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WALK-ON CAPITAL, LLC

LOS ANGELES, CA · CRD 331407 · IAPD ↗ · walk-oncapital.com · 970-948-2311

$155.1MRegulatory AUM
5Advisory reps
9Employees
0Clients
n/aPlanning clients
2Private funds
1States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

52
April 2026 — WALK-ON CAPITAL, LLC grew from 3 to 5 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
35
April 2025 — WALK-ON CAPITAL, LLC shrank from 6 to 3 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
48
April 2025 — WALK-ON CAPITAL, LLC reported RAUM up 42% ($100.1M -> $142.3M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
53
November 2024 — WALK-ON CAPITAL, LLC grew from 3 to 6 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
November 2024 — WALK-ON CAPITAL, LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
80
July 2024 — WALK-ON CAPITAL, LLC (LOS ANGELES, CA) is newly SEC-registered (provisional 120-day approval) with $90.0M RAUM and 3 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.