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ETHIC

NEW YORK, NY · CRD 282827 · IAPD ↗ · (646) 687-6744

$10.12BRegulatory AUM
13Advisory reps
75Employees
2Clients
n/aPlanning clients
0Private funds
8States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

65
September 2026 — ETHIC reported RAUM up 29% ($7.82B -> $10.12B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
73
September 2026 — ETHIC grew from 10 to 13 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
72
April 2026 — ETHIC grew from 8 to 10 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
December 2025 — ETHIC shrank from 10 to 8 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
60
April 2025 — ETHIC INC. is now doing business as ETHIC.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
71
April 2024 — ETHIC INC. reported RAUM up 56% ($3.15B -> $4.91B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
47
February 2024 — ETHIC INC. notice-filed in NE.
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.