Amplify Financial LLC

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Amplify Financial LLC
CRD #325721
SEC #801-128942
CIK #0001780617, 0001632494
AUM 230.7 M (2026-03-30)
Employees 7 (29% Investors, 14% Brokers)
Fees
Minimum
Phone602-562-7800
Address8605 East Raintree Drive
Scottsdale, AZ 85260
Source [IAPD] [EDGAR]
Total AUM ($M)
3002401801206002010201520212027
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)
15012090603002011201620212027
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)
ServesInstitutional, Retail
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