SourcingSourcing

BILTMORE WEALTH MANAGEMENT, LLC

B57
CRD 151365·SEC 801-81007·TEMPE, AZ
AUM
$439.6M
$100M-$500M
Est. Revenue
$4.4M
@ 1% on AUM
Est. EBITDA
$1.3M
@ 30% margin
Est. Deal Value
$10.6M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
BILTMORE WEALTH MANAGEMENT, LLC
CRD
151365
SEC file #
801-81007
EIN
270672821
DBA names
—

Economics

AUM
$439.6M
AUM band
$100M-$500M
AUM trajectory
'20'26
$198.7M → $439.6M▲ +121%
Client mix
Individuals Other211
Individuals High Net Worth96

Operations

Employees (total)
4
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'20'26
3 advisors → 3 advisors▬ 0%
Primary office
TEMPE AZ
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Portfolio mgmt — individualsPortfolio mgmt — businesses
Fee basis
% of AUM

Filings

Latest ADV filing
02/17/2026
ADV-W filed at
—
Website
biltmorewealthaz.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
CARPENTER, TIMOTHY, ALAN
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
CARPENTER, TIMOTHY, ALAN
SWEENEY, KEVIN, JOHN
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
ok
Rdap Domain
BILTMOREWEALTHAZ.COM
Rdap Domain Creation Date
2009-09-19T14:55:41Z
Rdap Firm Age Years
17
Rdap Firm Age Band
10-20y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001598102
Edgar Registered
Yes
Edgar Filing Count
50
Edgar First Filing Date
2015-02-11
Edgar Last Filing Date
2026-04-22
Edgar 13f Count
48
Edgar 13f Latest AUM Estimate
Filing Date2026-04-22
Accession0001598102-26-000002

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.1836
Soi Zip Pct 200k Plus
0.042
Soi Zip Returns 200k Plus
1,050
Soi Zip Total AGI
1,775,860
Fdic Zip Total Deposits
39,731,040,000
Fdic Zip Branch Count
467
Fdic Zip Top Banks
Wells Fargo Bank, National Association
JPMorgan Chase Bank, National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (27)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
3
Bc Firm IAR Count
3
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
1400 E SOUTHERN AVENUESUITE 650TEMPE, AZ 85282
Business
1400 E SOUTHERN AVENUESUITE 650TEMPE, AZ 85282
Edgar EIN
270672821
Edgar Recent Filings
13F-HR2026-04-22 · 0001598102-26-000002
13F-HR2026-01-16 · 0001598102-26-000001
Fdic Zip Branches Raw
Bank One, Arizona, National AssociationTempe, AZ
Bank One, Arizona, National AssociationTempe, AZ
Fdic Zip HHI
1842.31
Fdic Zip Top Bank Share Pct
35.18
Fdic Zip Year
2025
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-09-19T14:55:41Z
Rdap Domain Last Changed
2025-09-20T16:42:12Z
Rdap Nameservers
Ns01.domaincontrol.comNs02.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI83,743
Returns6,210
Stub 2
AGI271,430
Returns7,320
Stub 3
AGI271,864
Returns4,450
Soi Zip Total Business Income
46,773
Soi Zip Total Cap Gains
65,934
Soi Zip Total Dividends
29,548
Soi Zip Total Returns
25,000
Top Owner CRD
1263145
Trust Company Affiliate
No

People (3)

3
CARPENTER, TIMOTHY, ALAN
IAR · Direct Owner · 62.5%
1263145
SWEENEY, KEVIN, JOHN
IAR · Direct Owner · 37.5%
3256045
MAX DAVID ROSSITER
IAR
6262378