
History
83 filings and snapshots on the tape
RAUM$4.3B as of Jul 8, 2026
Mar 31, 2020$49.3M then
HNW client RAUM$635M as of Jul 8, 2026
Apr 1, 2021$16.7M then
State-registered IARs (5.B.3)143 as of Jul 8, 2026
Mar 31, 202041 then
Employees (5.A)424 as of Jul 8, 2026
Mar 31, 202041 then
Private funds: no history
RAUM +19% over the last fiscal year+177% a year over threeIARs 134 to 143
Practice profile
derived from the filing of Jul 8, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $20.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $983,863derivedHNW RAUM over HNW clients
- Average account
- $304,097derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.9derived53 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +6.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +51%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Custody
- $1.5B, 5,504 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$2.5B59%
- Individuals$1.1B25%
- High-net-worth individuals$635M15%
- Banks and thrifts$44.1M1.0%
- Individual clients
- 7,811reported
- HNW clients
- 645reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 14,045reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.5B for 5,504 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.4 fund_share=0.59 institutional_share=0.0 related_bd=true related_bank=false bd_reps=24.0derived
Advisors registered through the firm
202 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| August Henry Velten | Summit, Nj | May 2, 2019 | 16 y | 2 |
| Chad Emmerson Blanton | Summit, Nj | Jun 5, 2019 | 18 y | 1 |
| Jeffrey Ian Mccarty | Santa Clarita, Ca | Jul 26, 2019 | 29 y | 2 |
| David Jay Vogel | Summit, Nj | Aug 7, 2019 | 44 y | 7 |
| Rodney Dean JarrellCertified Financial Planner | Summit, Nj | Aug 13, 2019 | 17 y | 3 |
| Donald A Shelton | Summit, Nj | Oct 28, 2019 | 21 y | 2 |
| Robert Thomas Murphy | Glastonbury, Ct | Mar 12, 2021 | 25 y | 4 |
| Christopher Frediani Geist | Summit, Nj | May 28, 2021 | 19 y | 1 |
| Nathaniel Paul Barton | Phoenix, Az | Aug 20, 2021 | 20 y | 4 |
| Daniel Scott Rhoads | Pennsburg, Pa | Sep 13, 2021 | 10 y | 0 |
| Thomas John RozmanChartered Financial Analyst | Summit, Nj | Jan 19, 2022 | 39 y | 1 |
| Elena M Larson | Summit, Nj | Jul 14, 2022 | 26 y | 2 |
| Justin Jay Jones | Summit, Nj | Sep 1, 2022 | 13 y | 0 |
| Alan Dean Cantrell | Fayetteville, Ar | Sep 8, 2022 | 40 y | 4 |
| Walter Gordon Decherd | Houston, Tx | Nov 16, 2022 | 18 y | 1 |
| Matthew Frank Krueger | Hampshire, Il | Dec 21, 2022 | 20 y | 1 |
| David Bradley Forrest | Radnor, Pa | Feb 15, 2023 | 11 y | 1 |
| Patrick Chevalier | Houston, Tx | Apr 13, 2023 | 17 y | 2 |
| Mike NimmoCertified Financial Planner | Summit, Nj | Apr 24, 2023 | 12 y | 1 |
| Natalie Cantrell Yarbrough | Fayetteville, Ar | May 3, 2023 | 15 y | 1 |
| Hoyt Scott RobeyChartered Financial Consultant | Summit, Nj | May 16, 2023 | 35 y | 6 |
| Robert Cannon | Riverside, Ct | Jun 2, 2023 | 35 y | 1 |
| Ted F Henley | Colorado Springs, Co | Jun 2, 2023 | 10 y | 0 |
| Paula Jean Reynolds | Summit, Nj | Jun 30, 2023 | 15 y | 0 |
| William Boyd Miller | Summit, Nj | Jul 3, 2023 | 26 y | 1 |
