Broker-dealer firm · Palm Beach Gardens, FL
Money Concepts Advisory Service
Money Concepts Capital Corp · SEC-registered investment adviser · CRD 12963 · SEC 801-39736
At a glance
Money Concepts Advisory Service is an SEC-registered investment adviser based in Palm Beach Gardens, Florida, with $4.1 billion in regulatory assets under management as of its Form ADV filed March 24, 2026. Its largest client group by assets is individuals, and it reports 16,807 individual clients. By Form ADV it is a broker-dealer firm, ranked 97th of 391 broker-dealer firms and 2,397th of 17,210 SEC-registered advisers by assets.
Main office 561-472-2000moneyconcepts.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $4.1B
- Rank among broker-dealer firms
- #97 of 391
- Rank among all SEC RIAs
- #2,397 of 17,210
- Rank in Florida
- #103 of 1,090
- Individual clients
- 16,807
- High-net-worth clients
- 511
- Accounts
- 17,032
- Discretionary
- 61% of AUM
- Employees
- 478
- Advisory staff
- 375
- Offices
- 26
Owners and executives on its Form ADV
- Denis Stephen WalshPresident | Chief Executive Officer
- Mary Therese WalshSR Vice President | Chief Compliance Officer
- Cheryl Morris BarnettVice President | Compliance Officer
- Liza Maria MatosVice President | Compliance Officer
- Barry Richard RittmanVice President | Chief Financial Officer
- James Edward WalshVice President | Advertising and Communications
Custody and brokerage
Broker-dealer
Hybrid RIA
Money Concepts Advisory Service is a hybrid RIA: 456 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Abacus Investments, Inc. and GWN Securities Inc..
- Abacus Investments, Inc. ↗CRD 35127
An introducing broker-dealer: its trades clear through Hilltop Securities, which holds the brokerage accounts. Its annual audited report filed with the SEC, January 2026
- GWN Securities Inc. ↗CRD 128929
Its Form ADV brochure (filed March 2026) names Money Concepts Capital Corp as the broker-dealer its advisers are registered with.
Most Investment Adviser Representatives (“IARs”) of MCAS are registered as Registered Representatives of MCCC; a portion of the Registered Representatives of MCCC are registered as IARs of MCAS.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 16,296 | $3.0B | 74% |
| High-net-worth individuals | 511 | $993M | 24% |
| Pension and profit sharing plans | 143 | $37M | <1% |
| Corporations or other businesses | 51 | $24M | <1% |
| Charitable organizations | 31 | $9M | <1% |
Disciplinary disclosures
Money Concepts Advisory Service answers yes to 29 disclosure items 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
- Portfolio management for businesses and institutions
- Other services
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗moneyconcepts.com ↗
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The full record on Money Concepts Advisory Service
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
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- Growth over one, three and five years
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- Rank against 92 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
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Background
Questions
How much does Money Concepts Advisory Service manage?
Money Concepts Advisory Service reports $4.1 billion in regulatory assets under management across 17,032 accounts, 61% of it on a discretionary basis, on its Form ADV filed March 24, 2026.
What kind of firm is Money Concepts Advisory Service?
Money Concepts Advisory Service is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Money Concepts Advisory Service’s clients?
By assets, its largest client types are individuals ($3.0 billion, 16,296 clients); high-net-worth individuals ($993 million, 511 clients); pension and profit sharing plans ($37 million, 143 clients).
Does Money Concepts Advisory Service have any disciplinary history?
Money Concepts Advisory Service answers yes to 29 disclosure items 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 Money Concepts Advisory Service’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 (2026-03-24), 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 →