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SIMPLICITY WEALTH
Legal name: SIMPLICITY WEALTH LLC
CRD 300572File 801-114798
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Jul 8, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$4.27B
Top 25% of cohort (national)
Discretionary AUM
$4.19B
Non-discretionary $82.6M
Clients
8,494
14,045 accounts
Employees
424
Top 25% of cohort in NJ
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Mar 11, 2019
- Principal office
- 475 SPRINGFIELD AVE., SUITE #1, SUMMIT, NJ, 07901
- Phone
- 844-220-8326
- Website
- https://simplicityufc.com
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $4.27B
- Discretionary AUM
- $4.19B
- Non-discretionary AUM
- $82.6M
- Discretionary accounts
- 14,042
- Non-discretionary accounts
- 3
- Total accounts
- 14,045
- AUM per client
- $503K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other investment advisers | 36 | $2.51B |
| High net worth individuals | 645 | $634.6M |
| Banking or thrift institutions | 2 | $44.1M |
| Individuals (other than high net worth individuals) | 7,811 | $1.08B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Other
- Publications
- Financial planning services
- Selection of other advisers
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- 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- Q11
- Q11D2
- Q11D4
- Q11D5
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 242 | 424 | increased by182 |
| Apr 1, 2026 | Clients | 5,619 | 8,494 | increased by2,875 |
| Apr 1, 2026 | AUM | $3,598,410,848 | $4,271,040,743 | increased by$672,629,895 |
| Apr 1, 2026 | Accounts | 10,573 | 14,045 | increased by3,472 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 41 | 242 | increased by201 |
| May 1, 2025 vs Oct 1, 2022 | Disclosures | No | Yes | |
| May 1, 2025 vs Oct 1, 2022 | Custody | No | Yes | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 2,037 | 5,619 | increased by3,582 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $172,714,596 | $3,598,410,848 | increased by$3,425,696,252 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 2,037 | 10,573 | increased by8,536 |
| Oct 1, 2022 | Employees | 38 | 41 | increased by3 |
| Sep 1, 2022 | Employees | 39 | 38 | decreased by1 |
| Aug 1, 2022 | Employees | 37 | 39 | increased by2 |
| Jul 1, 2022 | Employees | 36 | 37 | increased by1 |
| Jun 1, 2022 | Employees | 37 | 36 | decreased by1 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “SIMPLICITY WEALTH” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“SIMPLICITY WEALTH” 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.