| Thomas Noel Fadden | Summit, Nj | Jul 11, 2023 | 16 y | 2 |
| Mary Bellofatto | Pine Brook, Nj | Jul 11, 2023 | 13 y | 0 |
| Nicholas KaiserCertified Financial Planner | Summit, Nj | Aug 4, 2023 | 19 y | 2 |
| Elizabeth Coble Donner | Raleigh, Nc | Aug 8, 2023 | 27 y | 2 |
| Jack Malarik | Chardon, Oh | Sep 6, 2023 | 25 y | 5 |
| Eduardo Walter Ortega-Ghiglione | Fort Lauderdale, Fl | Sep 11, 2023 | 10 y | 1 |
| Douglas Mac Langford | Summit, Nj | Oct 6, 2023 | 25 y | 4 |
| Richard Anthony Contelmo | Summit, Nj | Oct 9, 2023 | 13 y | 1 |
| Ronald Scott Tetley | Akron, Oh | Oct 30, 2023 | 23 y | 3 |
| Mark Christopher SpoonerCertified Financial Planner | Summit, Nj | Nov 9, 2023 | 22 y | 3 |
| Michael Kenneth Herrmann | Summit, Nj | Nov 13, 2023 | 30 y | 1 |
| Gordon Ralph Baker | Greenwood Village, Co | Nov 21, 2023 | 19 y | 3 |
| Michael Vincent Mortellaro | Summit, Nj | Dec 5, 2023 | 34 y | 4 |
| Michael James Smith Tucker | Summit, Nj | Dec 11, 2023 | 28 y | 4 |
| Carlos Omar Lopez | Mcallen, Tx | Jan 17, 2024 | 22 y | 1 |
Advisor movement
16 left, 59 joined in 12 months
net +43 in 12 months1 left in 90 days17 joined in 90 daysdeparture rate 7.8% of current headcount42 left over 36 months
Left, latest
- Troy James Hines to Virtue Capital Management, LLCJul 20, 2026 · RIA to RIA
- Doran Joseph O'Brien to Trajan Wealth, L.L.C.Jun 18, 2026 · RIA to RIA
- Anthony Edwin Echang to Wells Fargo AdvisorsMay 22, 2026 · RIA to wirehouse
- Nathan David Smith to Foundations Investment Advisors LLCMay 18, 2026 · RIA to RIA
- James R Newman to Portside Wealth Group, LLCMay 15, 2026 · RIA to RIA
- Chad Patrick Budy to Brookstone Capital Management LLCMay 11, 2026 · RIA to RIA
- David Morgan to Cambridge Investment Research Advisors, Inc.Apr 15, 2026 · RIA to affiliated broker-dealer or bank
- James Paul Ball to Virtue Capital Management, LLCFeb 3, 2026 · RIA to RIA
- Hilary Zaragoza to Aegis Wealth Management, Inc.Jan 30, 2026 · RIA to RIA
- Billie Carter Miles to Signal Advisors Wealth, LLCJan 6, 2026 · RIA to RIA
- Tilden Lester Sowdon to Tlg Advisors, Inc.Dec 16, 2025 · RIA to affiliated broker-dealer or bank
- Amy Marie Roberts to Creativeone Wealth, LLCDec 8, 2025 · RIA to RIA
- Santoria Simone Texidor to J.P. Morgan Securities LLCNov 24, 2025 · RIA to wirehouse
- Denver William Nowicz to Wealth For Life, LLCOct 20, 2025 · RIA to a state-registered adviser
- Ronald T Swanick to Independent Wealth Network, Inc.Oct 17, 2025 · RIA to RIA
Joined, latest
- Matthew Mccormack from LPL Enterprise, LLCSep 15, 2026 · Affiliated broker-dealer or bank to independent RIA
- Edward James Mercier from Portsmouth Financial ServicesSep 15, 2026 · Other
- Jason Siebert from Advisor Share Wealth Management, LLCSep 14, 2026 · RIA to RIA
- Eddie Ghanshyambhai Patel from Expressive Wealth LLCSep 8, 2026 · Other
- Timothy Adam Beauregard from Sound Income Strategies, LLCSep 4, 2026 · RIA to RIA
- Sean Irvin from Bankers Life Advisory Services, Inc.Aug 27, 2026 · Affiliated broker-dealer or bank to independent RIA
- Logan Richard Harris from Verity Asset ManagementAug 6, 2026 · RIA to RIA
- Jack Edward Trent from Legacy Wealth Management, LLCAug 4, 2026 · RIA to RIA
