Modern Wealth Management, Llc
SEC-registered
Wealth Manager · Large ($10B–$100B)
CRD 324624
· SEC file 801-127231
· Kansas City, MO
· earn4u.com
☆ Save with Pro
ADV data as of Jul 02, 2026
- Regulatory AUM
- $10.9B
- Discretionary
- $10.2B
- Clients
- 11,934
- Avg AUM / client
- $914K
- Accounts
- 30,617
- Employees
- 253
AUM over time
$0
$10.9B
Dec 2022
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 02, 2026
Asset allocation (SMA assets by investment type)
as of Jul 02, 2026
Registered investment companies (funds/ETFs)
$8.6B
79%
Exchange-traded equities
$1.1B
10%
Cash & equivalents
$545M
5%
Other
$218M
2%
US government & agency bonds
$109M
1%
State & local bonds
$109M
1%
Investment-grade corporate bonds
$109M
1%
Pooled investment vehicles
$109M
1%
Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 8,995 | $3.2B | 29.5% |
| High net worth individuals | 2,529 | $6.4B | 58.4% |
| Banking or thrift institutions | 0 | $0 | — |
| Pension and profit sharing plans | 365 | $1.3B | 11.6% |
| Charitable organizations | 19 | $27.5M | 0.25% |
| Corporations and other businesses | 26 | $17.7M | 0.16% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Professional Personnel 401(k) Plan Professional Personnel Service, Inc. | 2024 |
People (147)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Jason Michael Gordo | President | Dec 2022 (4y) | Less than 5% | |
| Michael John Capelle | Co Ceo | Dec 2022 (4y) | Less than 5% | |
| Roth, Gary, Lawrence | Co Ceo | Dec 2022 (4y) | Less than 5% | |
| Barry Stuart Volpert | Member | Apr 2023 (3y) | 75% or more of Volpert Investors, L.L.C. (indirect) | |
| Cassidy, Brian, Patrick | Owner | Apr 2023 (3y) | 25% – 50% of Crestview, L.L.C. (indirect) | |
| James Porter Rankin | Chief Compliance Officer | Nov 2023 (3y) | Less than 5% | |
| Bruce Taylor Godke | Registered representative | Apr 2023 (3y) | ||
| Charles M. Kasper | Registered representative | CFP | Apr 2023 (3y) | |
| Craig James Snedden | Registered representative | Apr 2023 (3y) | ||
| Frank Dean Barber | Registered representative | Apr 2023 (3y) | ||
| Hayden Pudenz | Registered representative | Apr 2023 (3y) | ||
| Jeffrey Paul Ernest | Registered representative | Apr 2023 (3y) | ||
| Kyle Michael Akers | Registered representative | CFP | Apr 2023 (3y) | |
| Logan James Degraeve | Registered representative | Apr 2023 (3y) | ||
| Michael Shane Barber | Registered representative | Apr 2023 (3y) | ||
| Risdan Depaul Kasper | Registered representative | CFP | Apr 2023 (3y) | |
| Wayne Robinson | Registered representative | Apr 2023 (3y) | ||
| William Ray Doty | Registered representative | Apr 2023 (3y) | ||
| Kenneth Lawrence Osiwala | Registered representative | Apr 2023 (3y) | ||
| Christopher Joseph Rett | Registered representative | CFP | May 2023 (3y) | |
| Joshua Kirk Diekmann | Registered representative | CFP | May 2023 (3y) | |
| Stephen Andrew Tuckwood | Registered representative | May 2023 (3y) | ||
| Kade Lawrence Messner | Registered representative | CFP | Aug 2023 (3y) | |
| Peter E Wargo | Registered representative | Aug 2023 (3y) | ||
| Brian Dale Johnson | Registered representative | Sep 2023 (3y) | ||
| Jeremiah Johnson | Registered representative | Sep 2023 (3y) | ||
| Kyle Martin James | Registered representative | Oct 2023 (3y) | ||
| Martin Edwin James | Registered representative | Oct 2023 (3y) | ||
| Drew Christopher Sprugel | Registered representative | CFP | Nov 2023 (3y) | |
| Christopher Kevin Hoffarth | Registered representative | Feb 2024 (2y) | ||
| Michelle Lyn Cannan | Registered representative | Feb 2024 (2y) | ||
