Conquis Financial Llc
- Regulatory AUM
- $280M
- Discretionary
- $280M
- Clients
- 50
- Avg AUM / client
- $5.6M
- Accounts
- 234
- Employees
- 2
AUM over time
Annual snapshots from Form ADV filings · as of Apr 23, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 10 | $5.9M | 2.12% |
| High net worth individuals | 40 | $274M | 97.9% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Allen Matkins Profit Sharing And 401(k) Plan Allen Matkins Leck Gamble Mallory & Natsis Llp | 2024 | |
| Orrick, Herrington & Sutcliffe Llp Retirement Plan Orrick, Herrington & Sutcliffe Llp | 2024 | |
| Sheppard, Mullin, Richter & Hampton Llp Retirement And Savings Plan Sheppard, Mullin, Richter & Hampton Llp | 2024 |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Katherine Ann Simmonds | President/Chief Executive Officer | CFP | Mar 2022 (4y) | 75% or more |
| Black, Charles, Curtis | Chief Compliance Officer | Jun 2023 (3y) | Less than 5% | |
| Jacob David Levy | Registered representative | CFP | Oct 2024 (2y) |
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.
Retirement plans served (3)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Allen Matkins Profit Sharing And 401(k) Plan | Allen Matkins Leck Gamble Mallory & Natsis Llp | 429 | $303M | 01/01/2024 |
| Orrick, Herrington & Sutcliffe Llp Retirement Plan | Orrick, Herrington & Sutcliffe Llp | 1,870 | $1.2B | 01/01/2024 |
| Sheppard, Mullin, Richter & Hampton Llp Retirement And Savings Plan | Sheppard, Mullin, Richter & Hampton Llp | 1,816 | $912M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/23/2026 | 899 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
- • Other fees
- • HYBRID: FIXED+PERCENTAGE OF ASSETS UNDER MANAGEMENT
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $280M (100% of AUM) Apr 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: Apr 23, 2026.
View current Form ADV (SEC/IAPD) ↗