SourcingSourcing

ERBEN ASSOCIATES, LLC

C41
CRD 148703·SEC 801-114578·AUSTIN, TX
AUM
$402.5M
$100M-$500M
Est. Revenue
$4.0M
@ 1% on AUM
Est. EBITDA
$1.2M
@ 30% margin
Est. Deal Value
$9.7M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
ERBEN ASSOCIATES, LLC
CRD
148703
SEC file #
801-114578
EIN
821306760
DBA names
—

Economics

AUM
$402.5M
AUM band
$100M-$500M
AUM trajectory
'20'26
$131.3M → $402.5M▲ +206%
Client mix
Corporations55
Individuals High Net Worth52
Individuals Other21

Operations

Employees (total)
10
Advisory staff (per ADV)
10
Advisory staff (5-yr trend)
'20'26
6 advisors → 10 advisors▲ +67%
Primary office
AUSTIN TX
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPension consultingSelection of other advisersOther Advisory Services
Fee basis
Fixed feesOther Compensation

Filings

Latest ADV filing
03/25/2026
ADV-W filed at
—
Website
erbenassociates.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
ERBEN, JAMES, BEATON
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
ERBEN, JAMES, BEATON
WORRELL, BRITTANY, KATHRINE
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
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
ok
Rdap Domain
ERBENASSOCIATES.COM
Rdap Domain Creation Date
2000-02-28T22:25:17Z
Rdap Firm Age Years
26
Rdap Firm Age Band
20+y
Rdap Registrar
DNC Holdings, Inc.

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
Yes
Form 5500 Plan Count
6
Form 5500 Total Compensation
1,906,132
Form 5500 Compensation Trajectory 3y
20251,906,132
Form 5500 Plan Count Trajectory 3y
20256
Schedule C Total Compensation
1,906,132
Schedule C Service Provider Rows
6

SEC EDGAR

Edgar Cik
0001761755
Edgar Registered
Yes
Edgar Filing Count
33
Edgar First Filing Date
2019-02-13
Edgar Last Filing Date
2026-05-13
Edgar 13f Count
31
Edgar 13f Latest AUM Estimate
Filing Date2026-05-13
Accession0001580642-26-003153

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
8
Bc Firm Active IA Count
8
Bc Firm IAR Count
8
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
TRAVERSE RIDGE CENTER II3450 TRIUMPH BLVDLEHI, UT 84043
Business
TRAVERSE RIDGE CENTER II3450 TRIUMPH BLVDLEHI, UT 84043
Edgar EIN
821306760
Edgar Recent Filings
13F-HR2026-05-13 · 0001580642-26-003153
13F-HR2026-02-11 · 0001580642-26-000991
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2028-02-28T22:25:17Z
Rdap Domain Last Changed
2026-03-23T12:48:43Z
Rdap Nameservers
Ns10.dnsmadeeasy.comNs11.dnsmadeeasy.comNs12.dnsmadeeasy.comNs13.dnsmadeeasy.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Transfer ProhibitedClient Update Prohibited
Top Owner CRD
2284879
Trust Company Affiliate
No

People (8)

8
ERBEN, JAMES, BEATON
IAR · Direct Owner · 87.5%
2284879
WORRELL, BRITTANY, KATHRINE
IAR · Executive Officer · 2.5%
6134676
John McCarthy Collins
IAR
7494616
Paul TenEyck Elmendorf
IAR
6802996
DANNY JAMES MCGOVERN
IAR
2788221
Zac Douglas Robinson
IAR
7783059
CASEY LEE FOX
IAR
5003167
Qudasia Maxwell
IAR
7721582