Wealth manager, independent · Columbia, MO
Convergence Financial
Convergence Financial, LLC · SEC-registered investment adviser · CRD 304146 · SEC 801-116738
At a glance
Convergence Financial is an SEC-registered investment adviser based in Columbia, Missouri, with $904 million in regulatory assets under management as of its Form ADV filed September 30, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 2,665 individual clients. By Form ADV it is a wealth manager, ranked 1,701st of 8,915 wealth managers and 5,692nd of 17,210 SEC-registered advisers by assets.
Main office 573-818-2264convergence-financial.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $904M
- Rank among wealth managers
- #1,701 of 8,915
- Rank among all SEC RIAs
- #5,692 of 17,210
- Rank in Missouri
- #64 of 196
- Individual clients
- 2,665
- High-net-worth clients
- 647
- Accounts
- 4,725
- Discretionary
- 100% of AUM
- Employees
- 18
- Advisory staff
- 13
- Offices
- 15
Owners and executives on its Form ADV
- Travis E. CookCEO and Member
- Tyler S. HoffmannPresident and Member
- Adam B. ParrieChief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Convergence Financial is a hybrid RIA: 8 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed June 2026) names LPL Financial as the broker-dealer its advisers are registered with.
ices of professionals for implementation purposes, including our Investment Advisor Representatives in their individual capacities as registered representative of LPL Financial and as licensed insurance agents (“Recommended Professional”).
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 647 | $583M | 64% |
| Individuals | 2,018 | $295M | 33% |
| Corporations or other businesses | 22 | $18M | 2% |
| Charitable organizations | 18 | $6M | <1% |
| Pension and profit sharing plans | 9 | $3M | <1% |
Disciplinary disclosures
Convergence Financial answers yes to 1 disclosure item in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Pension consulting
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗convergence-financial.com ↗
AtlasMembers
The full record on Convergence Financial
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 6 years of filings
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- Growth over one, three and five years
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- Rank against 3,778 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 5Locked
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Background
Questions
How much does Convergence Financial manage?
Convergence Financial reports $904 million in regulatory assets under management across 4,725 accounts, 100% of it on a discretionary basis, on its Form ADV filed September 30, 2026.
What kind of firm is Convergence Financial?
Convergence Financial is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Convergence Financial’s clients?
By assets, its largest client types are high-net-worth individuals ($583 million, 647 clients); individuals ($295 million, 2,018 clients); corporations or other businesses ($18 million, 22 clients).
Does Convergence Financial have any disciplinary history?
Convergence Financial answers yes to 1 disclosure item in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Convergence Financial’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-30), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →