XML FINANCIAL, LLC

CRD

284987

SEC file #

801-108376

EIN

813654175

DBA names

Xml Financial Group

Economics

AUM

$3.30B

AUM band

$1B+

AUM trajectory

'20 · $470.0M

'21 · $1.09B

'22 · $1.27B

'23 · $2.26B

'25 · $2.99B

'26 · $3.30B

'20'26

$470.0M → $3.30B▲ +602%

sec adv history

Client mix

Individuals Other	2,057
Individuals High Net Worth	833
Pension Profit Sharing Plans	22
Corporations	19
Charitable Organizations	13

Operations

Employees (total)

Advisory staff (per ADV)

Advisory staff (5-yr trend)

'20 · 23 advisors

'21 · 21 advisors

'22 · 19 advisors

'23 · 25 advisors

'25 · 27 advisors

'26 · 26 advisors

'20'26

23 advisors → 26 advisors▲ +13%

sec adv history

Primary office

BETHESDA MD

Branches

—

Custodian & Brokerage

Primary custodian

E*Tradelow confidence

adv brochure

Services offered

Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting

Fee basis

% of AUMHourly chargesFixed fees

Filings

Latest ADV filing

03/27/2026

focusfinancialpartners.com

ADV-W filed at

—

Website

Compliance

Disclosures (firm)

Trademark

—

Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name

FOCUS OPERATING, LLC

Top Owner Pct

87.5

Top Owner Entity Kind

Owner Count

Control Persons

FOCUS OPERATING, LLC

BERNSTEIN, BRETT, SHANE

Solo Advisor Indicator

Succession Risk Solo Owner

Is Parent Owned Subsidiary

Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed

sec adv w

Web presence ★

Stale website = winding down

Web Signal Quality

Rdap Domain

FOCUSFINANCIALPARTNERS.COM

Rdap Domain Creation Date

2004-02-09T02:14:33Z

Rdap Firm Age Years

Rdap Firm Age Band

20+y

Rdap Registrar

Bluehost Inc.

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book

form 5500

SEC EDGAR

Edgar Cik

0001800465

Edgar Registered

Yes

Edgar Filing Count

Edgar First Filing Date

2020-02-04

Edgar Last Filing Date

2026-04-16

Edgar 13f Count

Edgar 13f Latest AUM Estimate

Filing Date2026-04-16

Accession0001725547-26-000139

Compliance & brand

Firm Registration Status

active

sec adv w

All other collected signals (16)

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

Adv W Recently Filed

sec adv w

Bc Firm Active Bc Count

brokercheck firm search

Bc Firm Active IA Count

brokercheck firm search

Bc Firm IAR Count

brokercheck firm search

Custodian Candidates

Full

E*trade	5
Wells Fargo	4
Fidelity	2

adv brochure

Edgar Addresses

Mailing

6901 ROCKLEDGE DRIVESUITE 730BETHESDA, MD 20817

Business

6901 ROCKLEDGE DRIVESUITE 730BETHESDA, MD 20817

Edgar EIN

813654175

Edgar Recent Filings

13F-HR2026-04-16 · 0001725547-26-000139

13F-HR2026-02-11 · 0001725547-26-000074

Firm Has Custody

Yes

Mailing Office Differs

Rdap Domain Expiration Date

2030-02-09T02:14:33Z

Rdap Domain Last Changed

2025-01-08T19:43:23Z

Rdap Nameservers

Fay.ns.cloudflare.comNicolas.ns.cloudflare.com

Rdap Secure Dns Enabled

Rdap Status

Client Transfer Prohibited

Trust Company Affiliate

Yes

People (30)

KANTOR, ROBERT, DAVID

2117737

Klopman, Jason, Elliot

4981914

BERNSTEIN, BRETT, SHANE

3103034

SZARO, JENNIFER, LARA

4395464

CONGDON, CURTIS, JEFFREY

4890245

Kantarski, ALEXANDRA

5153780

SAMSON, MARK, DALE