{"url":"https://nivawealth.com/firms/aj-advisors-321606","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/321606","regulatoryAum":393857212,"crd":"321606","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"8010820","suffix":null,"lastName":"Culley","firstName":"Elijah","middleName":"Mason"},{"crd":"5700466","suffix":null,"lastName":"QUINN","firstName":"GEORGE","middleName":"ANDREW"},{"crd":"5114261","suffix":null,"lastName":"STAUFFER","firstName":"JOHN","middleName":"PROVINCE"}],"total":3,"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":"2022-07-01","regulatoryAum":0,"clients":0,"employees":3,"offices":3},{"filedOn":"2023-05-31","regulatoryAum":190987032,"clients":342,"employees":3,"offices":3},{"filedOn":"2024-03-29","regulatoryAum":246990353,"clients":389,"employees":4,"offices":3},{"filedOn":"2025-03-28","regulatoryAum":303506416,"clients":389,"employees":4,"offices":3},{"filedOn":"2026-03-26","regulatoryAum":393857212,"clients":414,"employees":5,"offices":3}],"secFileNumber":"801-125760","legalName":"Aj Advisors, LLC","displayName":"Aj Advisors","slug":"aj-advisors-321606","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/ajadvisors/","founded":"2022","organization":"Tennessee limited liability company","fiscalYearEnd":"December","headquarters":{"street":"2726 Larmon Drive","city":"Nashville","state":"TN","stateName":"Tennessee","country":"United States","postalCode":"37204"},"tradeNames":[],"registration":{"secApproved":"27 May 2022","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":946976.7487922705,"staff":{"employees":5,"advisory":3,"brokerDealerReps":0,"insuranceAgents":3,"promoters":0},"aum":{"regulatory":393857212,"discretionary":393857212,"discretionaryAccounts":1483,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":30},"clientTypes":[{"label":"Individuals (other than HNW)","clients":290,"regulatoryAum":69516517},{"label":"High-net-worth individuals","clients":124,"regulatoryAum":322531857},{"label":"Pension and profit-sharing plans","clients":null,"fewerThan5":true,"regulatoryAum":1683212},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":125626}],"feePrograms":[{"role":"other","program":"Stand-alone financial planning and consulting","summary":"Negotiable fixed fees of $500 to $5,000 depending on scope, or $300 an hour on an hourly basis.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1026986","versionId":1026986,"submittedOn":"2026-03-26","documentName":"AJ ADVISORS - ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T11:12:42.672602+00:00","documents":[{"name":"AJ ADVISORS - ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1026986","versionId":1026986,"submittedOn":"2026-03-26"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":393857212}],"custodyNote":"Aj Advisors has custody of $166M in client assets for 269 clients.","leadership":[{"name":"George Quinn","title":"Member, Chief Compliance Officer","crd":"5700466"},{"name":"John Stauffer","title":"Member","crd":"5114261"}],"ownership":[{"label":"George Quinn","detail":"Member, chief compliance officer in the 50% to 75% ownership band and a control person, since April 2022."},{"label":"John Stauffer","detail":"Member in the 50% to 75% ownership band and a control person, since April 2022."}],"filedOffices":{"otherThanPrincipal":2,"privateResidences":2},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Tennessee","offices":1,"addresses":[{"street":"2726 Larmon Drive","city":"Nashville","headquarters":true}]}],"brochureServices":["estate planning","insurance","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"615-709-8709","stateRegisteredReps":3,"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":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":4},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":89},{"label":"Cash and cash equivalents","percent":6}],"privateFunds":0},"sources":{"adv1FilingDate":"26 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/321606/PDF/321606.pdf","brochureDate":"26 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1026986","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 Aj Advisors have?","answer":"Aj Advisors has 414 clients and manages $394 million for them, as of March 2026. They include 290 individual clients and 124 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Aj Advisors offer?","answer":"Aj Advisors provides financial planning, portfolio management for individuals and small businesses, pension consulting, estate planning, insurance, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Aj Advisors use?","answer":"Aj Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $394M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 26 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Aj Advisors have?","answer":"Aj Advisors has 3 investment adviser representatives registered with state securities authorities, out of 5 employees, and 3 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 3 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 Aj Advisors invest in?","answer":"At the end of its last fiscal year, Aj Advisors’ separately managed accounts held 89% registered funds (mutual funds, ETFs, BDCs), 6% cash and equivalents, 4% exchange-traded equities and 1% investment grade corporate bonds.","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 Aj Advisors?","answer":"Aj Advisors’ direct owners are George Quinn (50% to 75%) and John Stauffer (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Aj Advisors get paid?","answer":"Aj Advisors 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 Aj Advisors registered with the SEC?","answer":"Yes, Aj Advisors has been registered with the SEC as an investment adviser since 27 May 2022. Its CRD number is 321606 and its SEC file number is 801-125760.","source":"Form ADV Part 1A, Item 1, filed 26 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Aj Advisors?","answer":"Aj Advisors’ main office is at 2726 Larmon Drive, Nashville, TN 37204. Its phone number is 615-709-8709.","source":"Form ADV Part 1A, Item 1.F, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/aj-advisors-321606/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-07-23","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/1951167/000195116726000004/0001951167-26-000004-index.html","totalValue":321828921,"positionCount":37,"top10Share":0.8590308078620442,"top10":[{"issuer":"VANGUARD INDEX FDS","titleOfClass":"S&P 500 ETF SHS","cusip":"922908363","value":76705413,"shares":111684,"shareType":"SH","priorValue":65072037,"priorShares":108898},{"issuer":"ISHARES TR","titleOfClass":"INTL DIV GRWTH","cusip":"46435G524","value":40671434,"shares":462543,"shareType":"SH","priorValue":37152468,"priorShares":443506},{"issuer":"INVESCO QQQ TR","titleOfClass":"UNIT SER 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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."}