Commonwealth Equity Services, Llc
$321M reported client assets across 2 advisory firms in FY2019 annual amendments
Reported client assets over time
$210M
$256M
2018
2019
Same-firm comparison: 1 firms that reported Commonwealth Equity Services, Llc in both FY2018 and FY2019 annual amendments (ADV Item 5.K.(3)). Fiscal years come directly from the SEC filing-type table; filing dates are not used as a year-end proxy. No matched data for FY2017.
| Advisory firm | RAUM at custodian | Firm total AUM | Share | As of |
|---|---|---|---|---|
| Planning Directions, Inc. | $256M | $256M | 100.0% | 03/12/2020 |
| Thayer Partners Llc | $64.6M | $234M | 27.7% | 03/06/2020 |
From Form ADV Schedule D 5.K.(3): custodians named at the 10%-of-SMA-assets threshold, with reported dollar amounts. "Share" is reported amount as a share of the firm's total regulatory AUM.