- Michael Anthony Corrigan from Harvest Investment Services, LLCJul 27, 2026 · RIA to RIA
- Grant A Therrien from Morgan StanleyJul 20, 2026 · Wirehouse to independent RIA
- Lacy Geil Mulroy from Mobile Bay Wealth Management, LLCJul 14, 2026 · Other
- David Andrew Harry from Dtm3 CorporationJul 14, 2026 · Other
- Virginia Mcneil O'Brien from Mobile Bay Wealth Management, LLCJul 14, 2026 · Other
- Christopher Lee Wholehan from Tlg Advisors, Inc.Jul 13, 2026 · Affiliated broker-dealer or bank to independent RIA
- Ryan Michael Bridges from First Advisors National, LLCJul 9, 2026 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Kinetic Investment Management, Inc.Feb 22, 2024 · Summit, Nj
- 2 left for Beacon Associates Wealth Management, LLCApr 8, 2022 · Summit, Nj
- 2 left for Ae Wealth Management, LLCMar 1, 2022 · Peoria, Az
- 2 left for Foundations Investment Advisors LLCApr 12, 2021 · Lafayette, La
- 2 joined from Mobile Bay Wealth Management, LLCJul 14, 2026 · Mobile, Al
- 2 joined from Aptus Wealth Management, LLCJun 29, 2026 · Lewis Center, Oh
- 2 joined from Connect Financial AdvisorsMar 17, 2026 · Logan, Ut
- 4 joined from Cetera Investment Advisers LLCJan 21, 2026 · San Diego, Ca
- 2 joined from Brookstone Wealth Advisors, LLCAug 15, 2025 · Cream Ridge, Nj
- 2 joined from Mutual Trust Asset Mgmt., Inc.Aug 8, 2025 · Ocala, Fl
- 2 joined from Iams Wealth Management, LLCFeb 11, 2025 · Grand Rapids, Mi
- 2 joined from Ehlert Financial Group, Inc.Sep 5, 2024 · Lincolnshire, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- George Bruce Donaldson · Chief Executive Officer/Board Membercontrolsince 01/2019 · owns less than 5%
- Marc Mitchell Leidner · Cfo And Treasurer/Board Membercontrolsince 09/2021 · owns less than 5%
- Jared Margolies · Chief Compliance Officercontrolsince 10/2023 · owns less than 5%
- Bartlett Erin Mccann · Presidentcontrolsince 01/2019 · owns less than 5%
- Christina Parker · General Counselcontrolsince 09/2021 · owns less than 5%
- N Scott Raider · Chief Compliance Officercontrolsince 02/2025 · owns less than 5%
- John Thomas Rozman · Chief Investment Officercontrolsince 12/2021 · owns less than 5%
- Adam Paul Tinnirello · Executive Vice Presidentsince 10/2023 · owns less than 5%
- David Sean Wickersham · Board Membersince 08/2023 · owns less than 5%
Entity owners
- Simplicity Financial Marketing · Ownerdirect · owns 75% or more
- Simplicity Financial Marketing Holdings Inc. · Ownerdirect · owns 75% or more
- Lee Equity Partners III Gp, LLC · General Partnerindirect · owns F of Lep Simplicity Holdings, L.P.
- Lep Pequod Gp, LLC · General Partnerindirect · owns F of Lep Pequod Holdings LP
- Lep Pequod Holdings LP · Stockholderindirect · owns 75% or more of Pequod Topco Inc.
- Lep Simplicity Holdings, L.P. · Memberindirect · owns 75% or more of Lep Pequod Holdings LP
- Pequod Midco Inc · Stockholderindirect · owns 75% or more of Simplicity Financial Marketing Group Holdings Inc.
- Pequod Topco Inc. · Stockholderindirect · owns 75% or more of Pequod Midco Inc
- Simplicity Financial Marketing Group Holdings Inc. · Stockholderindirect · owns F of Simplicity Financial Marketing Holdings Inc.
