{"url":"https://nivawealth.com/firms/allsquare-wealth-management-153591","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/153591","regulatoryAum":307849658,"crd":"153591","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4430682","suffix":null,"lastName":"BAUER","firstName":"DANIEL","middleName":"DOUGLAS"},{"crd":"1051210","suffix":null,"lastName":"BAUER","firstName":"DOUGLAS","middleName":"JAMES"},{"crd":"5478362","suffix":null,"lastName":"HARRIS","firstName":"BRETT","middleName":"PHILIP"},{"crd":"1085378","suffix":null,"lastName":"WEINBERG","firstName":"DANIEL","middleName":"MARK"}],"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":"2021-02-16","regulatoryAum":250000000,"clients":431,"employees":6,"offices":1},{"filedOn":"2022-03-30","regulatoryAum":260000000,"clients":445,"employees":6,"offices":1},{"filedOn":"2023-03-31","regulatoryAum":254018321,"clients":469,"employees":5,"offices":1},{"filedOn":"2024-03-21","regulatoryAum":268990739,"clients":449,"employees":5,"offices":3},{"filedOn":"2025-03-27","regulatoryAum":284817271,"clients":482,"employees":5,"offices":3},{"filedOn":"2026-05-15","regulatoryAum":307849658,"clients":436,"employees":5,"offices":4}],"secFileNumber":"801-71675","legalName":"Allsquare 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preparation","summary":"Tax returns are charged a flat rate of $50 to $4,000, depending on complexity.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014445","versionId":1014445,"submittedOn":"2026-03-04","documentName":"03 04 2026 AWM FORM ADV PART 2A FINAL"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T09:31:04.834926+00:00","documents":[{"name":"03 04 2026 AWM FORM ADV PART 2A FINAL","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014445","versionId":1014445,"submittedOn":"2026-03-04"}]},"custodians":[{"name":"Pershing Advisor Solutions LLC","shortName":"Pershing","location":"Jersey City, NJ","smaAssets":302199013}],"custodyNote":"AllSquare Wealth Management has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Douglas Bauer","title":"Managing Member / Chief Executive 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(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"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":10},{"label":"U.S. government/agency bonds","percent":6},{"label":"U.S. state and local bonds","percent":4},{"label":"Investment grade corporate bonds","percent":13},{"label":"Non-investment grade corporate bonds","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":60},{"label":"Cash and cash equivalents","percent":5}],"privateFunds":0},"sources":{"adv1FilingDate":"15 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/153591/PDF/153591.pdf","brochureDate":"4 March 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They include 356 individual clients and 80 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 15 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does AllSquare Wealth Management offer?","answer":"AllSquare Wealth Management provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions.","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 AllSquare Wealth Management charge?","answer":"AllSquare Wealth Management charges 0.30%–1.20% a year for its Investment Management Fees. Each asset band is charged at its own rate. The fee is billed in advance and is negotiable.","source":"03 04 2026 AWM FORM ADV PART 2A FINAL, filed 4 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does AllSquare Wealth Management use?","answer":"AllSquare Wealth Management’s separately managed account assets are held at Pershing Advisor Solutions LLC (Jersey City, NJ), with $302M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 15 May 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does AllSquare Wealth Management have?","answer":"AllSquare Wealth Management has 4 investment adviser representatives registered with state securities authorities, out of 5 employees, and 4 perform investment advisory functions. 3 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 AllSquare Wealth Management invest in?","answer":"At the end of its last fiscal year, AllSquare Wealth Management’s separately managed accounts held 60% registered funds (mutual funds, ETFs, BDCs), 13% investment grade corporate bonds, 10% exchange-traded equities, 6% U.S. government and agency bonds, 5% cash and equivalents, 4% state and local bonds and 2% high-yield 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 AllSquare Wealth Management?","answer":"AllSquare Wealth Management’s direct owners are Daniel Bauer (25% to 50%) and Douglas Bauer (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 15 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does AllSquare Wealth Management get paid?","answer":"AllSquare Wealth 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":"How do I contact AllSquare Wealth Management?","answer":"AllSquare Wealth Management’s main office is at 200 Great Oaks BLVD, Suite 219, Albany, NY 12203. Its phone number is 518-456-8900. Its website is allsquarewealth.com.","source":"Form ADV Part 1A, Item 1.F, filed 15 May 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."}