Wealth manager, independent · Hunt Valley, MD
The Marshall Financial Group LLC
SEC-registered investment adviser · CRD 146362 · SEC 801-117820
At a glance
The Marshall Financial Group LLC is an SEC-registered investment adviser based in Hunt Valley, Maryland, with $736 million in regulatory assets under management as of its Form ADV filed April 8, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 994 individual clients. By Form ADV it is a wealth manager, ranked 2,056th of 8,915 wealth managers and 6,381st of 17,210 SEC-registered advisers by assets.
Main office 410-563-1190marshallfinancialgroup.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $736M
- Rank among wealth managers
- #2,056 of 8,915
- Rank among all SEC RIAs
- #6,381 of 17,210
- Rank in Maryland
- #84 of 227
- Individual clients
- 994
- High-net-worth clients
- 166
- Accounts
- 2,667
- Discretionary
- 97% of AUM
- Employees
- 18
- Advisory staff
- 10
- Offices
- 5
Owners and executives on its Form ADV
- Peter A. MarshallPresident, Chief Compliance Officer
- Agostino A. PugliesePartner
- Heather L. LemmonCOO
Custody and brokerage
Broker-dealer
Hybrid RIA
The Marshall Financial Group LLC is a hybrid RIA: 2 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed February 2026) names Purshe Kaplan Sterling Investments as the broker-dealer its advisers are registered with.
Clients who elect to provide limited power of attorney for TMFG to place trades may elect to open an account at PKS and securities transactions will be executed through Advisor Representatives acting in as a registered representative of PKS
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 166 | $389M | 53% |
| Individuals | 828 | $283M | 38% |
| Pension and profit sharing plans | 11 | $25M | 3% |
| Insurance companies | 5 | $21M | 3% |
| Charitable organizations | 3 | $12M | 2% |
| Corporations or other businesses | 6 | $6M | <1% |
Disciplinary disclosures
The Marshall Financial Group LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
How it’s paid
- A percentage of assets under management
- Subscription fees
Form ADV and brochures on the SEC’s adviser search ↗marshallfinancialgroup.com ↗
AtlasMembers
The full record on The Marshall Financial Group 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, 6 years of filings
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- Growth over one, three and five years
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- Rank against 4,349 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
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Background
Questions
How much does The Marshall Financial Group LLC manage?
The Marshall Financial Group LLC reports $736 million in regulatory assets under management across 2,667 accounts, 97% of it on a discretionary basis, on its Form ADV filed April 8, 2026.
What kind of firm is The Marshall Financial Group LLC?
The Marshall Financial Group LLC 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 The Marshall Financial Group LLC’s clients?
By assets, its largest client types are high-net-worth individuals ($389 million, 166 clients); individuals ($283 million, 828 clients); pension and profit sharing plans ($25 million, 11 clients).
Does The Marshall Financial Group LLC have any disciplinary history?
The Marshall Financial Group 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 The Marshall Financial Group 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 (2026-04-08), 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 →