{"url":"https://nivawealth.com/firms/3rd-creek-investments-115945","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/115945","regulatoryAum":204947847,"crd":"115945","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"8100831","suffix":null,"lastName":"Johnson","firstName":"Christina","middleName":"Lise"},{"crd":"5950419","suffix":null,"lastName":"KIRSCHNER","firstName":"HARRIS","middleName":"ELLIOT"},{"crd":"1457197","suffix":null,"lastName":"STRALEY","firstName":"DAVE","middleName":"BERNARD"},{"crd":"6447170","suffix":null,"lastName":"STRALEY","firstName":"GWEN","middleName":"LINNEA"}],"total":4,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-07-19","regulatoryAum":113992945,"clients":91,"employees":3,"offices":1},{"filedOn":"2022-06-13","regulatoryAum":131841083,"clients":78,"employees":3,"offices":1},{"filedOn":"2023-01-25","regulatoryAum":111637019,"clients":78,"employees":3,"offices":1},{"filedOn":"2024-01-24","regulatoryAum":129282336,"clients":82,"employees":3,"offices":1},{"filedOn":"2025-05-29","regulatoryAum":162494648,"clients":83,"employees":3,"offices":1},{"filedOn":"2026-01-23","regulatoryAum":204947847,"clients":108,"employees":4,"offices":1}],"secFileNumber":"801-120802","legalName":"3rd 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Representative","crd":"5950419"}],"ownership":[{"label":"Dave Straley","detail":"President in the 75% or more ownership band and a control person, since September 2001."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"775-832-9222","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":13},{"label":"Non-exchange-traded equity securities","percent":10},{"label":"Securities issued by registered investment companies or business development companies","percent":74},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"23 January 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/115945/PDF/115945.pdf","brochureDate":"23 January 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1003633","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does 3rd Creek Investments have?","answer":"3rd Creek Investments has 108 clients and manages $205 million for them, as of January 2026. They include 58 individual clients, 42 high-net-worth individuals and 8 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 23 January 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does 3rd Creek Investments offer?","answer":"3rd Creek Investments provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does 3rd Creek Investments charge?","answer":"3rd Creek Investments charges up to 1.00% a year for its Core Investment Advisory Services. The fee is negotiable.","source":"FORM ADV PART 2A, filed 23 January 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does 3rd Creek Investments use?","answer":"3rd Creek Investments’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $180M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 23 January 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does 3rd Creek Investments have?","answer":"3rd Creek Investments has 4 investment adviser representatives registered with state securities authorities, out of 4 employees, and 4 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does 3rd Creek Investments invest in?","answer":"At the end of its last fiscal year, 3rd Creek Investments’ separately managed accounts held 74% registered funds (mutual funds, ETFs, BDCs), 13% exchange-traded equities, 10% non-exchange-traded equities and 3% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns 3rd Creek Investments?","answer":"3rd Creek Investments’ direct owner is Dave Straley (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 23 January 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does 3rd Creek Investments get paid?","answer":"3rd Creek Investments is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact 3rd Creek Investments?","answer":"Its phone number is 775-832-9222. Its website is 3rdcreek.com.","source":"Form ADV Part 1A, Item 1.F, filed 23 January 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}