Hopwood Financial Services, Inc.
- Regulatory AUM
- $750M
- Discretionary
- $750M
- Clients
- 288
- Avg AUM / client
- $2.6M
- Accounts
- 1,068
- Employees
- 11
AUM over time
Annual snapshots from Form ADV filings · as of Mar 27, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 114 | $43.5M | 5.79% |
| High net worth individuals | 169 | $696M | 92.8% |
| Pension and profit sharing plans | 2 | $7.0M | 0.93% |
| Charitable organizations | 1 | $1.2M | 0.15% |
| Corporations and other businesses | 2 | $2.8M | 0.37% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Houston Pilots 401(k) Plan Houston Pilots | 2024 |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Herbert Gladstone Hopwood | President/Chief Compliance Officer | CFP CFA | Jul 2003 (23y) | 75% or more |
| Kevin James Galvin | Executive Vice President | CFP CFA | Feb 2015 (11y) | 10% – 25% |
| Peter Alexander Ramig | Registered representative | CFP | Mar 2023 (3y) | |
| Pedrom Sadeghi | Registered representative | CFP | May 2024 (2y) | |
| Jason David Stinner | Registered representative | CFA | Dec 2024 (2y) | |
| Max Bowen Kortegast | Registered representative | CFP | Jan 2026 (1y) |
Undisclosed: 0% – 15% 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 |
|---|---|---|---|---|
| Houston Pilots 401(k) Plan | Houston Pilots | 142 | $137M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/27/2026 | 1000 KB | 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
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $530M (71% of AUM) Mar 2026
- National Financial Services (Fidelity) $219M (29% of AUM) Mar 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: Mar 27, 2026.
View current Form ADV (SEC/IAPD) ↗