Niva Wealth publishes factual profiles compiled from public regulatory records. We organize filed information so readers can find the figures, understand their scope and follow the links to the original documents.
Coverage and inclusion
The firm directory covers a selected set of SEC-registered investment advisers. It is not a complete list of advisers in any city or state. Inclusion is not an endorsement, and absence is not a judgment about a firm.
State lists include firms with a reported office in that state. City lists currently include headquarters only. Custodian lists use custodians named in Form ADV Schedule D. Lists are ordered by reported regulatory assets under management, not by quality or suitability.
Individual profiles cover selected officers and representatives associated with the firms we publish. A role in a firm filing does not establish an individual’s registration. Profiles based only on an officer listing identify that limitation.
Sources and attribution
Form ADV Part 1A supplies regulatory assets, client categories, staff, offices, ownership and reported custodians. Part 2A brochures supply fee schedules, minimums and other service details when available. Individual registration histories and examinations come from the SEC’s Investment Adviser Public Disclosure records.
Holdings pages use SEC Form 13F filings. Reported 13F value is not a firm’s total regulatory assets and does not describe any individual client’s portfolio.
Each profile links its source documents and identifies their dates. Firm biographies and credentials, where included, are attributed to the firm; awards link to the issuing organization. These are distinguished from regulatory records. Logos and portraits identify the firm or person and carry attribution.
What the dates mean
A filing date identifies the submitted document, not necessarily the date every figure was measured. A holdings quarter identifies the reporting period. Retrieval identifies when the data was obtained or exported for this directory; it does not mean the firm filed new information that day or that every source was independently rechecked.
Firm pages use cached source data and are eligible to refresh after a day; a source refresh can also invalidate the cache sooner. This does not guarantee that the underlying SEC information or our source collection changes daily. Individual profiles retain their own stated record-check dates.
We do not use retrieval dates as page publication dates or material-update dates in search metadata. Where those page dates are not tracked, we omit them. The SEC record linked on each profile may contain later amendments.
Calculations and missing information
Regulatory assets combine discretionary and non-discretionary assets. Percentages, averages and quarter-over-quarter changes are arithmetic on filed figures, with rounded values used for readability. Ownership percentages are the filing’s bands, not exact stakes.
Client totals sum categories with reported numeric counts. A category without an exact count is excluded from that sum, so a displayed total or average based on it may not capture all clients. Missing fee information does not mean a service is free; an unreported value does not establish zero. Consult the source document for qualifications and the scope of a fee schedule.
Editorial boundaries
Niva Wealth is the publisher, not a registered investment adviser. The directory does not rate, score or recommend firms or people, and is not personalized investment advice. Niva Wealth is not affiliated with the firms or people profiled.
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one.
Corrections and source data
Use “Report a correction” on a profile or email the address below. Include the profile URL, the figure or passage in question, and a public source or filing date that supports the correction. We review corrections against the source records; the email link does not automatically change a profile.
Firm profiles also link a JSON record containing the published data, source references and a link back to the profile. It follows the same disclosure policy as the page.
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