← Tributary

49 FINANCIAL

AUSTIN, TX · CRD 319484 · IAPD ↗ · 214-563-1190

$1.40BRegulatory AUM
128Advisory reps
167Employees
0Clients
51-100Planning clients
0Private funds
38States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

85
April 2026 — 49 FINANCIAL crossed $1B in regulatory AUM ($871.4M -> $1.40B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
49
March 2026 — 49 FINANCIAL notice-filed in AK, CT, WY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
June 2025 — 49 FINANCIAL added office(s): 9 -> 10 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
53
April 2025 — 49 FINANCIAL notice-filed in AL, AZ, CO, HI, IA, IL, IN, KY, LA, MA, MD, MI, MO, MS, NE, NJ, NV, NY, OH, OK, OR, PA, SC, TN, UT, VA, WA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
67
April 2025 — 49 FINANCIAL reports 51-100 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
68
April 2025 — 49 FINANCIAL reported RAUM up 54% ($566.2M -> $871.4M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
68
April 2025 — 49 FINANCIAL now reports custody of client assets ($826.2M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
83
April 2025 — 49 FINANCIAL grew from 74 to 128 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
53
October 2024 — 49 FINANCIAL added office(s): 8 -> 9 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
45
June 2024 — 49 FINANCIAL notice-filed in KS.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
June 2024 — 49 FINANCIAL added office(s): 7 -> 8 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
45
April 2024 — 49 FINANCIAL notice-filed in MN.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
April 2024 — 49 FINANCIAL added office(s): 0 -> 7 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
61
April 2024 — 49 FINANCIAL reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
70
April 2024 — 49 FINANCIAL crossed $500M in regulatory AUM ($230.6M -> $566.2M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
83
April 2024 — 49 FINANCIAL grew from 47 to 74 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

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