Vest Financial Llc
- Regulatory AUM
- $51.8B
- Discretionary
- $51.8B
- Clients
- 180
- Avg AUM / client
- $288M
- Accounts
- 154
- Employees
- 52
AUM over time
Annual snapshots from Form ADV filings · as of Jun 12, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Investment companies | 154 | $51.4B | 99.1% |
| Pooled investment vehicles (non-investment companies) | 26 | $450M | 0.87% |
People (18)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| James Allen Bowen | Sole Shareholder | Oct 2010 (16y) | 75% or more of Ajm Ventures, Llc (indirect) | |
| Jeffery Yi Bing Chang | Chief Financial Officer | CFA | Oct 2014 (12y) | Less than 5% |
| Karan Sood | Chief Executive Officer | Dec 2014 (12y) | Less than 5% | |
| Neamtz, John, Steven | Managing Director | Mar 2016 (10y) | Less than 5% | |
| Rubin, Howard, Scott | Managing Director | Aug 2017 (9y) | Less than 5% | |
| Sperlazza, Jeremy, Michael | Chief Compliance Officer | Aug 2023 (3y) | Less than 5% | |
| Christopher James Mortimer | Registered representative | Jul 2015 (11y) | ||
| Christopher Deryen Lee | Registered representative | CFA | Jan 2017 (10y) | |
| Alyson T Russ | Registered representative | Sep 2023 (3y) | ||
| Matthew James Mcfarland | Registered representative | Oct 2023 (3y) | ||
| Daniel Sablik | Registered representative | Jan 2024 (3y) | ||
| Andrew Torok | Registered representative | CFA | Sep 2024 (2y) | |
| Patrick Scanlon | Registered representative | May 2025 (1y) | ||
| Kevin J Miller | Registered representative | CFP | Oct 2025 (1y) | |
| Spencer William Francis Organ | Registered representative | Nov 2025 (1y) | ||
| David Edward Achzet | Registered representative | Feb 2026 (0y) | ||
| Nicholas David Sherrill | Registered representative | CFA | Mar 2026 (0y) | |
| Matthew J Rodgers | Registered representative | CFA | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Vest Group Inc | Sole Member | Oct 2012 | A | 75% or more |
| Grace Partners Of Dupage, L.P. | Limited Partner | Aug 1991 | B | ≈ 14.06% – 50% via First Trust Capital Partners, Llc |
| Ajm Ventures, Llc | Shareholder | Oct 2010 | B | 75% or more of The Charger Corporation (indirect) |
| First Trust Capital Partners, Llc | Member | Aug 2019 | B | ≈ 18.75% – 50% via Vest Group Inc |
| The Charger Corporation | General Partner | Aug 1991 | B | GP / trustee / elected manager of Grace Partners Of Dupage, L.P. (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Grace Partners Of Dupage, L.P.: 75% – 100% of First Trust Capital Partners, Llc × 25% – 50% of Vest Group Inc × 75% – 100% direct ≈ 14.06% – 50% of the firm
- First Trust Capital Partners, Llc: 25% – 50% of Vest Group Inc × 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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/12/2026 | 1.77 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 investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Other services
Custody
Reported custodians
- TD Ameritrade $5.3M (4% of AUM) Mar 2018
- Interactive Brokers $795K (0% of AUM) Oct 2019
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: Jun 12, 2026.
View current Form ADV (SEC/IAPD) ↗