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HOEY INVESTMENTS, INC.

COATESVILLE, PA · CRD 152103 · IAPD ↗ · hoeyinvestments.com · 610-738-4280

$788.3MRegulatory AUM
1Advisory reps
5Employees
0Clients
251-500Planning clients
0Private funds
13States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

51
April 2026 — HOEY INVESTMENTS, INC. notice-filed in GA, MA, MD, VA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
April 2026 — HOEY INVESTMENTS, INC. shrank from 4 to 1 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
70
April 2026 — HOEY INVESTMENTS, INC. reports 251-500 financial-planning clients, up from 11-25.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
45
April 2025 — HOEY INVESTMENTS, INC. notice-filed in AZ.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
70
April 2025 — HOEY INVESTMENTS, INC. crossed $500M in regulatory AUM ($427.5M -> $635.5M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
47
January 2025 — HOEY INVESTMENTS, INC. notice-filed in SC, VA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
61
April 2024 — HOEY INVESTMENTS, INC. reports 11-25 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
67
April 2024 — HOEY INVESTMENTS, INC. reported RAUM up 48% ($288.6M -> $427.5M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

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