SourcingSourcing

SPECTRUM FINANCIAL RESOURCES, LLC

A69
CRD 127453·SEC 801-126271·TROY, MI
AUM
$235.3M
$100M-$500M
Est. Revenue
$2.4M
@ 1% on AUM
Est. EBITDA
$706K
@ 30% margin
Est. Deal Value
$5.6M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SPECTRUM FINANCIAL RESOURCES, LLC
CRD
127453
SEC file #
801-126271
EIN
—
DBA names
Spectrum Financial Resources

Economics

AUM
$235.3M
AUM band
$100M-$500M
AUM trajectory
'23'26
$178.1M → $235.3M▲ +32%
Client mix
Individuals Other584
Individuals High Net Worth139

Operations

Employees (total)
6
Advisory staff (per ADV)
5
Advisory staff (5-yr trend)
'23'26
7 advisors → 5 advisors▼ -29%
Primary office
TROY MI
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesSelection of other advisers
Fee basis
% of AUMHourly chargesFixed feesOther Compensation

Filings

Latest ADV filing
03/30/2026
ADV-W filed at
—
Website
linkedin.com/in/spectrum-financial-resources-02239414a(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
HOBAN, DANIEL, THOMAS
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
HOBAN, DANIEL, THOMAS
SCHNEIDER, JEAN, ANN
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:spectrumresources.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (9)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
5
Bc Firm Active IA Count
5
Bc Firm IAR Count
5
Custodian Candidates
Full
Charles Schwab6
Pershing4
E*trade4
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
1095185
Trust Company Affiliate
No

People (6)

6
HOBAN, DANIEL, THOMAS
IAR · Direct Owner · 62.5%
1095185
SCHNEIDER, JEAN, ANN
Direct Owner · 62.5%
1427349
LUCIAN CHRISTOPHER HARBAR
IAR
5053871
KEVIN FINDLEY MCMILLAN
IAR
3220748
DAVID JOHN LAIDLAW
IAR
4412079
JAMES DANIEL WILLIAMS
IAR
4011843