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QUADCAP WEALTH MANAGEMENT, LLC

FRISCO, TX · CRD 151490 · IAPD ↗ · quadcapwm.com · 972-818-2400

$1.34BRegulatory AUM
18Advisory reps
23Employees
0Clients
More than 500Planning clients
0Private funds
19States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

47
April 2026 — QUADCAP WEALTH MANAGEMENT, LLC notice-filed in MA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
76
April 2026 — QUADCAP WEALTH MANAGEMENT, LLC grew from 12 to 18 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
63
April 2025 — QUADCAP WEALTH MANAGEMENT, LLC reports More than 500 financial-planning clients, up from 251-500.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
70
April 2025 — QUADCAP WEALTH MANAGEMENT, LLC now reports custody of client assets ($888,523).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
85
April 2025 — QUADCAP WEALTH MANAGEMENT, LLC crossed $1B in regulatory AUM ($769.7M -> $1.14B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
53
February 2025 — QUADCAP WEALTH MANAGEMENT, LLC notice-filed in CO, GA, MI, NY, SC, VI, WA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
61
April 2024 — QUADCAP WEALTH MANAGEMENT, LLC reports 251-500 financial-planning clients, up from 101-250.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
71
April 2024 — QUADCAP WEALTH MANAGEMENT, LLC grew from 8 to 11 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.