Adams Financial Concepts, Llc
- Regulatory AUM
- $78.5M
- Discretionary
- $71.1M
- Clients
- 113
- Avg AUM / client
- $695K
- Accounts
- 113
- Employees
- 3
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jul 07, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 34 | $3.0M | 3.85% |
| High net worth individuals | 76 | $68.0M | 86.6% |
| Pension and profit sharing plans | 3 | $7.5M | 9.51% |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Alexander Michael Adams | Managing Member, Chief Compliance Officer | Dec 2004 (22y) | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
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) | 07/07/2026 | 1.11 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: ALLEGED THAT LIMITED PARTNERS WERE NOT INFORMED OF INVESTMENTS IN WRITING PRIOR TO INVESTMENTS BEING MADE. FURTHER THAT FUND FAILED TO HAVE THE FUND AUDITED IN A TIMELY MATTER. Status: Final Sanction Detail: PAID $10,000 IN FEBRUARY 2014 Summary: FINE WAS PAID; ADAMS FINANCIAL CONCEPTS SUED PATKE AND ASSOCIATES THE AUDIT AND COLLECTED A SETTLEMENT.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Performance-based fees
Services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Reported custodians
- Interactive Brokers $49.6M (63% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: Jul 07, 2026.
View current Form ADV (SEC/IAPD) ↗