Wealth manager, independent · Akron, OH
Sequoia Financial Group, L.L.C.
Sequoia Financial Advisors, L.L.C. · SEC-registered investment adviser · CRD 117756 · SEC 801-61089
At a glance
Sequoia Financial Group, L.L.C. is an SEC-registered investment adviser based in Akron, Ohio, with $32B in regulatory assets under management as of its Form ADV filed August 24, 2026. It reports 11,064 individual clients, 4,556 of them high-net-worth, holding an average of about $2.7 million each, and 424 employees. That ranks it 32nd among the nation’s 5,657 independent wealth management RIAs and 3rd of 226 in Ohio. It reports 2 custodians for its clients’ separately managed accounts: Charles Schwab and Fidelity.
Main office 330-375-9480sequoia-financial.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $32B
- Rank among independent wealth managers
- #32 of 5,657
- Rank among all SEC RIAs
- #619 of 17,210
- Rank in Ohio
- #3 of 226
- Individual clients
- 11,064
- High-net-worth clients
- 4,556
- Accounts
- 39,636
- Discretionary
- 95% of AUM
- Employees
- 424
- Advisory staff
- 195
- Offices
- 39
Owners and executives on its Form ADV
- Thomas A. HaughtChairman, CEO
- Kevin N. TichnellEVP, Chief Strategy & Acquisitions Officer, Interim Chief Financial Officer
- Annelise W. McCauleyPresident, Interim Chief Operating Officer
- Trevor R. ChunaChief Technology Officer
- Christopher B. ThomEVP, Chief Strategy & Partnership Officer
- Norborne G. SmithHead of Sequoia Sentinel Family Office
- Michael MarhoferExecutive Vice President, Secretary & General Counsel
- Jennifer KochSenior Vice President, Organizational Development
- Nicholas ZamparelliSenior Vice President, Chief Investment Officer
- Michael S. MordohVice President, Head of Operations
- Justin D. StetsEVP, Head of Integrated Wealth Services
- Stephanie HanayikSenior Vice President, Chief Compliance Officer, Chief Risk Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Sequoia Financial Group, L.L.C. is a hybrid RIA: 4 of its employees are also registered representatives of a broker-dealer. It reports a broker-dealer among its affiliates on Form ADV.
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.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 4,556 | $25B | 77% |
| Individuals | 6,508 | $5.1B | 16% |
| Pooled investment vehicles | 17 | $1.6B | 5% |
| Corporations or other businesses | 106 | $654M | 2% |
| Charitable organizations | 25 | $83M | <1% |
| Pension and profit sharing plans | 6 | $18M | <1% |
| State or municipal government entities | – | $0M | <1% |
Private funds
Sequoia Financial Group, L.L.C. reports 17 private funds with $1.6B in gross assets: hedge funds, private equity funds, real estate funds, other private funds (Form ADV Item 7.B).
Disciplinary disclosures
Sequoia Financial Group, L.L.C. reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
- Periodicals or newsletters
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Hourly charges
- Subscription fees
- Fixed fees
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗sequoia-financial.com ↗
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- Assets, accounts, clients and staff, ten years of filings
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- 12 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in Ohio
All of Ohio →| Firm | Regulatory AUM | Clients |
|---|---|---|
| MAI Capital Management, LLCCleveland | $52B | 15,740 |
| Clearstead; Clearstead Advisory SolutionsCleveland | $34B | 4,311 |
| Johnson Investment Counsel, Inc.Cincinnati | $23B | 5,251 |
| Bartlett & Co. Wealth Management LLCCincinnati | $10B | 2,133 |
| OnesevenBeachwood | $7.7B | 15,787 |
| Carnegie Investment CounselPepper Pike | $7.5B | 3,056 |
Compare Sequoia Financial Group, L.L.C. with
- Sequoia Financial Group, L.L.C. vs Wealthspire Advisors $34B · New York, NY
- Sequoia Financial Group, L.L.C. vs Clearstead; Clearstead Advisory Solutions $34B · Cleveland, OH
- Sequoia Financial Group, L.L.C. vs Goldman Sachs Wealth Services, L.P. $32B · Cohoes, NY
- Sequoia Financial Group, L.L.C. vs Tiedemann Advisors, LLC $31B · New York, NY
- Sequoia Financial Group, L.L.C. vs Johnson Investment Counsel, Inc. $23B · Cincinnati, OH
Background
Questions
How much does Sequoia Financial Group, L.L.C. manage?
Sequoia Financial Group, L.L.C. reports $32B in regulatory assets under management across 39,636 accounts, 95% of it on a discretionary basis, on its Form ADV filed August 24, 2026.
How many clients does Sequoia Financial Group, L.L.C. have?
It reports 11,064 individual clients: 4,556 high-net-worth individuals and 6,508 other individuals. Individuals account for about 93% of its regulatory assets.
Where is Sequoia Financial Group, L.L.C. headquartered?
Its main office is in Akron, Ohio. It reports 39 offices in total and 424 employees, 195 of whom perform investment advisory functions.
How does Sequoia Financial Group, L.L.C. charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; hourly charges; subscription fees; fixed fees; performance-based fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Sequoia Financial Group, L.L.C. use?
It reports 2 custodians for its clients’ separately managed accounts: Charles Schwab and Fidelity. On Schedule D of its Form ADV filed August 24, 2026, it reports these amounts held: Charles Schwab ($6.9B); Fidelity ($3.4B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Sequoia Financial Group, L.L.C. a hybrid RIA with a broker-dealer?
Sequoia Financial Group, L.L.C. is a hybrid RIA: 4 of its employees are also registered representatives of a broker-dealer. It reports a broker-dealer among its affiliates on Form ADV. Those representatives can also earn commissions on brokerage business through the broker-dealer, where different rules apply than for advisory accounts.
Is Sequoia Financial Group, L.L.C. a fiduciary?
As an SEC-registered investment adviser, Sequoia Financial Group, L.L.C. owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. 4 of its employees are also registered representatives of a broker-dealer, where different rules apply to brokerage recommendations.
Where these numbers come from
Every figure is Sequoia Financial Group, L.L.C.’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 (2026-08-24), 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). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. 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 →