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| Amplify Financial LLC
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| CRD # | 325721 |
| SEC # | 801-128942 |
| CIK # | 0001780617, 0001632494 |
| AUM | 230.7 M (2026-03-30) |
| Employees | 7 (29% Investors, 14% Brokers) |
| Fees | |
| Minimum | |
| Phone | 602-562-7800 |
| Address | 8605 East Raintree Drive Scottsdale, AZ 85260 |
| Source | [IAPD] [EDGAR] |
| Total AUM ($M) |
|---|
| Fees and Compensation — Form ADV Part 2A (7/8/2026) [Brochure] |
|---|
Item 5 Fees and Compensation
A. AMPLIFY PLATFORM
Amplify Financial charges a “Platform Fee” based upon the services selected and the amount of
assets placed on the Amplify Platform. Amplify Financial retains a portion of the Platform Fee as
compensation for providing and administering the Amplify Platform and maintaining the
relationships with the third-party vendor and managers available to Platform Members.
The Platform Fee may or may not include custodial transaction charges depending on if the
independent manager selected on the Amplify Platform provides its services on a Wrap Fee basis
or not. However, the Platform fee does not cover any margin interest, national securities exchange
fees, charges for transactions not executed through the custodian (“tradeaway fees”), costs
associated with exchanging currencies, fees and expenses charged by mutual funds or any
investment company in which the assets may be invested. Markups, markdowns and spreads
charged by a dealer unaffiliated with the custodian may be included in the price of certain
transactions executed on your behalf.
The Platform Fee is negotiable and can range from 0.05% to 1.50%, annually, and may differ from
client to client and shall vary based upon the independent manager selected from the Amplify
Platform based upon various subjective and objective factors.
Fees paid to independent managers are in addition to the Platform and administrative fees charged
by Amplify Financial and the advisory fee charged by Platform Members. Independent manager
fees are billed quarterly in advance, based on the value of the Program Account assets on the last
day of the calendar quarter. Additionally, a true-up will be included in the quarterly fee based on
the Average Daily Balance for the prior quarter and collected in the same manner as the Amplify
Financial Platform Fee. A "true-up" refers to the adjustment made to reconcile any differences
between estimated fees and actual fees incurred during a billing period. This adjustment ensures
that the total fees charged accurately reflect the services provided or assets managed. If fees were
overestimated or underestimated, the true-up will either credit or charge the client the difference in
the following billing period, ensuring fairness and accuracy in the fee structure. Additional
information regarding fee sharing and the fees charged by independent managers is available at
https://app.amplifyplatform.com/_f/e41cmp7h/programmanagers.
In addition, some independent managers on the Amplify Platform may allocate underlying client
assets to certain exchange-traded funds or mutual funds, with which they are affiliated, when
developing their investment models. Certain of these independent managers share a portion of the
fees they collect from mutual funds they manage.
Certain independent manager portfolio providers participating in the Amplify Financial program
may not charge management fees or may reduce such fees because they utilize their proprietary
mutual funds and/or ETFs and receive fees from these proprietary funds. The pricing terms are
routinely re-negotiated with individual sub-managers and or model providers, whereby Amplify
Financial, sub-manager, or model provider may receive a greater or lesser percentage of the than
the current percentage at the time selected a particular investment strategy. In general, this
reapportionment does not increase the fee that the underlying client pays.
Amplify Financial has entered into agreements with independent managers under which these
managers pay Amplify Financial a fee for, among other services, marketing, and support with respect
to the underlying independent manager’s platform models/strategies. These arrangements create a
conflict of interest since Amplify Financial has the incentive to continue to recommend these
models/strategies for the Platform. Additionally, independent managers may refer or recommend
their clients to invest via the Amplify Platform. This arrangement creates an incentive for Amplify
Financial to maintain platform relationships with these independent managers over others that we
may be considering. To mitigate these conflicts, we do not take these arrangements into account
when determining whether to retain independent managers.
Amplify Program Fees can be waived or reduced at its discretion. Such reduction or waiver does not
require Amplify Financial to continue to waive or reduce fees. Fees that have been waived, reduced,
or negotiated by a Platform Member can cause fees to deviate from the Amplify Financial standard
advisory schedule. Platform Members, not Amplify Financial, are responsible for selecting the most
suitable portfolio for their underlying clients. Amplify Financial does not provide advice or
recommendations regarding portfolio selections.
Override Fee on Independent Manager Fees
As part of the services provided to clients, Amplify Financial may charge an additional override fee
on top of the fees assessed by independent managers who manage client assets. This override fee is
in addition to the management fees charged by the independent managers and is designed to
compensate Amplify Financial for overseeing and coordinating the relationship with the independent
managers.
Override Fee Structure:
Amplify Financial may apply different override fees depending on the specific independent managers
... |
| Account Minimums and Types of Clients — Form ADV Part 2A (7/8/2026) [Brochure] |
|---|
Item 7 Types of Clients
Amplify Financial's clients generally include individuals, business entities, trusts, estates, and
charitable organizations. Amplify Financial also provides sub-advisory services to registered
investment advisers utilizing its platform. The services of Amplify Financial are offered through
other registered investment advisers. |
| Sector | Form 13F Holdings | Value ($B) | |
|---|---|---|---|
| Nvidia Corp | 6.3 | ||
| Apple Inc | 4.4 | ||
| Microsoft Corp | 3.6 | ||
| Alphabet Inc | 2.5 | ||
| MicroStrategy Inc | 2.4 | ||
| Tesla Motors Inc | 2.3 | ||
| Amazon Com Inc | 1.9 | ||
| J P Morgan Chase & Co | 1.7 | ||
| Broadcom Inc | 1.5 | ||
| Chevron Corp | 1.4 | ||
| View All | |||
| Holdings by Sector ($B) |
|---|
| AUM Breakdown | Accounts | AUM ($M) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 1,017 | 77.4 |
| (b) Individuals (high net worth individuals) | 584 | 149.0 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 0 | 0.0 |
| (g) Pension and profit sharing plans | 0 | 0.9 |
| (h) Charitable organizations | 0 | 0.7 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 2.8 |
| (n) Other | 0 | 0.0 |
| Total | 1,494 | 230.7 |
| By Discretionary | ||
| Discretionary | 1,494 | 230.7 |
| Non-Discretionary | 0 | 0.0 |
| Total | 1,494 | 230.7 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 230.7 | |
| Total | 1,494 | 230.7 |
| EDGAR Form | CIK | 2011 - 2026 |
|---|---|---|
| 13F-HR | [0001632494] | |
| 13F-NT | [0001632494] | |
| SC 13G | [0001632494] | |
| D | [0001780617] |
| Form 13D/13G Filer | Form 13D/13G Subject | Filed |
|---|---|---|
| Amplify Investments LLC | Bed Bath & Beyond Inc | [2026-05-05] |
| Firm Profile (Form ADV) | |
|---|---|
| Serves | Institutional, Retail |
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