Related persons
Schedule D 7.A
- Corecap Advisorsinvestment advisernRAUM $4.0B
- Corecap Investments, LLCbroker-dealern
- Lifepro Asset Managementinvestment advisernRAUM $311M
- Simplicity Financial Marketing Holdings Inc.real estaten
- The Leaders Group, Inc.broker-dealern
- Tlg Advisors, Inc.investment advisernRAUM $2.3B
Advisers that list Simplicity Wealth as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Summit, Nj · principal | 206 | 80 | 9 | ||
| San Diego, Ca | 14 | 6 | 0 | ||
| Lincolnshire, Il | 6 | 1 | 0 | ||
| Scottsdale, Az | 5 | 3 | 0 | ||
| Phoenix, Az | 5 | 1 | 0 | ||
| Minneapolis, Mn | 4 | 1 | 0 | ||
| Charlotte, Nc | 4 | 0 | 0 | ||
| Santa Ana, Ca | 3 | 3 | 0 | ||
| Logan, Ut | 3 | 2 | 0 | ||
| Bloomington, Mn | 3 | 2 | 0 | ||
| Nashua, Nh | 3 | 0 | 0 | ||
| Ocala, Fl | 3 | 0 | 0 | ||
| Grand Rapids, Mi | 3 | 1 | 0 | ||
| Houston, Tx | 3 | 1 | 0 | ||
| Clearwater, Fl | 3 | 2 | 0 | ||
| Melbourne, Fl | 2 | 1 | 0 | ||
| Berkeley Heights, Nj | 2 | 1 | 0 | ||
| Cream Ridge, Nj | 2 | 0 | 0 | ||
| Fayetteville, Ar | 2 | 0 | 0 | ||
| Lafayette, La | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Charlotte, NC3 employees
- Phoenix, AZ3 employees
- Pine Brook, NJ2 employees
- Mcallen, TX2 employees
- Fayetteville, AR2 employees
- Bloomington, MN2 employees
- Eden Prairie, MN1 employees
- Flagstaff, AZ1 employees
- Florence, KY1 employees
- Fort Lauderdale, FL1 employees
- Glastonbury, CT1 employees
- Greenwood Village, CO1 employees
- Hampshire, IL1 employees
- Hoover, AL1 employees
- Houston, TX1 employees
- Houston, TX1 employees
- Logan, UT1 employees
- Mandeville, LA1 employees
- Melbourne, FL1 employees
- Memphis, TN1 employees
- Miami, FL1 employees
- Miami, FL1 employees
- Old Hickory, TN1 employees
- Orange Park, FL1 employees
- Palm Harbor, FL1 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 8, 2026Raider, Scott, N (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2023-11-02 and 2026-07-08peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Jul 8, 2026Margolies, Jared (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2023-11-02 and 2026-07-08peers: independent wealth managers, $1B to $5B (1,360)
- client count surgeChange between filings · filing Apr 8, 2026individual and HNW clients (Item 5.D) moved from 5,589.0 to 8,456.0 (+51.0%) between the annual amendments of 2025-03-26 and 2026-04-08; the peer median change was +5.0% (1132 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,132) · 96% percentile
- employee count surgeChange between filings · filing Apr 8, 2026employees (Item 5.A) moved from 242.0 to 424.0 (+75.0%) between the annual amendments of 2025-03-26 and 2026-04-08; the peer median change was +4.0% (1050 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,050) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 10,573 to 14,045Mar 26, 2025 to Mar 25, 2026
- Advisory employees · 242 to 190Mar 26, 2025 to Mar 25, 2026
- BD registered reps · 10 to 24Mar 26, 2025 to Mar 25, 2026
- HNW clients · 32 to 645Mar 26, 2025 to Mar 25, 2026
- Individual clients · 5,557 to 7,811Mar 26, 2025 to Mar 25, 2026
- Assets in custody · $737M to $1.5BMar 26, 2025 to Mar 25, 2026
- Employees · 242 to 424Mar 26, 2025 to Mar 25, 2026
- Insurance-licensed employees · 1 to 0Mar 26, 2025 to Mar 25, 2026
- Financial planning clients · 1-10 to 26-50Mar 26, 2025 to Mar 25, 2026
- State-registered IARs · 134 to 143Mar 26, 2025 to Mar 25, 2026
