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PENNEY FINANCIAL

HOUSTON, TX · CRD 282084 · IAPD ↗ · penneyfinancial.com · 713-300-5165

$303.5MRegulatory AUM
3Advisory reps
3Employees
24Clients
26-50Planning clients
0Private funds
2States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

63
April 2026 — PENNEY FINANCIAL reported RAUM up 29% ($236.1M -> $303.5M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
58
April 2025 — PENNEY FINANCIAL reports 51-100 financial-planning clients, up from 26-50.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
60
April 2025 — PENNEY FINANCIAL reported RAUM up 27% ($185.9M -> $236.1M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
62
April 2024 — PENNEY FINANCIAL reported RAUM up 39% ($134.1M -> $185.9M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

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