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PCM ENCORE, LLC

ASPEN, CO · CRD 333127 · IAPD ↗ · encoreinvestment.com · 425-214-1755

$2.05BRegulatory AUM
9Advisory reps
18Employees
0Clients
251-500Planning clients
0Private funds
13States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

47
October 2026 — PCM ENCORE, LLC notice-filed in MA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
October 2026 — PCM ENCORE, LLC added office(s): 9 -> 10 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
72
July 2026 — PCM ENCORE, LLC grew from 6 to 8 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
49
June 2026 — PCM ENCORE, LLC notice-filed in IL, NJ.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
June 2026 — PCM ENCORE, LLC added office(s): 7 -> 9 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
47
April 2026 — PCM ENCORE, LLC notice-filed in NH.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
68
April 2026 — PCM ENCORE, LLC reported RAUM up 41% ($1.24B -> $1.74B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
78
April 2026 — PCM ENCORE, LLC reports 251-500 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
51
December 2025 — PCM ENCORE, LLC notice-filed in CA, NY, OK.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
December 2025 — PCM ENCORE, LLC added office(s): 5 -> 7 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
55
April 2025 — PCM ENCORE, LLC added office(s): 1 -> 5 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
70
April 2025 — PCM ENCORE, LLC now reports custody of client assets ($13.2M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
72
April 2025 — PCM ENCORE, LLC grew from 4 to 6 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
47
March 2025 — PCM ENCORE, LLC notice-filed in NC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
49
February 2025 — PCM ENCORE, LLC notice-filed in FL, TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
72
January 2025 — PCM ENCORE, LLC grew from 2 to 4 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
75
January 2025 — PCM ENCORE, LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
42
December 2024 — PCM ENCORE, LLC notice-filed in VA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
December 2024 — PCM ENCORE, LLC added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
95
November 2024 — PCM ENCORE, LLC (ASPEN, CO) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 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.