| David Matthew Germano | Registered representative | CFP | Mar 2024 (2y) | |
| Kyle Miller Dunn | Registered representative | Chartered Financial Consultant | Mar 2024 (2y) | |
| Stephen Douglas Howles | Registered representative | CFP | Mar 2024 (2y) | |
| Thomas Neal Falkenberry | Registered representative | CFA | Mar 2024 (2y) | |
| Zachary Paul Ghilino | Registered representative | Mar 2024 (2y) | ||
| Markku Taneli Happonen | Registered representative | CFP Chartered Financial Consultant | May 2024 (2y) | |
| Martin Llewellyn Hopkins | Registered representative | CFP | May 2024 (2y) | |
| Jeffrey Mark King | Registered representative | CFP | Jul 2024 (2y) | |
| Jennifer Clark Huskey | Registered representative | Jul 2024 (2y) | ||
| Robert Scott Smith | Registered representative | Jul 2024 (2y) | ||
| Nathan James Fiser | Registered representative | CFP | Sep 2024 (2y) | |
| Angelica Marie Mitchell | Registered representative | CFP | Sep 2024 (2y) | |
| Heather Michelle Mc Ghee | Registered representative | Oct 2024 (2y) | ||
| David Stanley Petso | Registered representative | CFP | Oct 2024 (2y) | |
| Jennifer Lynn Stone | Registered representative | CFP | Oct 2024 (2y) | |
| Melissa Mc Manigal Hassler | Registered representative | CFP | Oct 2024 (2y) | |
| Thomas Gilbert Brown | Registered representative | CFP | Oct 2024 (2y) | |
| Trevor Brown Klugh | Registered representative | Oct 2024 (2y) | ||
| Michael Nolan Jillson | Registered representative | CFP | Oct 2024 (2y) | |
| Richard Joseph Petso | Registered representative | Oct 2024 (2y) | ||
| Riley Charles Zimmerman | Registered representative | Nov 2024 (2y) | ||
| Melissa Ann Seamon | Registered representative | CFP | Dec 2024 (2y) | |
| Christopher Duke Demetropoulos | Registered representative | Dec 2024 (2y) | ||
| Lawrence Francis Mcmanus | Registered representative | CFP | Dec 2024 (2y) | |
| Timothy Allan Wolfe | Registered representative | Jan 2025 (2y) | ||
| Jonathan Mcneill Gardey | Registered representative | CFP CFA | Jan 2025 (2y) | |
| Peyton Louise Simmons | Registered representative | CFP | Jan 2025 (2y) | |
| Jack Knutson | Registered representative | CFP | Mar 2025 (1y) | |
| Annrose Nmn Isaac | Registered representative | CFP | Apr 2025 (1y) | |
| Eric Mcgill Solve | Registered representative | CFP | Apr 2025 (1y) | |
| Neelesh Ramanlal Champaneri | Registered representative | CFP CFA | Apr 2025 (1y) | |
| Patrick Thomas Giddens | Registered representative | CFP | Apr 2025 (1y) | |
| Rodney Dale Wade | Registered representative | CFP | Apr 2025 (1y) | |
| Lawrence Ira Schechter | Registered representative | Apr 2025 (1y) | ||
| Morrie Wolbrum Reiff | Registered representative | CFP | Apr 2025 (1y) | |
| Paul Sueyuki Okawa | Registered representative | CFA | Apr 2025 (1y) | |
| Brendan Thomas Nuzzo | Registered representative | CFP | Apr 2025 (1y) | |
| Cristine Marie Marik | Registered representative | CFP CFA | Apr 2025 (1y) | |
| Sam Ogrizovich | Registered representative | CFP | Apr 2025 (1y) | |
| Roland Charles Salmi | Registered representative | Apr 2025 (1y) | ||
| Matthew James Schaap | Registered representative | CFP | Apr 2025 (1y) | |
| Alice Li | Registered representative | CFP | Jun 2025 (1y) | |
| Jeremiah Collier | Registered representative | Jun 2025 (1y) | ||
| Michael Patrick Cerutti | Registered representative | Jun 2025 (1y) | ||
| David William Hilton | Registered representative | Jun 2025 (1y) | ||
| Kenneth Jeffrey Watten | Registered representative | CFP | Jun 2025 (1y) | |
| Michael Donald Shimkin | Registered representative | Jul 2025 (1y) | ||
| Andrea Lenore Alley | Registered representative | CFP | Aug 2025 (1y) | |
