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CONCEPTUAL FINANCIAL ADVISORS, LLC

APPLETON, WI · CRD 167513 · IAPD ↗ · ontrackadvisor.com · 920-731-9500

$189.9MRegulatory AUM
1Advisory reps
4Employees
9Clients
1-10Planning clients
0Private funds
2States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

50
February 2026 — CONCEPTUAL FINANCIAL ADVISORS, LLC shrank from 3 to 1 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
42
May 2024 — CONCEPTUAL FINANCIAL ADVISORS, LLC notice-filed in FL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
May 2024 — CONCEPTUAL FINANCIAL ADVISORS, LLC added office(s): 1 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
65
February 2024 — CONCEPTUAL FINANCIAL ADVISORS, LLC now reports custody of client assets ($93.0M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian

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