{"url":"https://nivawealth.com/firms/56-capital-partners-290938","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/290938","regulatoryAum":113310000,"crd":"290938","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7179724","suffix":null,"lastName":"Easton","firstName":"Daniel","middleName":"Robert"},{"crd":"6059805","suffix":null,"lastName":"MARTIN","firstName":"DEREK","middleName":"JACOB"},{"crd":"6175779","suffix":null,"lastName":"WATKINS","firstName":"ERIN","middleName":"RENEE"},{"crd":"8229321","suffix":null,"lastName":"Whiddon","firstName":"Lindsay","middleName":null}],"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"},"secFileNumber":"801-135955","legalName":"56 Capital Partners, LTD","displayName":"56 Capital Partners","slug":"56-capital-partners-290938","website":"https://56capitalpartners.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/290938/144856970be9ebbc-r1.webp","tone":"light","width":671,"height":200,"sourceUrl":"https://56capitalpartners.com/","sourceLabel":"56 Capital Partners, LTD, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/33258997/admin/","founded":null,"organization":"Colorado limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1465 Kelly Johnson BLVD, Suite 200","city":"Colorado Springs","state":"CO","stateName":"Colorado","country":"United States","postalCode":"80920"},"tradeNames":[],"registration":{"secApproved":"14 July 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":316038.46153846156,"staff":{"employees":3,"advisory":2,"brokerDealerReps":0,"insuranceAgents":2,"promoters":0},"aum":{"regulatory":113310000,"discretionary":82170000,"discretionaryAccounts":544,"nonDiscretionary":31140000,"nonDiscretionaryAccounts":2,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":4},"clientTypes":[{"label":"Individuals (other than HNW)","clients":224,"regulatoryAum":41170000},{"label":"High-net-worth individuals","clients":36,"regulatoryAum":41000000},{"label":"Pension and profit-sharing plans","clients":2,"fewerThan5":true,"regulatoryAum":31140000}],"feePrograms":[{"role":"other","program":"Financial Planning and Consulting","summary":"Initial planning or consultation is generally a fixed fee of $3,000 to $25,000; ongoing fixed fees generally run $1,000 to $3,000 per year, and hourly rates $100 to $500.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025014","versionId":1025014,"submittedOn":"2026-03-24","documentName":"56 CAPITAL PARTNERS DISCLOSURE BROCHURE AND SUPPLEMENT"},{"role":"other","program":"Pension Consulting","summary":"Fixed consulting fee of 0.1% to 1.0% of the assets in the plan, negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025014","versionId":1025014,"submittedOn":"2026-03-24","documentName":"56 CAPITAL PARTNERS DISCLOSURE BROCHURE AND SUPPLEMENT"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T15:56:15.131119+00:00","documents":[{"name":"56 CAPITAL PARTNERS DISCLOSURE BROCHURE AND SUPPLEMENT","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025014","versionId":1025014,"submittedOn":"2026-03-24"}]},"custodians":[{"name":"Interactive Brokers LLC","shortName":"Interactive Brokers","location":"Greenwich, CT","smaAssets":69530000},{"name":"Tiaa-Cref Individual & Institutional Services, LLC","shortName":"Tiaa-Cref Individual & Institutional Services","location":"New York, NY","smaAssets":31140000}],"custodyNote":"56 Capital Partners does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Derek Martin","title":"Managing Member/Chief Compliance Officer","crd":"6059805"},{"name":"Erin Watkins","title":"Chief Operations Officer","crd":"6175779"}],"ownership":[{"label":"Derek Martin","detail":"Managing member/chief compliance officer in the 75% or more ownership band and a control person, since October 2017."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Colorado","offices":1,"addresses":[{"street":"1465 Kelly Johnson BLVD, Suite 200","city":"Colorado Springs","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"719-418-3773","stateRegisteredReps":2,"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","Pension consulting services"],"financialPlanningClients":"11-25","assetMix":[{"label":"Exchange-traded equity securities","percent":74},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":6},{"label":"Non-investment grade corporate bonds","percent":4},{"label":"Derivatives","percent":1},{"label":"Cash and cash equivalents","percent":10},{"label":"Other","percent":3,"detail":"Legacy Holdings: Private Placements, Private Company Holdings, Oil/Gas Lease, Land/Private Reits, Collectibles/Metals."}],"privateFunds":0},"sources":{"adv1FilingDate":"12 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/290938/PDF/290938.pdf","brochureDate":"24 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025014","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 56 Capital Partners have?","answer":"56 Capital Partners has 262 clients and manages $113 million for them, as of June 2026. They include 224 individual clients, 36 high-net-worth individuals, and 2 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 12 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does 56 Capital Partners offer?","answer":"56 Capital Partners provides financial planning, portfolio management for individuals and small businesses, and pension consulting.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does 56 Capital Partners use?","answer":"56 Capital Partners’ separately managed account assets are held at Interactive Brokers LLC (Greenwich, CT), with $69.5M and Tiaa-Cref Individual & Institutional Services, LLC (New York, NY), with $31.1M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 12 June 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does 56 Capital Partners have?","answer":"56 Capital Partners has 2 investment adviser representatives registered with state securities authorities, out of 3 employees, and 2 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 2 employees are 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 56 Capital Partners invest in?","answer":"At the end of its last fiscal year, 56 Capital Partners’ separately managed accounts held 74% exchange-traded equities, 10% cash and equivalents, 6% investment grade corporate bonds, 4% high-yield corporate bonds, 3% other, 1% U.S. government and agency bonds, 1% state and local bonds and 1% derivatives. The 3% other category is described as: Legacy Holdings: Private Placements, Private Company Holdings, Oil/Gas Lease, Land/Private Reits, Collectibles/Metals.","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 56 Capital Partners?","answer":"56 Capital Partners’ direct owner is Derek Martin (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 12 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does 56 Capital Partners get paid?","answer":"56 Capital Partners 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 56 Capital Partners?","answer":"56 Capital Partners’ main office is at 1465 Kelly Johnson BLVD, Suite 200, Colorado Springs, CO 80920. Its phone number is 719-418-3773. Its website is 56capitalpartners.com.","source":"Form ADV Part 1A, Item 1.F, filed 12 June 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."}