| Andrew Jordan Evans | Registered representative | Aug 2025 (1y) | ||
| Brian Craig Delfs | Registered representative | Aug 2025 (1y) | ||
| Brian Dean Jutting | Registered representative | CFP | Aug 2025 (1y) | |
| Casey Adam Johnston | Registered representative | Aug 2025 (1y) | ||
| Christopher Alan Hoerchler | Registered representative | Aug 2025 (1y) | ||
| Cody Ron Carmichael | Registered representative | Aug 2025 (1y) | ||
| Christopher Alan De Chant | Registered representative | Aug 2025 (1y) | ||
| Craig Halver | Registered representative | Aug 2025 (1y) | ||
| Drew Allyse Griffith | Registered representative | Aug 2025 (1y) | ||
| Joe Henry Connell | Registered representative | Aug 2025 (1y) | ||
| John T Henderson | Registered representative | CFP | Aug 2025 (1y) | |
| Jordan Leigh Andrews | Registered representative | Aug 2025 (1y) | ||
| Magdalena Eberhardt | Registered representative | Aug 2025 (1y) | ||
| Mark Clifford Ewings | Registered representative | Aug 2025 (1y) | ||
| Matthew Allen Rogers | Registered representative | Aug 2025 (1y) | ||
| Michael Jeffrey Galloway | Registered representative | Aug 2025 (1y) | ||
| Shane Michael Knoll | Registered representative | Aug 2025 (1y) | ||
| Steven Boyd Wheeler | Registered representative | Aug 2025 (1y) | ||
| Todd G Thomas | Registered representative | Aug 2025 (1y) | ||
| William Lyall | Registered representative | Aug 2025 (1y) | ||
| Elyssa Nicole Selvidge | Registered representative | CFP | Sep 2025 (1y) | |
| Pierre Jacques Simon Brachet | Registered representative | CFA | Sep 2025 (1y) | |
| Shane Christopher Conway | Registered representative | Sep 2025 (1y) | ||
| Tyler Jacob Allen | Registered representative | Sep 2025 (1y) | ||
| Blair Leavitt | Registered representative | Oct 2025 (1y) | ||
| Craig Allen Houck | Registered representative | Oct 2025 (1y) | ||
| Joshuah Scott Tatro | Registered representative | Oct 2025 (1y) | ||
| Kierin Ratliff | Registered representative | Oct 2025 (1y) | ||
| Julia Marie Apodaca | Registered representative | Oct 2025 (1y) | ||
| Edgar Martinez | Registered representative | Oct 2025 (1y) | ||
| Tyler Joseph Rogers | Registered representative | Oct 2025 (1y) | ||
| Dakota Warnken | Registered representative | Dec 2025 (1y) | ||
| David Hartley Turley | Registered representative | Dec 2025 (1y) | ||
| Cole Allen Stein | Registered representative | Dec 2025 (1y) | ||
| Chancellor Isaac Davis | Registered representative | Jan 2026 (1y) | ||
| Preston Jeffrey Pugmire | Registered representative | CFP | Jan 2026 (1y) | |
| Barbara Eileen Sacharow | Registered representative | Mar 2026 (0y) | ||
| Claudia Nuri Rubenstein | Registered representative | Mar 2026 (0y) | ||
| Marco R Bohorquez | Registered representative | Mar 2026 (0y) | ||
| Sonja Koppenwallner | Registered representative | CFP | Mar 2026 (0y) | |
| Valeria Carolina Ortega | Registered representative | Mar 2026 (0y) | ||
| Joel Angel Palatnik | Registered representative | Mar 2026 (0y) | ||
| Tony Edward Dubose | Registered representative | Mar 2026 (0y) | ||
| Jonathan Kuiter | Registered representative | Apr 2026 (0y) | ||
| Zachary David Swaffer | Registered representative | CFP | Apr 2026 (0y) | |
| Johanny De Jesus | Registered representative | Apr 2026 (0y) | ||
| Danielle Kathleen Berz | Registered representative | CFP | Apr 2026 (0y) | |
| Justin Dane Cassida | Registered representative | CFP | Apr 2026 (0y) | |
| Mark Ransom Brown | Registered representative | CFP | Apr 2026 (0y) | |
| Johnny Ray Hernandez | Registered representative | May 2026 (0y) | ||
