Epic Capital Wealth Advisors, LLC - Investment Adviser Registration Denied

SEC: Commission Opinions & Adjudicatory Orders

Filed April 1st, 2026

Detected April 1st, 2026

Summary

The SEC issued Release No. 105135 declaring final the initial decision on remand denying Epic Capital Wealth Advisors, LLC's application to register as an investment adviser under Section 203(c)(2)(B) of the Investment Advisers Act of 1940. The company did not file a petition for review, and the Commission did not initiate its own review, making the chief administrative law judge's decision the final agency order.

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What changed

The SEC's Office of the General Counsel issued notice that the initial decision on remand has become final with respect to Epic Capital Wealth Advisors, LLC. The decision ordered denial of the company's application to register as an investment adviser under Section 203(c)(2)(B) of the Investment Advisers Act of 1940. The proceeding arose under Admin. Proc. File No. and is governed by 17 C.F.R. § 201.360(d).\n\nInvestment advisory firms should ensure their registration status and applications remain in good standing with SEC requirements. The denial of registration prevents the firm from operating legally as a registered investment adviser, which has significant implications for any existing or prospective client relationships. Compliance teams at registered advisers should review their filings for accuracy and completeness to avoid similar outcomes.

Source document (simplified)

UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No. 105135 / April 1, 2026 3-22307

In the Matter of

NOTICE THAT INITIAL DECISION ON REMAND HAS BECOME FINAL The time for filing a petition for review of the initial decision on remand in this proceeding has expired. No such petition has been filed by Epic Capital Wealth Advisors, LLC, and the Commission has not chosen to review the decision on its own initiative. Accordingly, notice is hereby given, under Rule 360(d) of the Commission’s Rules of Practice, that the initial decision on remand of the chief administrative law judge has become 1 the final decision of the Commission with respect to Epic Capital Wealth Advisors, LLC. The 2 order contained in that decision is hereby declared final. The initial decision ordered that, under Section 203(c)(2)(B) of the Investment Advisers Act of 1940, the application of Epic Capital Wealth Advisors, LLC, to register as an investment adviser is DENIED. For the Commission, by the Office of the General Counsel, pursuant to delegated authority. Vanessa A. Countryman Secretary

17 C.F.R. § 201.360(d). 1 Epic Capital Wealth Advisors, LLC, Initial Decision Release No. 1418, 2026 WL 458168 2 (Feb. 11, 2026). Admin. Proc. File No. EPIC CAPITAL WEALTH ADVISORS, LLC