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WAGNER LOFTIN INVESTMENT SERVICES LLC

PLEASANT HILL, CA · CRD 109770 · IAPD ↗ · wlisinvest.com · 925-930-7176

$396.4MRegulatory AUM
7Advisory reps
7Employees
0Clients
0Planning clients
0Private funds
6States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

63
October 2026 — WAGNER LOFTIN INVESTMENT SERVICES LLC (PLEASANT HILL, CA) left the SEC roster (was $396.4M RAUM, 7 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
45
April 2025 — WAGNER LOFTIN INVESTMENT SERVICES LLC notice-filed in NY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
68
February 2025 — WAGNER LOFTIN INVESTMENT SERVICES LLC now reports custody of client assets ($1.1M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.