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WARREN CAPITAL GROUP

CHARLESTON, SC · CRD 137449 · IAPD ↗ · 8542468881

$131.0MRegulatory AUM
3Advisory reps
3Employees
0Clients
101-250Planning clients
0Private funds
8States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

42
April 2026 — WARREN CAPITAL GROUP notice-filed in FL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
60
April 2025 — WARREN CAPITAL GROUP began participating in a wrap-fee program.
Firm began participating in a wrap-fee program (Item 5I(1)).
Portfolio / reporting / TAMPCompliance
62
April 2025 — WARREN CAPITAL GROUP reported RAUM up 38% ($90.7M -> $124.8M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
40
March 2024 — WARREN CAPITAL GROUP filed an Item 4A succession naming WARREN CAPITAL GROUP (CRD 137449) — 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

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