- Discretionary RAUM · $3.5B to $4.2BMar 26, 2025 to Mar 25, 2026
- HNW RAUM · $385M to $635MMar 26, 2025 to Mar 25, 2026
- Individual RAUM · $651M to $1.1BMar 26, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $82.2M to $82.6MMar 26, 2025 to Mar 25, 2026
- RAUM · $3.6B to $4.3BMar 26, 2025 to Mar 25, 2026
- Accounts · 6,188 to 10,573Jan 24, 2025 to Mar 26, 2025
- Advisory employees · 159 to 242Jan 24, 2025 to Mar 26, 2025
- BD registered reps · 5 to 10Jan 24, 2025 to Mar 26, 2025
- HNW clients · 29 to 32Jan 24, 2025 to Mar 26, 2025
- Individual clients · 1,830 to 5,557Jan 24, 2025 to Mar 26, 2025
- Assets in custody · unset to 736997214.0Jan 24, 2025 to Mar 26, 2025
- Custody of client assets · false to trueJan 24, 2025 to Mar 26, 2025
- Employees · 159 to 242Jan 24, 2025 to Mar 26, 2025
- Financial planning clients · 1-10 to 1-10Jan 24, 2025 to Mar 26, 2025
- State-registered IARs · 73 to 134Jan 24, 2025 to Mar 26, 2025
- Discretionary RAUM · $3.1B to $3.5BJan 24, 2025 to Mar 26, 2025
- HNW RAUM · $26.2M to $385MJan 24, 2025 to Mar 26, 2025
- Individual RAUM · $172M to $651MJan 24, 2025 to Mar 26, 2025
- Non-discretionary RAUM · $71.9M to $82.2MJan 24, 2025 to Mar 26, 2025
- RAUM · $3.2B to $3.6BJan 24, 2025 to Mar 26, 2025
- Accounts · 2,342 to 6,188Dec 12, 2023 to Mar 27, 2024
- Advisory employees · 132 to 159Dec 12, 2023 to Mar 27, 2024
- Advisory activities · 5 to 6Dec 12, 2023 to Mar 27, 2024
- BD registered reps · 7 to 5Dec 12, 2023 to Mar 27, 2024
- HNW clients · 20 to 29Dec 12, 2023 to Mar 27, 2024
- Individual clients · 2,322 to 1,830Dec 12, 2023 to Mar 27, 2024
- Employees · 132 to 159Dec 12, 2023 to Mar 27, 2024
- Insurance-licensed employees · 3 to 1Dec 12, 2023 to Mar 27, 2024
- Financial planning clients · 0 to 1-10Dec 12, 2023 to Mar 27, 2024
- State-registered IARs · 65 to 73Dec 12, 2023 to Mar 27, 2024
Signals
60 dated events
- Edward James Mercier registered as an investment adviser representative at Simplicity WealthSep 15, 2026 · Advisor registered · fact
- Matthew Mccormack registered as an investment adviser representative at Simplicity WealthSep 15, 2026 · Advisor registered · fact
- Jason Siebert registered as an investment adviser representative at Simplicity WealthSep 14, 2026 · Advisor registered · fact
- Troy James Hines left Simplicity Wealth for Virtue Capital Management, Llc (registered 2026-08-11)Jul 20, 2026 · Advisor changed firm · fact
- 2 advisors left Mobile Bay Wealth Management, LLC (Mobile, AL) for Simplicity Wealth on the same dayJul 14, 2026 · Team lift-out · derived
- 2 advisors left Aptus Wealth Management, LLC (Lewis Center, OH) for Simplicity Wealth within 2 daysJun 29, 2026 · Team lift-out · derived
- Doran Joseph O'Brien left Simplicity Wealth for Trajan Wealth, L.L.C. (registered 2026-07-13)Jun 18, 2026 · Advisor changed firm · fact
- Anthony Edwin Echang left Simplicity Wealth for Wells Fargo Advisors (registered 2026-06-16)May 22, 2026 · Advisor changed firm · fact
- Nathan David Smith left Simplicity Wealth for Foundations Investment Advisors Llc (registered 2026-06-01)May 18, 2026 · Advisor changed firm · fact
- James R Newman left Simplicity Wealth for Portside Wealth Group, Llc (registered 2026-05-27)May 15, 2026 · Advisor changed firm · fact
- Chad Patrick Budy left Simplicity Wealth for Brookstone Capital Management Llc (registered 2026-05-19)May 11, 2026 · Advisor changed firm · fact
