Lloyd Advisory Services, Llc
- Regulatory AUM
- $438M
- Discretionary
- $438M
- Clients
- 1,262
- Avg AUM / client
- $347K
- Accounts
- 2,779
- Employees
- 13
AUM over time
Annual snapshots from Form ADV filings · as of Mar 25, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 1,142 | $308M | 70.3% |
| High net worth individuals | 60 | $119M | 27.2% |
| Pension and profit sharing plans | 60 | $11.0M | 2.52% |
| Corporations and other businesses | Fewer than 5 clients | $242K | 0.06% |
People (8)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Mark Alan Lloyd | Ceo | Jun 2009 (17y) | ≈ 21.09% – 75% via The Lloyd Group Legacy, Inc | |
| Mason, Dennis, Richard | Chief Compliance Officer | Feb 2024 (3y) | Less than 5% | |
| Andrew Burton Jones | Registered representative | Jun 2009 (17y) | ||
| James Blake Morris | Registered representative | CFP | Jul 2009 (17y) | |
| Andrew Jacob Lloyd | Registered representative | Jul 2022 (4y) | ||
| Mark Alan Lloyd | Registered representative | Aug 2023 (3y) | ||
| Shaun Paul Duffy | Registered representative | Mar 2024 (2y) | ||
| Brent William Capehart | Registered representative | Apr 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| The Lloyd Advisory Group, Llc | Member | Jun 2009 | A | 75% or more |
| The Lloyd Group Holdings, Llc | Member | Feb 2024 | B | ≈ 56.25% – 100% via The Lloyd Advisory Group, Llc |
| The Lloyd Group Legacy, Inc | Member | Feb 2024 | B | ≈ 28.13% – 75% via The Lloyd Group Holdings, Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Mark Alan Lloyd: 75% – 100% of The Lloyd Group Legacy, Inc × 50% – 75% of The Lloyd Group Holdings, Llc × 75% – 100% of The Lloyd Advisory Group, Llc × 75% – 100% direct ≈ 21.09% – 75% of the firm
- The Lloyd Group Holdings, Llc: 75% – 100% of The Lloyd Advisory Group, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- The Lloyd Group Legacy, Inc: 50% – 75% of The Lloyd Group Holdings, Llc × 75% – 100% of The Lloyd Advisory Group, Llc × 75% – 100% direct ≈ 28.13% – 75% of the firm
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) | 03/25/2026 | 1.03 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
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Fidelity Brokerage Services $423M (97% of AUM) Mar 2026
- Charles Schwab & Co. $14.2M (3% 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 25, 2026.
View current Form ADV (SEC/IAPD) ↗