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EXCEPTIONAL WEALTH & FAMILY OFFICE

COLORADO SPRINGS, CO · CRD 340444 · IAPD ↗ · 719-715-4179

$292.2MRegulatory AUM
5Advisory reps
8Employees
0Clients
0Planning clients
0Private funds
5States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
August 2026 — EXCEPTIONAL WEALTH & FAMILY OFFICE notice-filed in FL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
68
August 2026 — EXCEPTIONAL WEALTH & FAMILY OFFICE now reports custody of client assets ($43.3M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
71
August 2026 — EXCEPTIONAL WEALTH & FAMILY OFFICE grew from 2 to 5 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
73
August 2026 — EXCEPTIONAL WEALTH & FAMILY OFFICE's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
42
May 2026 — EXCEPTIONAL WEALTH & FAMILY OFFICE notice-filed in CA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
95
April 2026 — EXCEPTIONAL WEALTH & FAMILY OFFICE (COLORADO SPRINGS, 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.