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XML FINANCIAL, LLC

dba XML FINANCIAL GROUP · CRD 284987 · Registered Investment Adviser

XML FINANCIAL, LLC is a Registered Investment Adviser headquartered in BETHESDA, MD. The firm reports $3,298,062,805 in regulatory assets under management across 5,987 accounts. It reports no Form ADV Item 11 disciplinary disclosures.

Regulatory assets under management

Discretionary$2,487,061,599
Non-discretionary$811,001,206
Total RAUM$3,298,062,805
Accounts5,987

Disciplinary history (Form ADV Item 11)

This adviser reports no Form ADV Item 11 disciplinary events.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 284987. adviserinfo.sec.gov/firm/summary/284987.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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