Commonwealth Financial Services, Llc.
- Regulatory AUM
- $995M
- Discretionary
- $977M
- Clients
- 2,271
- Avg AUM / client
- $438K
- Accounts
- 5,003
- Employees
- 26
AUM over time
Annual snapshots from Form ADV filings · as of Apr 02, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 1,990 | $499M | 50.1% |
| High net worth individuals | 226 | $472M | 47.4% |
| Pension and profit sharing plans | 13 | $4.4M | 0.45% |
| Charitable organizations | 9 | $1.3M | 0.13% |
| Corporations and other businesses | 24 | $12.0M | 1.2% |
| Other | 9 | $6.6M | 0.66% |
People (19)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Daniel Lee Spurgeon | Owner & Financial Advisor | CFP | Apr 2023 (3y) | 25% – 50% |
| Kimpel, Todd, Edward | Co Founder / Owner & Financial Advisor | Apr 2023 (3y) | 25% – 50% | |
| Michael Charles Seese | Co Founder / Owner & Financial Advisor | CFP Chartered Financial Consultant | Apr 2023 (3y) | 25% – 50% |
| Rothchild, Matthew, David | Chief Compliance Officer | Jun 2024 (2y) | Less than 5% | |
| Neal Elliott Watson | Registered representative | CFP | Apr 2023 (3y) | |
| Nikki Von Lude | Registered representative | CFP Chartered Financial Consultant | Apr 2023 (3y) | |
| Bernard Vincent Mc Manus | Registered representative | Apr 2023 (3y) | ||
| Derek Bailey | Registered representative | Apr 2023 (3y) | ||
| Shanell Jeffrey | Registered representative | Apr 2023 (3y) | ||
| Tyler Szafran | Registered representative | Apr 2023 (3y) | ||
| Evan Thomas Brockmeier | Registered representative | May 2023 (3y) | ||
| Craig Kevin Seachrist | Registered representative | Aug 2023 (3y) | ||
| Joshua Franklin Wine | Registered representative | Aug 2023 (3y) | ||
| Zachary Michael Seese | Registered representative | CFP | Aug 2023 (3y) | |
| Ciara Kathleen Stewart | Registered representative | CFP | Aug 2023 (3y) | |
| Madison Marie Gontarek | Registered representative | Feb 2024 (2y) | ||
| Tyler Andrew Brautigan | Registered representative | CFP | May 2024 (2y) | |
| Sierra R Love | Registered representative | Dec 2024 (2y) | ||
| Samuel Martin Cremeans | Registered representative | Jan 2026 (1y) |
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) | 04/02/2026 | 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
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Educational seminars/workshops
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $723M (73% of AUM) Apr 2026
- Fidelity Brokerage Services $236M (24% of AUM) Apr 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: Apr 02, 2026.
View current Form ADV (SEC/IAPD) ↗