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FINANCIAL TRANSPARENCY

· CRD 297713 · IAPD ↗ · financialtransparencyllc.com · (336) 715-3300

$322.3MRegulatory AUM
16Advisory reps
16Employees
0Clients
1-10Planning clients
0Private funds
10States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
August 2026 — FINANCIAL TRANSPARENCY notice-filed in WA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
April 2025 — FINANCIAL TRANSPARENCY added office(s): 11 -> 13 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
71
April 2025 — FINANCIAL TRANSPARENCY grew from 14 to 17 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
53
April 2024 — FINANCIAL TRANSPARENCY added office(s): 11 -> 12 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
45
March 2024 — FINANCIAL TRANSPARENCY notice-filed in CA.
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.