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Asset manager · Oklahoma City, OK

Exchange Traded Concepts, LLC

SEC-registered investment adviser · CRD 151197 · SEC 801-70485

At a glance

Exchange Traded Concepts, LLC is an SEC-registered investment adviser based in Oklahoma City, Oklahoma, with $23.0 billion in regulatory assets under management as of its Form ADV filed February 11, 2026. Its largest client group by assets is investment companies. By Form ADV it is a asset manager, ranked 349th of 3,218 asset managers and 801st of 17,210 SEC-registered advisers by assets.

Main office 405-778-8377exchangetradedconcepts.comLinkedInAs filed on Form ADV

Regulatory AUM
$23B
Rank among asset managers
#349 of 3,218
Rank among all SEC RIAs
#801 of 17,210
Rank in Oklahoma
#1 of 84
Clients
130
Accounts
130
Discretionary
100% of AUM
Employees
16
Advisory staff
13
Offices
2

Owners and executives on its Form ADV

Custody and brokerage

Custodian

Exchange Traded Concepts, LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.

Broker-dealer

Hybrid RIA

Exchange Traded Concepts, LLC is a hybrid RIA: 2 of its employees are also registered representatives of a broker-dealer.

Form ADV Part 1 doesn’t name an unaffiliated broker-dealer. The firm’s Part 2A brochure (Item 10) and each adviser’s record on the SEC’s adviser search do.

Other hybrid RIAs

Who it serves

Client typeClientsRegulatory AUMShare
Investment companies130$23B100%

Disciplinary disclosures

Exchange Traded Concepts, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗

Services

  • Portfolio management for investment companies
  • Selecting other advisers

How it’s paid

  • A percentage of assets under management
  • Fixed fees

Form ADV and brochures on the SEC’s adviser search ↗exchangetradedconcepts.com ↗

AtlasMembers

The full record on Exchange Traded Concepts, LLC

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, ten years of filings
Locked
Growth over one, three and five years
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Rank against 397 peers of its type and size
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Owners and executives, with titles and stakes
6 namedLocked
Main office, fax and compliance officer
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Filing changes this year, with alerts
1Locked
Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Background

Questions

How much does Exchange Traded Concepts, LLC manage?

Exchange Traded Concepts, LLC reports $23.0 billion in regulatory assets under management across 130 accounts, 100% of it on a discretionary basis, on its Form ADV filed February 11, 2026.

What kind of firm is Exchange Traded Concepts, LLC?

Exchange Traded Concepts, LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals. A public reporting company controls it.

Who are Exchange Traded Concepts, LLC’s clients?

By assets, its largest client types are investment companies ($23.0 billion, 130 clients).

Does Exchange Traded Concepts, LLC have any disciplinary history?

Exchange Traded Concepts, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.

Where these numbers come from

Every figure is Exchange Traded Concepts, LLC’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 (2026-02-11), 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 →