Spectrum Financial Resources, Llc
- Regulatory AUM
- $235M
- Discretionary
- $87.5M
- Clients
- 723
- Avg AUM / client
- $325K
- Accounts
- 1,162
- Employees
- 6
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 30, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 584 | $144M | 61.1% |
| High net worth individuals | 139 | $91.5M | 38.9% |
| Charitable organizations | Fewer than 5 clients | $97.9K | 0.04% |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Daniel Thomas Hoban | Managing Member/Chief Compliance Officer | Oct 2009 (17y) | 50% – 75% | |
| Schneider, Jean, Ann | Managing Member | Oct 2009 (17y) | 50% – 75% | |
| James Daniel Williams | Registered representative | Sep 2014 (12y) | ||
| Kevin Findley Mcmillan | Registered representative | Jun 2020 (6y) | ||
| Lucian Christopher Harbar | Registered representative | Oct 2025 (1y) | ||
| David John Laidlaw | Registered representative | Jan 2026 (1y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/30/2026 | 1.07 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Other fees
- • REFERRAL FEES FROM THIRD-PARTY MANAGERS
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Pershing $167M (71% of AUM) Mar 2026
- Charles Schwab & Co. $60.8M (26% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 30, 2026.
View current Form ADV (SEC/IAPD) ↗