Icon Financial Services Llc
- Regulatory AUM
- $19.7M
- Discretionary
- $19.7M
- Clients
- 4,178
- Avg AUM / client
- $4.7K
- Accounts
- 4,178
- Employees
- 3
AUM over time
Annual snapshots from Form ADV filings · as of Mar 13, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 4,171 | $19.6M | 99.1% |
| High net worth individuals | 7 | $168K | 0.85% |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Rowley, Laurie | Co Founder, Ceo | Nov 2018 (8y) | ≈ 37.5% – 75% via The Icon Savings Plan Corporation | |
| Alexander Kent Rowley | Co Founder & Chief Compliance Officer | Nov 2019 (7y) | Less than 5% | |
| John Cortlandt Sweeney | Registered representative | Jul 2025 (1y) | ||
| Zachary George Fowler | Registered representative | Jan 2026 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| The Icon Savings Plan Corporation | Member | Nov 2019 | 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):
- Rowley, Laurie: 50% – 75% of The Icon Savings Plan Corporation × 75% – 100% direct ≈ 37.5% – 75% 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) | 03/13/2026 | 967 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
Custody
Reported custodians
- Apex Clearing $19.7M (100% 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 13, 2026.
View current Form ADV (SEC/IAPD) ↗