| Curt Pudenz | Registered representative | May 2026 (0y) | ||
| Ronald Gambassi | Registered representative | May 2026 (0y) | ||
| Zohreh Ghaissari | Registered representative | CFP | May 2026 (0y) | |
| Fallon L Flaharty | Registered representative | Jun 2026 (0y) | ||
| Mathew Christopher Lepak | Registered representative | Jun 2026 (0y) | ||
| Michael Vincent Demski | Registered representative | CFA | Jun 2026 (0y) | |
| Brian Allen Inman | Registered representative | Jun 2026 (0y) | ||
| John Hunter Orr | Registered representative | CFA | Jun 2026 (0y) | |
| Shon Edward Flaharty | Registered representative | CFP | Jun 2026 (0y) | |
| Cooper William Harbowy | Registered representative | Jun 2026 (0y) | ||
| Kamella Lynn Davis | Registered representative | Jun 2026 (0y) | ||
| Colter Robert Heckman | Registered representative | Jun 2026 (0y) | ||
| Andrew Joseph Oswald | Registered representative | CFP | Jun 2026 (0y) | |
| Andrew Steven Cortese | Registered representative | CFP | Jul 2026 (0y) | |
| Miguel A Johnson | Registered representative | CFP | Jul 2026 (0y) | |
| Cale William Doda | Registered representative | CFP | Jul 2026 (0y) | |
| Javier Traver | Registered representative | Jul 2026 (0y) | ||
| Nicholas Fred Robert Tanner | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Mwh Intermediate Ii, Llc | Owner | Oct 2024 | A | 75% or more |
| Crestview Iv Mwm Holdings, L.P. | Member | Apr 2023 | B | ≈ 31.64% – 100% via Modern Wealth Holdings, Llc |
| Mwm Intermediate I, Llc | Owner | Oct 2024 | B | ≈ 56.25% – 100% via Mwh Intermediate Ii, Llc |
| Modern Wealth Holdings, Llc | Owner | Oct 2024 | B | ≈ 42.19% – 100% via Mwm Intermediate I, Llc |
| Crestview Partners Iv, L.P. | Owner | Apr 2023 | B | 50% – 75% of Crestview Iv Mwm Gp, Llc (indirect) |
| Crestview Holdings Iv (Offshore), L.P. | Owner | Apr 2323 | B | 25% – 50% of Crestview Iv Mwm Gp, Llc (indirect) |
| Volpert Investors, L.P. | Owner | Apr 2023 | B | 25% – 50% of Crestview, L.L.C. (indirect) |
| Crestview Iv Mwm Gp, Llc | General Partner | Apr 2023 | B | GP / trustee / elected manager of Crestview Iv Mwm Holdings, L.P. (indirect) |
| Crestview Partners Iv Gp, L.P. | General Partner | Apr 2023 | B | GP / trustee / elected manager of Crestview Holdings Iv (Offshore), L.P. (indirect) |
| Crestview, L.L.C. | General Partner | Apr 2023 | B | GP / trustee / elected manager of Crestview Partners Iv Gp, L.P. (indirect) |
| Volpert Investors, L.L.C. | General Partner | Apr 2023 | B | GP / trustee / elected manager of Volpert Investors, L.P. (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Crestview Iv Mwm Holdings, L.P.: 75% – 100% of Modern Wealth Holdings, Llc × 75% – 100% of Mwm Intermediate I, Llc × 75% – 100% of Mwh Intermediate Ii, Llc × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Mwm Intermediate I, Llc: 75% – 100% of Mwh Intermediate Ii, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Modern Wealth Holdings, Llc: 75% – 100% of Mwm Intermediate I, Llc × 75% – 100% of Mwh Intermediate Ii, Llc × 75% – 100% direct ≈ 42.19% – 100% 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.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Professional Personnel 401(k) Plan | Professional Personnel Service, Inc. | 122 | $3.0M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/02/2026 | 1.24 MB | 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
- • Selection of other advisers
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $7.7B (70% of AUM) Jul 2026
- Fidelity Brokerage Services $1.8B (16% of AUM) Jul 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: Jul 02, 2026.
View current Form ADV (SEC/IAPD) ↗