- David Morgan left Simplicity Wealth for Cambridge Investment Research Advisors, Inc. (registered 2026-09-02)Apr 15, 2026 · Advisor changed firm · fact
- 2 advisors left Connect Financial Advisors (Logan, UT) for Simplicity Wealth within 3 daysMar 17, 2026 · Team lift-out · derived
- James Paul Ball left Simplicity Wealth for Virtue Capital Management, Llc (registered 2026-02-12)Feb 3, 2026 · Advisor changed firm · fact
- Hilary Zaragoza left Simplicity Wealth for Aegis Wealth Management, Inc. (registered 2026-02-18)Jan 30, 2026 · Advisor changed firm · fact
- 4 advisors left Cetera Investment Advisers LLC (San Diego, CA) for Simplicity Wealth on the same dayJan 21, 2026 · Team lift-out · derived
- Billie Carter Miles left Simplicity Wealth for Signal Advisors Wealth, Llc (registered 2026-07-22)Jan 6, 2026 · Advisor changed firm · fact
- Tilden Lester Sowdon left Simplicity Wealth for Tlg Advisors, Inc. (registered 2025-12-12)Dec 16, 2025 · Advisor changed firm · fact
- Amy Marie Roberts left Simplicity Wealth for Creativeone Wealth, Llc (registered 2025-12-10)Dec 8, 2025 · Advisor changed firm · fact
- Santoria Simone Texidor left Simplicity Wealth for J.P. Morgan Securities Llc (registered 2026-01-22)Nov 24, 2025 · Advisor changed firm · fact
- Denver William Nowicz left Simplicity Wealth for Wealth For Life, Llc (registered 2025-10-15)Oct 20, 2025 · Advisor changed firm · fact
- Ronald T Swanick left Simplicity Wealth for Independent Wealth Network, Inc. (registered 2025-10-21)Oct 17, 2025 · Advisor changed firm · fact
- Kenneth D. Greene left Simplicity Wealth for Ae Wealth Management, Llc (registered 2025-10-07)Oct 16, 2025 · Advisor changed firm · fact
- Matthew Glen Oaks left Simplicity Wealth for Ae Wealth Management, Llc (registered 2025-09-02)Sep 10, 2025 · Advisor changed firm · fact
- 2 advisors left Brookstone Wealth Advisors, LLC (Cream Ridge, NJ) for Simplicity Wealth on the same dayAug 15, 2025 · Team lift-out · derived
- 2 advisors left Mutual Trust Asset Mgmt., Inc. (Tampa, FL) for Simplicity Wealth on the same dayAug 8, 2025 · Team lift-out · derived
- Daniel Aurelian Nicolaescu left Simplicity Wealth for Lasting Mark Retirement Group Llc (registered 2025-08-11)Jul 23, 2025 · Advisor changed firm · fact
- Randy Dominic Jaramillo left Simplicity Wealth for Foundations Investment Advisors Llc (registered 2025-07-23)Jul 22, 2025 · Advisor changed firm · fact
- Stephen Scott Harper left Simplicity Wealth for Advisor Share Wealth Management, Llc (registered 2025-07-02)Jul 2, 2025 · Advisor changed firm · fact
- Emile Paul Dufrene left Simplicity Wealth for Foundations Investment Advisors Llc (registered 2025-06-20)Jun 16, 2025 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- s.benavides@simplicityufc.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 303-854-9128reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 727-219-9342reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 727-230-8050reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/retirement-onlyreportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- linkedin.com/company/mswealthmgtreportedpublic record, Form ADV, Sep 17, 2026
- Website
- simplicityufc.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 844-220-8326reportedpublic record, Form ADV, Jul 8, 2026
- Team page
- simplicityufc.com/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $20.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026