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CONVERGENCE FINANCIAL

COLUMBIA, MO · CRD 304146 · IAPD ↗ · (573) 818-2264

$904.0MRegulatory AUM
13Advisory reps
18Employees
0Clients
1-10Planning clients
0Private funds
28States
1Disclosures
wealthSegment
ApprovedSEC status

Filing changes

53
September 2026 — CONVERGENCE FINANCIAL added office(s): 14 -> 15 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
53
July 2026 — CONVERGENCE FINANCIAL added office(s): 13 -> 14 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
45
April 2026 — CONVERGENCE FINANCIAL notice-filed in MD.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
April 2026 — CONVERGENCE FINANCIAL's Item 11 disclosure-reporting entries rose by 1 (0 -> 1).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
63
April 2026 — CONVERGENCE FINANCIAL reported RAUM up 29% ($703.4M -> $904.0M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
47
February 2026 — CONVERGENCE FINANCIAL notice-filed in MI, NH.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
February 2026 — CONVERGENCE FINANCIAL added office(s): 12 -> 13 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
53
December 2025 — CONVERGENCE FINANCIAL added office(s): 11 -> 12 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
53
June 2025 — CONVERGENCE FINANCIAL added office(s): 10 -> 11 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
70
April 2025 — CONVERGENCE FINANCIAL crossed $500M in regulatory AUM ($422.4M -> $703.4M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
45
January 2025 — CONVERGENCE FINANCIAL notice-filed in OH.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
January 2025 — CONVERGENCE FINANCIAL added office(s): 9 -> 10 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
45
December 2024 — CONVERGENCE FINANCIAL notice-filed in AR.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
December 2024 — CONVERGENCE FINANCIAL added office(s): 8 -> 9 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
47
November 2024 — CONVERGENCE FINANCIAL notice-filed in IN, SC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
November 2024 — CONVERGENCE FINANCIAL added office(s): 6 -> 8 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
49
September 2024 — CONVERGENCE FINANCIAL notice-filed in NC, TN, UT.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
August 2024 — CONVERGENCE FINANCIAL added office(s): 5 -> 6 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
53
August 2024 — CONVERGENCE FINANCIAL notice-filed in AZ, IA, NE, NY, PA, VA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
April 2024 — CONVERGENCE FINANCIAL shrank from 20 to 13 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
66
April 2024 — CONVERGENCE FINANCIAL reported RAUM up 42% ($298.1M -> $422.4M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

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