Exceed Advisory Llc
- Regulatory AUM
- $119M
- Discretionary
- $119M
- Clients
- 92
- Avg AUM / client
- $1.3M
- Accounts
- 92
- Employees
- 3
AUM over time
Annual snapshots from Form ADV filings · as of Feb 19, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 61 | $27.2M | 22.8% |
| High net worth individuals | 30 | $71.3M | 59.8% |
| Investment companies | 1 | $18.9M | 15.9% |
| Other investment advisers | Fewer than 5 clients | $1.7M | 1.45% |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Joseph Halpern | Manager & Cco | Oct 2012 (14y) | ≈ 18.75% – 50% via Exceed Holdings Llc | |
| Bryan Patrick Sapp | Registered representative | CFA | Feb 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Exceed Holdings Llc | Member | Oct 2013 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Joseph Halpern: 25% – 50% of Exceed Holdings Llc × 75% – 100% direct ≈ 18.75% – 50% of the firm
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) | 02/19/2026 | 979 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
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $100M (84% of AUM) Feb 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: Feb 19, 2026.
View current Form ADV (SEC/IAPD) ↗