VEST FINANCIAL LLC
Latest filing: May 27, 2025 (37 days ago)
AUM
$39,304,330,239
61% change vs. 1 year ago
554% change vs. 3 years ago
3428% change vs. 5 years ago
0% change vs. 10 years ago
Employee Count
43
59% change vs. 1 year ago
139% change vs. 3 years ago
258% change vs. 5 years ago
760% change vs. 10 years ago
Main Office
MCLEAN, VA
8350 BROAD ST, MCLEAN, VA, UNITED STATES, 22102-5150
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $39.3 |
| Non-Discretionary | $0.0 |
| Total | $39.3 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $39.3 |
| Institutional | $0.0 |
| Total | $39.3 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 0 | $0.0 |
| Average HNW AUM | $0 | |
| Retail Total | 0 | $0.0 |
| Average Retail AUM | $0 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.0 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 0% | $0.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 0% | $0.0 |
| Other | 0% | $0.0 |
| Total | 0% | $0.0 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| FIRST TRUST ADVISORS LP | $256.3 | 107027 | |
| STONEBRIDGE ADVISORS LLC | $10.8 | 134017 | |
| FIRST TRUST CAPITAL MANAGEMENT L.P. | $8.2 | 317825 | |
| FIRST TRUST DIRECT INDEXING L.P. | $1.4 | 297760 | |
| FIRST TRUST INVESTMENT SOLUTIONS L.P. | $0.5 | 328327 | |
| FIRST TRUST GLOBAL PORTFOLIOS LIMITED | $0.2 | 169173 | |
| A1 MANAGEMENT CO. LLC | $0.0 | 326677 | |
| VEST SECURITIES, LLC | $0.0 | broker-dealer | 317379 |
| FIRST TRUST GLOBAL PORTFOLIOS MANAGEMENT LIMITED | $0.0 | - | |
| FIRST TRUST PORTFOLIOS L.P. | $0.0 | broker-dealer | 28519 |
| FIRST TRUST CAPITAL PARTNERS, LLC | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
12 active
| Name | Title |
|---|---|
| SOOD, KARAN | CHIEF EXECUTIVE OFFICER |
| CHANG, JEFFERY, YI-BING | CHIEF FINANCIAL OFFICER |
| NEAMTZ, JOHN, STEVEN | MANAGING DIRECTOR |
| RUBIN, HOWARD, SCOTT | MANAGING DIRECTOR |
| BOWEN, JAMES, ALLEN | SOLE SHAREHOLDER |
| SPERLAZZA, JEREMY, MICHAEL | CHIEF COMPLIANCE OFFICER |
ADVDB.CO • SOURCE: SEC
Representatives
7 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| KARAN SOOD | MCLEAN | VA | S63|2007-06-19|S65|2014-12-08 | ||||||
| JEFFERY CHANG | MCLEAN | VA | S63|2011-10-11 | CHARTERED FINANCIAL ANALYST | |||||
| DANIEL SABLIK | MCLEAN | VA | S65|2023-01-24 | ||||||
| CHRISTOPHER MORTIMER | MCLEAN | VA | S66|2008-11-21 | ||||||
| MATTHEW MCFARLAND | MCLEAN | VA | S63|2000-11-09|S66|2023-10-06 | ||||||
| CHRISTOPHER LEE | MCLEAN | VA | S66|2016-12-01 | CHARTERED FINANCIAL ANALYST | |||||
| ALYSON RUSS | MCLEAN | VA | S66|2017-08-03 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-06-02 | $39.3 | $0.0 | 0% | 43 | 0 | 0% |
| 2025-04-21 | $39.3 | $0.0 | 0% | 43 | 0 | 0% |
| 2024-04-02 | $24.4 | $14.9 | 61% | 27 | 16 | 59% |
| 2023-04-04 | $10.1 | $29.2 | 291% | 20 | 23 | 115% |
| 2022-04-01 | $6.0 | $33.3 | 554% | 18 | 25 | 139% |
| 2021-04-05 | $2.4 | $36.9 | 1524% | 15 | 28 | 187% |
| 2020-04-01 | $1.1 | $38.2 | 3428% | 12 | 31 | 258% |
| 2019-04-01 | $0.2 | $39.1 | 22477% | 10 | 33 | 330% |
| 2018-04-02 | $0.1 | $39.2 | 30921% | 13 | 30 | 231% |
| 2017-04-01 | $0.1 | $39.2 | 48743% | 8 | 35 | 438% |
| 2016-04-01 | $0.0 | $39.3 | 1194763% | 6 | 37 | 617% |
| 2015-04-01 | $0.0 | $0.0 | 0% | 5 | 38 | 760% |
| 2014-04-01 | $0.0 | $0.0 | 0% | 3 | 40 | 1333% |
| 2013-04-01 | $0.0 | $0.0 | 0% | 3 | 40 | 1333% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| VA, AZ-08/20/2024, CA-08/20/2024, CO-10/04/2024, IL-08/20/2024, MA-08/20/2024, MD-08/20/2024, SC-08/20/2024, VA-04/18/2013 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV