Stephen P. Erfle

THRIVE WEALTH MANAGEMENT

BLUE BELL, PA 19422

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CRD#: 4845587

Professional summary

Stephen Philip Erfle, CFP®, who also goes by Stephen P Erfle, is a registered financial advisor currently at THRIVE WEALTH MANAGEMENT, LLC located in Blue Bell, Pennsylvania.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Stephen has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen P Erfle

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Mr. Erfle is a 50% owner of A TWM JV, LLC, which is a partner in Singularity Planning Group, LLC. Mr. Erfle provides financial planning services to Singularity Planning Group.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Philip Erfle's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2010

Experience

Current

October 10, 2013 - Present

THRIVE WEALTH MANAGEMENT, LLC

Office #1: 350 Sentry Parkway, Suite 205 Building 670, Blue Bell, PA 19422

RIA

CRD#: 168777

BLUE BELL, PA

Past

December 16, 2011 - October 15, 2013

UNITED CAPITAL FINANCIAL ADVISORS

RIA

CRD#: 134600

NORTH WALES, PA

Past

October 29, 2008 - September 22, 2011

LEGACY ADVISORS, LLC

RIA

CRD#: 139830

PLYMOUTH MEETING, PA

Past

June 6, 2008 - September 13, 2011

M HOLDINGS SECURITIES, INC.

CRD#: 43285

PLYMOUTH MEETING, PA

Past

October 24, 2007 - March 28, 2008

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

OAKS, PA

Past

September 21, 2007 - May 16, 2008

SEI INVESTMENTS MANAGEMENT CORP

RIA

CRD#: 105146

OAKS, PA

Past

November 1, 2004 - May 17, 2006

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

OAKS, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

THRIVE WEALTH MANAGEMENT, LLC

CRD#: 168777 / SEC#: 801-108388

RIA

Registered Investment Advisory firm - (9/13/2016 Approved)

Pennsylvania

Registered Investment Advisory firm - (12/5/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(10/10/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/20/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/18/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/29/2004

General Securities Representative Examination

Current Firm

THRIVE WEALTH MANAGEMENT, LLC

CRD#: 168777 / SEC#: 801-108388

RIA

Registered Investment Advisory firm - (9/13/2016 Approved)

Pennsylvania

Registered Investment Advisory firm - (12/5/2016 Terminated)

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Contact information

Main Address

1000 Madison Avenue Suite 208, Audubon, PA 19403

Mailing Address

Phone number

(215) 376-5530

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THRIVE WEALTH MANAGEMENT DISCLOSURE BROCHURE (2/13/2025)

Regulatory assets under management

Total Number of Accounts	2,812
AUM (Assets Under Management)	$ 1,322,350,025

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/15/2024	Cover Page	Report
05/29/2024	Cover Page	Report
04/06/2023	Cover Page	Report
02/22/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Stephen P. Erfle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Philip Erfle's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED CAPITAL FINANCIAL ADVISORS

LEGACY ADVISORS, LLC

M HOLDINGS SECURITIES, INC.

SEI INVESTMENTS DISTRIBUTION CO.

SEI INVESTMENTS MANAGEMENT CORP

SEI INVESTMENTS DISTRIBUTION CO.

Primary Firm SEC Registration

THRIVE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/20/2007

Series 63

Date: 11/18/2004

Series 7

Date: 10/29/2004

Current Firm

THRIVE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

THRIVE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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