Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$113,456,003
Total clients
297
22% high-net worth
Total advisors
6
of 11 employees
Firm size
Team
4-10 advisors or $500M+ in AUM
Average clients per advisor
50
Average account size
$382,007
Expand Financial Group, LLC advises individuals and high-net-worth clients and also accepts a range of institutional and organizational relationships, including charitable organizations. The firm offers asset management, comprehensive portfolio management, and standalone financial planning and consulting, and can advise on “held-away” assets through third-party order management arrangements.
Portfolios are customized using stocks, bonds, ETFs, mutual funds, REITs and other alternatives, with services offered on discretionary or non-discretionary bases and periodic rebalancing and monitoring. The firm describes a multi-method investment process (fundamental, technical, quantitative, sector and duration management) and discloses that it may use borrowing/margin in separately managed accounts.
Noteworthy features relative to peers include a multi-office footprint (six offices) and an uncommon client mix that the brochure lists as including sovereign wealth funds, banking and insurance entities, other investment advisers, and state or municipal governments. The brochure also discloses prior state enforcement orders for transacting without registration (Pennsylvania in 2021 and Florida in 2023), a recent transition to SEC registration, and additional business activities: some representatives are licensed insurance agents who receive commissions and at least one representative provides tax services as an enrolled agent; the firm may also share fees with third-party advisers and receives custodial and support services from its recommended custodian.
Financial planning flat fees range from $500 to $10,000, based on hourly rate and estimated hours
$0+: 1.50% annually (Asset Management service, negotiable) $0+: 1.75% annually (Comprehensive Portfolio Management service, negotiable)
Up to $350 per hour for financial consulting services
Retainer basis fees paid monthly, quarterly, or bi-annually based on estimated hours times hourly fee
Texas
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Series 65
Celina, TX
Expand Financial Group, LLC
Series 65
Eugene, OR
Expand Financial Group, LLC
Series 66
Bozeman, MT
Expand Financial Group, LLC
Series 65
Sun City, AZ
Expand Financial Group, LLC
Series 63, Series 65
Spring Hill, TN
Expand Financial Group, LLC
Series 63, Series 65
Burleson, TX
Expand Financial Group, LLC
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