Expand Financial, Llc
- Regulatory AUM
- $2.8B
- Discretionary
- $2.7B
- Clients
- 1,858
- Avg AUM / client
- $1.5M
- Accounts
- 1,959
- Employees
- 6
AUM over time
Annual snapshots from Form ADV filings · as of Mar 02, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 87 | $17.1M | 0.62% |
| High net worth individuals | 32 | $68.1M | 2.46% |
| Pension and profit sharing plans | 1,739 | $2.7B | 96.9% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Wesco Turf, Inc. 401(k) Profit Sharing Plan And Trust Wesco Turf, Inc. | 2024 | |
| Techstars 401(k) Plan Techstars Central, Llc | 2024 | |
| Fev North America, Inc. 401(k) Plan Fev North America, Inc | 2024 | |
| Rocky Vista University, Llc 401(k) Retirement Plan Rocky Vista University, Llc | 2024 | |
| Parametric Solutions Inc. 401(k) Profit Sharing Plan And Trust Parametric Solutions Inc. | 2024 | |
| Employee Profit Sharing And Salary Reduction Plan Of Urology Associates, P.C. Urology Associates, P.C. | 2024 | |
| Wendy's Of Colorado Springs 401(k) Plan Wendy's Of Colorado Springs, Inc. | 2024 |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Sheri Annis Baker | Chief Compliance Officer, Chief Financial Officer | Personal Financial Specialist | Dec 2009 (17y) | Less than 5% |
| Gregory Michael Bakke | Ceo | Dec 2020 (6y) | Less than 5% | |
| Quintan Adam Kocher | Registered representative | Mar 2012 (14y) | ||
| Christopher Scott Hillier | Registered representative | May 2025 (1y) | ||
| Natalie Margaret Neaton | Registered representative | May 2025 (1y) | ||
| Toby Ryan Martinez | Registered representative | Nov 2025 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| July Business Services Holdings, Llc | Member | Sep 2022 | A | 75% or more |
| Platform July Business Services Holdings, Llc | Member | Sep 2022 | B | ≈ 37.5% – 75% via July Business Services Holdings, Llc |
| Jbs Holdings Group, Llc | Member | Sep 2022 | B | ≈ 18.75% – 50% via July Business Services 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):
- Platform July Business Services Holdings, Llc: 50% – 75% of July Business Services Holdings, Llc × 75% – 100% direct ≈ 37.5% – 75% of the firm
- Jbs Holdings Group, Llc: 25% – 50% of July Business Services Holdings, Llc × 75% – 100% direct ≈ 18.75% – 50% 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.
Retirement plans served (7)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Wesco Turf, Inc. 401(k) Profit Sharing Plan And Trust | Wesco Turf, Inc. | 308 | $27.5M | 10/01/2024 |
| Techstars 401(k) Plan | Techstars Central, Llc | 162 | $18.5M | 01/01/2024 |
| Fev North America, Inc. 401(k) Plan | Fev North America, Inc | 344 | $83.6M | 01/01/2024 |
| Rocky Vista University, Llc 401(k) Retirement Plan | Rocky Vista University, Llc | 473 | $26.1M | 01/01/2024 |
| Parametric Solutions Inc. 401(k) Profit Sharing Plan And Trust | Parametric Solutions Inc. | 136 | $27.3M | 01/01/2024 |
| Employee Profit Sharing And Salary Reduction Plan Of Urology Associates, P.C. | Urology Associates, P.C. | 41 | $8.3M | 01/01/2024 |
| Wendy's Of Colorado Springs 401(k) Plan | Wendy's Of Colorado Springs, Inc. | 4,935 | $9.2M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/02/2026 | 994 KB | 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
- • PERCENTAGE OF TOTAL PLAN ASSETS
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Mid Atlantic Trust Company $902M (33% of AUM) Mar 2026
- Matrix Trust Company $898M (32% of AUM) Mar 2026
- Charles Schwab & Co. $237M (9% of AUM) Mar 2026
- Newedge Securities, Inc. $226M (75% of AUM) Jan 2023
- Pershing $62.4M (7% of AUM) Aug 2023
- Nationwide Investment Services Corporation $34.8M (12% of AUM) Jan 2023
- Mid Atlantic Capital Corporation $32.5M (24% of AUM) Jul 2021
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: Mar 02, 2026.
View current Form ADV (SEC/IAPD) ↗