360 Financial, Inc.
- Regulatory AUM
- $701M
- Discretionary
- $636M
- Clients
- 1,206
- Avg AUM / client
- $581K
- Accounts
- 2,079
- Employees
- 16
AUM over time
Annual snapshots from Form ADV filings · as of May 12, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 756 | $151M | 21.6% |
| High net worth individuals | 421 | $464M | 66.2% |
| Pension and profit sharing plans | 1 | $1.7M | 0.24% |
| Charitable organizations | 3 | $4.8M | 0.68% |
| Corporations and other businesses | 25 | $79.1M | 11.3% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Summit Orthopedics, Ltd. 401(k) Profit Sharing Plan Summit Orthopedics, Ltd. | 2024 |
People (10)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Michael Anthony Rogers | Chief Compliance Officer And President | Oct 1995 (31y) | 75% or more | |
| Thomas Arden Whitnah | Registered representative | Aug 2013 (13y) | ||
| Daniel James Mahoney | Registered representative | CFP | Jul 2014 (12y) | |
| Brian D Bohnsack | Registered representative | Oct 2022 (4y) | ||
| Michael Joel Urch | Registered representative | CFP | May 2023 (3y) | |
| Joseph Leonard Rapacki | Registered representative | Personal Financial Specialist | Aug 2023 (3y) | |
| William Edward Grant | Registered representative | CFP | Aug 2023 (3y) | |
| Danielle Renee Cain | Registered representative | CFP | May 2024 (2y) | |
| Mitchell Dennis Zweber | Registered representative | Oct 2024 (2y) | ||
| Grant Robert Dressen | Registered representative | May 2026 (0y) |
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.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Summit Orthopedics, Ltd. 401(k) Profit Sharing Plan | Summit Orthopedics, Ltd. | 1,176 | $153M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/12/2026 | 1.16 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: THIS MATTER INVOLVES THE FAILURE OF 360 FINANCIAL - A REGISTERED INVESTMENT ADVISER - TO DISCLOSE TO CLIENTS THAT IT RECEIVED A FORGIVABLE LOAN OF $446,356 FROM A BROKER-DEALER (THE "BROKER-DEALER") AND A SEPARATE NON-FORGIVABLE LOAN FROM A BROKER THAT PROVIDES CLEARING AND CUSTODY SERVICES FOR 360 FINANCIAL'S ADVISORY CLIENTS. 360 FINANCIAL DID NOT DISCLOSE THE LOAN OR THE CONFLICT OF INTEREST ARISING FROM THIS COMPENSATION IN COMMISSION FILINGS OR OTHERWISE TO CLIENTS. BY FAILING TO DISCLOSE ITS CONFLICT OF INTEREST COMPLETELY AND ACCURATELY, THE ADVISER VIOLATED SECTION 206(2) OF THE ADVISERS ACT. THE ADVISER ALSO VIOLATED SECTION 207 OF THE ADVISERS ACT BY OMITTING MATERIAL FACTS FROM ITS COMMISSION FILINGS CONCERNING ITS RELATIONSHIP WITH THE BROKER-DEALER. Status: Final Sanction Detail: 360 FINANCIAL SHALL, WITHIN FOURTEEN (14) DAYS OF THE ENTRY OF THIS ORDER, PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $40,000 TO THE SECURITIES AND EXCHANGE COMMISSION FOR TRANSFER TO THE GENERAL FUND OF THE UNITED STATES TREASURY, SUBJECT TO EXCHANGE ACT SECTION 21F(G)(3). IF TIMELY PAYMENT IS NOT MADE, ADDITIONAL INTEREST SHALL ACCRUE PURSUANT TO 31 U.S.C. §3717. Summary: THE SECURITIES AND EXCHANGE COMMISSION (SEC) ISSUED AN ORDER AGAINST 360 FINANCIAL ON 09/26/2017 FOR FAILING TO DISCLOSE THAT ITS OWNER RECEIVED A FORGIVABLE LOAN OF $446,356 AND A SEPARATE NON-FORGIVABLE LOAN ($127,530) FROM A BROKER-DEALER, WHICH PROVIDES CLEARING AND CUSTODY SERVICES FOR 360 FINANCIAL'S ADVISORY CLIENTS. THE SEC FOUND THAT 360 FINANCIAL VIOLATED SECTION 206(2) OF THE ADVISERS ACT BY FAILING TO DISCLOSE ITS CONFLICT OF INTEREST COMPLETELY AND ACCURATELY AND SECTION 207 OF THE ADVISERS ACT BY OMITTING MATERIAL FACTS CONCERNING ITS RELATIONSHIP WITH THE BROKER-DEALER. 360 FINANCIAL HAS BEEN ORDERED TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTIONS 206(2) AND 207 OF THE ADVISERS ACT, CENSURED, AND ORDERED TO PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $40,000 TO THE SEC.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Educational seminars/workshops
Custody
Reported custodians
- LPL Financial $626M (89% of AUM) May 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: May 12, 2026.
View current Form ADV (SEC/IAPD) ↗