Arq Wealth Advisors, Llc
- Regulatory AUM
- $1.1B
- Discretionary
- $1.1B
- Clients
- 612
- Avg AUM / client
- $1.8M
- Accounts
- 2,148
- Employees
- 18
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Apr 15, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 286 | $133M | 12.0% |
| High net worth individuals | 318 | $959M | 86.4% |
| Pension and profit sharing plans | 2 | $5.0M | 0.45% |
| Corporations and other businesses | 5 | $7.2M | 0.65% |
| Other | 1 | $5.7M | 0.51% |
People (14)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Gregory Courtland Yocum | Managing Member / Chief Compliance Officer | CFP | May 2008 (18y) | 25% – 50% |
| Richard Alan Siegel | Managing Member | CFP | May 2008 (18y) | 25% – 50% |
| James Nelson Robinson | Member | Oct 2014 (12y) | 25% – 50% | |
| Joseph Christopher Gilligan | Registered representative | Aug 2019 (7y) | ||
| Tristen Thomas Sheffler | Registered representative | CFP | Sep 2023 (3y) | |
| William Harcourt Lynn | Registered representative | Jan 2024 (3y) | ||
| Carl Steven Mariner | Registered representative | CFP Chartered Financial Consultant CFA | Sep 2024 (2y) | |
| Carly Marie Denial | Registered representative | May 2025 (1y) | ||
| Zachary Kendal Potter | Registered representative | CFP | May 2025 (1y) | |
| William Darrell Lee | Registered representative | CFP CFA | Jun 2025 (1y) | |
| Tracy Riordan | Registered representative | Nov 2025 (1y) | ||
| Jeffrey Edward Shiffra | Registered representative | CFA | Apr 2026 (0y) | |
| Jerad Ryan Rosburg | Registered representative | Apr 2026 (0y) | ||
| Rebecca Gail Wagner | Registered representative | CFP | May 2026 (0y) |
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) | 04/15/2026 | 913 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
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
Custody
Reported custodians
- Charles Schwab & Co. $678M (61% of AUM) Apr 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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 15, 2026.
View current Form ADV (SEC/IAPD) ↗