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FINANCIAL COUNCIL, LLC

TOWSON, MD · CRD 110748 · IAPD ↗ · financialcouncil.com · 410-821-9200

$1.27BRegulatory AUM
10Advisory reps
21Employees
0Clients
n/aPlanning clients
0Private funds
14States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

49
April 2025 — FINANCIAL COUNCIL, LLC notice-filed in NH, TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
73
April 2025 — FINANCIAL COUNCIL, LLC grew from 7 to 10 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
85
April 2025 — FINANCIAL COUNCIL, LLC crossed $1B in regulatory AUM ($959.4M -> $1.10B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
43
August 2024 — FINANCIAL COUNCIL, LLC filed an Item 4A succession naming FINANCIAL COUNCIL, LLC (CRD 110748) — an entity change, not a deal.
Item 4A succession where the acquired firm is the same business (entity change, not a deal).
Integration & migration consultingCompliance
45
April 2024 — FINANCIAL COUNCIL, LLC notice-filed in CO.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
58
April 2024 — FINANCIAL COUNCIL ASSET MANAGEMENT INC is now doing business as FINANCIAL COUNCIL, LLC.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
68
April 2024 — FINANCIAL COUNCIL, LLC now reports custody of client assets ($200.0M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
72
April 2024 — FINANCIAL COUNCIL, LLC grew from 3 to 7 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

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