← Tributary

FINANCIAL CONCEPTS

COLUMBUS, MS · CRD 157616 · IAPD ↗ · 662-327-1480

$1.09BRegulatory AUM
3Advisory reps
19Employees
0Clients
More than 500Planning clients
0Private funds
19States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

47
July 2026 — FINANCIAL CONCEPTS notice-filed in AK.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
85
March 2026 — FINANCIAL CONCEPTS crossed $1B in regulatory AUM ($890.0M -> $1.09B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
45
December 2024 — FINANCIAL CONCEPTS notice-filed in OH.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
August 2024 — FINANCIAL CONCEPTS notice-filed in IL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
April 2024 — FINANCIAL CONCEPTS notice-filed in PA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

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