SEC-registered wealth management firm Broker-dealer affiliated
Provenance Wealth Advisors
As of its Form ADV filed September 24, 2026, Provenance Wealth Advisors, an SEC-registered, broker-dealer affiliated wealth management firm in Fort Lauderdale, Florida, reported $3.6 billion in regulatory assets under management across 3,820 accounts, ranking #25 among all wealth firms in Florida by assets.
Registration
- Main office
- Fort Lauderdale, FL
- Registration
- SEC-registered, Approved
- CRD number
- 126529
- SEC file number
- 801-113505
- Registered since
- June 25, 2018
- Latest Form ADV filing
- September 24, 2026
- Legal name
- PROVENANCE WEALTH ADVISORS, LLC
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 5
Key figures
- Regulatory assets under management
- $3.6 billion
- Discretionary
- $1.8 billion (49.8%)
- Non-discretionary
- $1.8 billion
- Accounts
- 3,820 (1,710 discretionary)
- Clients
- 3,191, approximate as reported
- Employees
- 52
- Advisory staff
- 20 performing investment advisory functions
- Average account
- $949,523
- Asset growth, 1 year
- 2.9% (from $3.5 billion a year earlier)
- Asset growth, 3-year annual rate
- 11.1% (from $2.6 billion three years earlier)
- Asset growth, 5-year annual rate
- 45.9% (from $549.2 million five years earlier)
- Client growth, 1 year
- -3.5% (from 3,306)
Broker-dealer affiliated. The firm is itself a broker-dealer as well as an investment adviser (Form ADV Item 6.A(1)). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2018 | $0 |
| October 1, 2019 | $421.0 million |
| October 1, 2020 | $466.9 million |
| October 4, 2021 | $549.2 million |
| October 3, 2022 | $794.5 million |
| October 5, 2023 | $2.6 billion |
| October 1, 2024 | $2.6 billion |
| September 2, 2025 | $3.5 billion |
| October 2, 2026 | $3.6 billion |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 524 clients | $1.9 billion | |
| Pension and profit sharing plans 119 clients | $1.2 billion | |
| Corporations or other businesses 122 clients | $330.4 million | |
| Individuals (other than high net worth) 2,340 clients | $205.2 million | |
| Charitable organizations 6 clients | $10.3 million |
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Pension consulting
- Other
Financial planning clients (Item 5.H): 101-250.
Wrap fee program sponsor or portfolio manager: yes.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
- Registered representative of a broker-dealer
- Insurance broker or agent
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Accountant or accounting firm
- Insurance company or agency
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 18
- Also registered through a broker-dealer
- 17
- Employees who are IARs (Form ADV 5.B(3))
- 15
Designations held by the firm's IARs: CFP 3, ChFC 2.
18 of the firm's 18 IARs are registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 0 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Florida
| Firm | City | RAUM |
|---|---|---|
| Valor Advisors LLC | Miami | $4.0 billion |
| Timucuan Asset Management Inc | Jacksonville | $3.8 billion |
| Certuity, LLC | North Palm Beach | $3.3 billion |
| Gryphon Wealth | Jacksonville | $3.2 billion |
| Cumberland Advisors | Sarasota | $3.2 billion |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Provenance Wealth Advisors on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.provwealth.com
- Wealth management firms in Florida
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.