{"url":"https://nivawealth.com/firms/aem-asset-management-310360","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/310360","regulatoryAum":117863935,"crd":"310360","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6885509","suffix":null,"lastName":"DenDulk","firstName":"Francis","middleName":"J."},{"crd":"5879911","suffix":null,"lastName":"SCHWARTZ","firstName":"ERIC","middleName":"JASON"}],"total":2,"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":"2021-03-31","regulatoryAum":130717795,"clients":46,"employees":2,"offices":2},{"filedOn":"2022-03-29","regulatoryAum":147006120,"clients":49,"employees":2,"offices":2},{"filedOn":"2023-03-30","regulatoryAum":131172324,"clients":49,"employees":2,"offices":2},{"filedOn":"2024-03-29","regulatoryAum":127881934,"clients":45,"employees":2,"offices":2},{"filedOn":"2025-03-28","regulatoryAum":122080087,"clients":45,"employees":2,"offices":2},{"filedOn":"2026-03-30","regulatoryAum":117863935,"clients":45,"employees":2,"offices":2}],"secFileNumber":"801-119397","legalName":"Aem Asset Management, LLC","displayName":"AEM Asset Management","slug":"aem-asset-management-310360","website":"https://aemadvisory.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"New Jersey limited liability company","fiscalYearEnd":"December","headquarters":{"street":"265 Davidson Avenue, Suite 210","city":"Somerset","state":"NJ","stateName":"New Jersey","country":"United States","postalCode":"08873"},"tradeNames":[],"registration":{"secApproved":"3 September 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ADV PART IIA 2026","fee_rate_low":null,"fee_rate_high":1.75,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning Services","summary":"Negotiable fixed fee that generally ranges from $250 to $1,000, or an hourly fee of $100 to $300 depending on scope.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1030920","versionId":1030920,"submittedOn":"2026-03-30","documentName":"AEM ASSET MANAGEMENT FORM ADV PART IIA 2026"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T16:42:17.415177+00:00","documents":[{"name":"AEM ASSET MANAGEMENT FORM ADV PART IIA 2026","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1030920","versionId":1030920,"submittedOn":"2026-03-30"}]},"custodians":[{"name":"Interactive Brokers LLC","shortName":"Interactive Brokers","location":"Greenwich, CT","smaAssets":117863935}],"custodyNote":"AEM Asset Management does not have custody of client assets.","leadership":[{"name":"Susan Dumont","title":"Chief Compliance Officer","crd":"2346501"},{"name":"Eric Schwartz","title":"Managing Member","crd":"5879911"}],"ownership":[{"label":"Eric Schwartz","detail":"Managing member in the 25% to 50% ownership band and a control person, since May 2020."},{"label":"Rosenberg Rich Baker Berman & Company","detail":"Owner in the 50% to 75% ownership band and a control person, since May 2020."}],"filedOffices":{"otherThanPrincipal":1,"privateResidences":1},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"New Jersey","offices":1,"addresses":[{"street":"265 Davidson Avenue, Suite 210","city":"Somerset","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"973-714-6437","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"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":85},{"label":"U.S. government/agency bonds","percent":5},{"label":"U.S. state and local bonds","percent":5},{"label":"Securities issued by registered investment companies or business development companies","percent":3},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"30 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/310360/PDF/310360.pdf","brochureDate":"30 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1030920","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 AEM Asset Management have?","answer":"AEM Asset Management has 45 clients and manages $118 million for them, as of March 2026. They include 22 individual clients, 22 high-net-worth individuals and 1 charitable organization.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does AEM Asset Management offer?","answer":"AEM Asset Management provides financial planning and portfolio management for individuals and small businesses.","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 AEM Asset Management charge?","answer":"AEM Asset Management charges up to 1.75% a year for its Portfolio Management Services. The fee is billed in arrears and is negotiable.","source":"AEM ASSET MANAGEMENT FORM ADV PART IIA 2026, filed 30 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does AEM Asset Management use?","answer":"AEM Asset Management’s separately managed account assets are held at Interactive Brokers LLC (Greenwich, CT), with $118M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does AEM Asset Management have?","answer":"AEM Asset Management has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 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 AEM Asset Management invest in?","answer":"At the end of its last fiscal year, AEM Asset Management’s separately managed accounts held 85% exchange-traded equities, 5% U.S. government and agency bonds, 5% state and local bonds, 3% registered funds (mutual funds, ETFs, BDCs) and 2% 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 AEM Asset Management?","answer":"AEM Asset Management’s direct owners are Eric Schwartz (25% to 50%) and Rosenberg Rich Baker Berman & Company (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does AEM Asset Management get paid?","answer":"AEM Asset Management 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":"Is AEM Asset Management registered with the SEC?","answer":"Yes, AEM Asset Management has been registered with the SEC as an investment adviser since 3 September 2020. Its CRD number is 310360 and its SEC file number is 801-119397.","source":"Form ADV Part 1A, Item 1, filed 30 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact AEM Asset Management?","answer":"AEM Asset Management’s main office is at 265 Davidson Avenue, Suite 210, Somerset, NJ 08873. Its phone number is 973-714-6437. Its website is aemadvisory.com.","source":"Form ADV Part 1A, Item 1.F, filed 30 March 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."}