EXPAND FINANCIAL, LLC

CRD 152515File 801-121644

APPROVED

Retail clients

Filing as of Sep 23, 2026

Feed vintage Oct 1, 2026

Regulatory AUM

$2.77B

Top 25% of cohort (national)

Discretionary AUM

$2.70B

Non-discretionary $76.0M

Clients

1,858

1,959 accounts

Employees

Identity & registration

ADV Item 1

Organization form: Limited Liability Company
Firm type: Registered
SEC region: DRO
Registration date: Jun 28, 2021
Principal office: Not reported
Phone: 720-387-8158
Website: https://www.expandwealth.com

Assets & accounts

ADV Item 5F

Total regulatory AUM: $2.77B
Discretionary AUM: $2.70B
Non-discretionary AUM: $76.0M
Discretionary accounts: 1,907
Non-discretionary accounts: 52
Total accounts: 1,959
AUM per client: $1.5M

Clients by type

ADV Item 5D

Client type	Clients	AUM
High net worth individuals	32	$68.1M
Pension and profit sharing plans	1,739	$2.69B
Individuals (other than high net worth individuals)	87	$17.1M

Compensation & activities

ADV Items 5E, 5G

Compensation

Other
Fixed fees
Hourly charges
Other (described) — PERCENTAGE OF TOTAL PLAN ASSETS
A percentage of assets under your management

Advisory activities

Other advisory activities
Financial planning services
Selection of other advisers
Portfolio management for other
Portfolio management for individuals and/or small businesses

Custody

ADV Item 9

Firm Custody Cash: No
Firm Custody Assets: No
Firm Custody Clients: No
Firm Custody Securities: No
Related Person Custody Cash: No
Related Person Custody Assets: No
Related Person Custody Clients: No
Related Person Custody Securities: No

Disclosure events

ADV Item 11

This firm answered no to every Item 11 disclosure question in this filing.

Filed changes

Date	Field	From	To	Change
Apr 1, 2026	Clients	1,599	1,858	increased by259
Apr 1, 2026	AUM	$1,835,744,176	$2,772,194,954	increased by$936,450,778
Apr 1, 2026	Accounts	1,670	1,959	increased by289
Dec 1, 2025 vs May 1, 2025	Custody	Yes	No
May 1, 2025 vs Oct 1, 2022	Employees	3	6	increased by3
May 1, 2025 vs Oct 1, 2022	Clients	312	1,599	increased by1,287
May 1, 2025 vs Oct 1, 2022	AUM	$300,936,364	$1,835,744,176	increased by$1,534,807,812
May 1, 2025 vs Oct 1, 2022	Accounts	315	1,670	increased by1,355
Apr 1, 2022	Clients	176	312	increased by136
Apr 1, 2022	AUM	$226,443,833	$300,936,364	increased by$74,492,531
Apr 1, 2022	Accounts	178	315	increased by137
Dec 1, 2021	Custody	No	Yes
Dec 1, 2021	Clients	158	176	increased by18
Dec 1, 2021	AUM	$133,765,252	$226,443,833	increased by$92,678,581
Dec 1, 2021	Accounts	160	178	increased by18

On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.

See plans that list “EXPAND FINANCIAL” as a service provider on 5500mcp →

Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“EXPAND FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.

Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.