626 Financial provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, education planning, and insurance. Financial planning was provided to 51–100 clients last fiscal year.
626 Financial reports 451 clients. They include 329 individual clients and 122 high-net-worth individuals. Of its assets, 99.2% ($377M across 1,266 accounts) are managed with discretion; $3.06M across 4 accounts are not. A wrap fee program the firm both sponsors and manages holds $377M.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 73% | 26% |
| High-net-worth individuals | 27% | 73% |
| Pension and profit-sharing plans | Fewer than 5 | <1% |
| Charitable organizations | Fewer than 5 | <1% |
| Corporations and other businesses | Fewer than 5 | <1% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 329 | $98.9M | 26.0% | $301K |
| High-net-worth individuals | 122 | $277M | 73.1% | $2.27M |
| Pension and profit-sharing plans | Fewer than 5 | $3.06M | 0.8% | — |
| Charitable organizations | Fewer than 5 | $180K | 0.0% | — |
| Corporations and other businesses | Fewer than 5 | $15.6K | 0.0% | — |
| Total | 451 | $380M | 100% | — |
- Clients
- 329
- Regulatory AUM
- $98.9M
- AUM share
- 26.0%
- Avg. per client
- $301K
- Clients
- 122
- Regulatory AUM
- $277M
- AUM share
- 73.1%
- Avg. per client
- $2.27M
- Clients
- Fewer than 5
- Regulatory AUM
- $3.06M
- AUM share
- 0.8%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $180K
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $15.6K
- AUM share
- 0.0%
- Avg. per client
- —
Total
- Clients
- 451
- Regulatory AUM
- $380M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 51–100
626 Financial charges 0.60%–1.25% a year for its Wealth Management Services. The fee is billed in advance or in arrears and is negotiable. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Retirement plan advisory services
- Fees are paid quarterly, generally in advance, and range up to 1.00% annually; they may be negotiable depending on the size and complexity of the plan.
Thomas Anderton owns 50% to 75% of 626 Financial. The leadership team of 626 Financial includes Chief Compliance Officer Thomas Anderton. It has 5 employees.
Leadership
- Thomas AndertonManaging Member / Managing Director and Chief Compliance Officer
- Brant ShrimplinManaging Member / Managing Director
Investment adviser representatives
5 representatives listed in the SEC register as of 9 October 2026.
- Thomas William Anderton
- Ann Davis
- Ryan Colby Howard
- Karen Deborah Morse
- Brant Shrimplin
Staff
- 5 employees
- 5 in advisory functions
- 5 state-registered reps
- 3 insurance agents
- Owns 50% to 75% of 626 Financial, LLC
Thomas Anderton
Control person · since December 2020
- Owns 50% to 75% of 626 Financial, LLC
Brant Shrimplin
Control person · since December 2020
626 Financial’s regulatory assets grew 3.3× from $115M (May 2021) to $380M (August 2026); clients rose from 77 to 451 and employees were 5 in both filings. In 2018, Oppenheimer & Co. joined it.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| August 2026 | $380M | 451 | 5 | 2 |
| June 2025 | $326M | 435 | 5 | 1 |
| March 2024 | $287M | 426 | 5 | 1 |
| March 2023 | $261M | 443 | 5 | 1 |
| April 2022 | $292M | 552 | 6 | 1 |
| May 2021 | $115M | 77 | 5 | 1 |
Firms that joined
20181 joined
- Oppenheimer & Co.TeamNo filed AUM
Firms whose SEC withdrawal reports a sale to this firm, and deals reported in the press. Teams that moved without selling a registered firm may not appear.
Besides its headquarters, 626 Financial has 1 office (1 private residence, listed without an address), with 1 listed address in Michigan.
Michigan · 1 listed address
- 7950 Moorsbridge Road, Suite 104, PortageHQ
Contact and registration details
- Legal name
- 626 Financial, LLC
- Headquarters
- 7950 Moorsbridge Road, Suite 104, Portage, MI 49024
- Website
- 626financial.com
- Phone
- 269-321-5040
- SEC file
- 801-120219
- Founded
- 2010
- Structure
- Michigan LLC
- Fiscal year end
- December
626 Financial uses LPL Financial ($317M) as custodian for its separately managed accounts. 626 Financial has custody of $107M in client assets for 140 clients.
- LPL FinancialLPL Financial LLC · Fort Mill, SC · $317M100%
At year end, 626 Financial’s separately managed accounts were mostly in stocks (65%) and funds (31%). Its reported 13F holdings for the quarter ended 30 June 2026 total $257M across 127 positions; the largest are Wisdomtree TR (11.1%), Stryker Corporation (8.3%) and Wisdomtree TR (5.9%).
What the accounts hold
- Stocks65%
- Funds31%
- Bonds1%
- Cash2%
- Other1%
- Very small accounts including government bonds, corporate bonds, otc, derivatives and alternatives1%
Reported 13F holdings
- $257M
- Reported 13F value
- 127
- Positions
- 52.8%
- In the 10 largest
- +14.5%
- Value vs. prior quarter
- Wisdomtree TR · US Total Dividnd11.1%
- Stryker Corporation8.3%
- Wisdomtree TR · US Value FD5.9%
- Apple Inc.5.6%
- Invesco Exchange Traded FD T · S&P Midcap 4004.8%
- Invesco Exch Traded FD TR II · Nasdaq 100 ETF4.4%
- Alphabet Inc. · Cap Stk CL A3.3%
- Amazon Com Inc.3.3%
- iShares TR · Rus Tp200 GR ETF3.1%
- Microsoft Corp.3.0%
Together, the ten largest are 52.8% of reported value.
How many clients does 626 Financial have?
626 Financial has 451 clients and manages $380 million for them, as of August 2026. They include 329 individual clients and 122 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 18 August 2026
What services does 626 Financial offer?
626 Financial provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, education planning, and insurance.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How much does 626 Financial charge?
626 Financial charges 0.60%–1.25% a year for its Wealth Management Services. The fee is billed in advance or in arrears and is negotiable.
Which custodians does 626 Financial use?
626 Financial’s separately managed account assets are held at LPL Financial LLC (Fort Mill, SC), with $317M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 18 August 2026
How many financial advisors does 626 Financial have?
626 Financial has 5 investment adviser representatives registered with state securities authorities, out of 5 employees, and 5 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 3 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does 626 Financial invest in?
At the end of its last fiscal year, 626 Financial’s separately managed accounts held 65% exchange-traded equities, 31% registered funds (mutual funds, ETFs, BDCs), 2% cash and equivalents, 1% state and local bonds and 1% other. The 1% other category is described as: Very Small Accounts Including Government Bonds, Corporate Bonds, Otc, Derivatives and Alternatives.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns 626 Financial?
626 Financial’s direct owners are Thomas Anderton (50% to 75%) and Brant Shrimplin (50% to 75%).
Source: Form ADV Part 1A, Schedules A and B, filed 18 August 2026
How does 626 Financial get paid?
626 Financial is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
Is 626 Financial registered with the SEC?
Yes, 626 Financial has been registered with the SEC as an investment adviser since 22 January 2021. Its CRD number is 306474 and its SEC file number is 801-120219.
Source: Form ADV Part 1A, Item 1, filed 18 August 2026; IAPD firm record
How do I contact 626 Financial?
626 Financial’s main office is at 7950 Moorsbridge Road, Suite 104, Portage, MI 49024. Its phone number is 269-321-5040. Its website is 626financial.com.