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DIRECT FINANCIAL CARE

· CRD 310559 · IAPD ↗ · directfinancialcare.com · 608-630-7974

$232.6MRegulatory AUM
2Advisory reps
2Employees
4Clients
1-10Planning clients
0Private funds
2States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

65
April 2026 — DIRECT FINANCIAL CARE now reports custody of client assets ($38.9M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
42
June 2025 — DIRECT FINANCIAL CARE notice-filed in PA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
60
April 2025 — DIRECT FINANCIAL CARE reported RAUM up 28% ($150.0M -> $192.3M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
95
April 2024 — DIRECT FINANCIAL CARE (location n/a) is newly SEC-registered with $150.0M RAUM and 1 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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