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SCHLEGEL DUNN LLC

PLANO, TX · CRD 337990 · IAPD ↗ · schlegeldunn.com · (972) 327-3607

$279.1MRegulatory AUM
3Advisory reps
4Employees
0Clients
0Planning clients
0Private funds
2States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

73
March 2026 — SCHLEGEL DUNN LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
68
February 2026 — SCHLEGEL DUNN LLC now reports custody of client assets ($13.6M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
95
December 2025 — SCHLEGEL DUNN LLC (PLANO, TX) is newly SEC-registered (provisional 120-day approval) with $0 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.