SourcingSourcing

PROVIDENCE WEALTH ADVISORS, LLC

C26
CRD 153646·SEC 801-71352·FRANKFORT, IL
AUM
$684.4M
$500M-$1B
Est. Revenue
$6.8M
@ 1% on AUM
Est. EBITDA
$2.1M
@ 30% margin
Est. Deal Value
$16.4M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
PROVIDENCE WEALTH ADVISORS, LLC
CRD
153646
SEC file #
801-71352
EIN
000000000
DBA names
—

Economics

AUM
$684.4M
AUM band
$500M-$1B
AUM trajectory
'20'26
$370.0M → $684.4M▲ +85%
Client mix
Individuals Other617
Corporations28
Charitable Organizations8

Operations

Employees (total)
11
Advisory staff (per ADV)
6
Advisory staff (5-yr trend)
'20'26
5 advisors → 6 advisors▲ +20%
Primary office
FRANKFORT IL
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businesses
Fee basis
% of AUMCommissions

Filings

Latest ADV filing
03/02/2026
ADV-W filed at
—
Website
@providencewealth

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
PROVIDENCE BANK LLC
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
3
Control Persons
PROVIDENCE BANK LLC
DEGROOT, DOUGLAS, ANTHONY
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No
Form 5500 Plan Count
1
Form 5500 Total Compensation
58,171
Form 5500 Compensation Trajectory 3y
202558,171
Form 5500 Plan Count Trajectory 3y
20251
Schedule C Total Compensation
58,171
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Cik
0001744955
Edgar Registered
Yes
Edgar Filing Count
35
Edgar First Filing Date
2018-08-14
Edgar Last Filing Date
2026-05-05
Edgar 13f Count
33
Edgar 13f Latest AUM Estimate
Filing Date2026-05-05
Accession0001104659-26-055545

Compliance & brand

Firm Registration Status
active

All other collected signals (11)

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
5
Bc Firm IAR Count
5
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
2020 SOUTH LAGRANGE ROADFRANKFORT, IL 60423
Business
2020 SOUTH LAGRANGE ROADFRANKFORT, IL 60423
Edgar EIN
000000000
Edgar Recent Filings
13F-HR2026-05-05 · 0001104659-26-055545
13F-HR2026-02-06 · 0001104659-26-011326
Firm Has Custody
Yes
Mailing Office Differs
No
Trust Company Affiliate
No

People (6)

6
DEGROOT, DOUGLAS, ANTHONY
IAR · Executive Officer · 2.5%
5788056
SADZEWICZ, GERY, JOSEPH
Executive Officer · 2.5%
1090963
NICOLE LYNN SMIT
IAR
6234748
Jay David Faler
IAR
6885938
BRIAN GRANATO
IAR
2232854
LAURA MARIE FASAN
IAR
2894206