{"url":"https://nivawealth.com/firms/altium-investment-strategies-333950","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/333950","regulatoryAum":517721858,"crd":"333950","history":[{"filedOn":"2025-06-06","regulatoryAum":113009097,"clients":1,"employees":5,"offices":1},{"filedOn":"2026-03-30","regulatoryAum":517721858,"clients":2,"employees":8,"offices":1}],"secFileNumber":"801-131829","legalName":"Altium Investment Strategies LLC","displayName":"Altium Investment Strategies","slug":"altium-investment-strategies-333950","website":null,"classification":{"segment":"institutions","segmentLabel":"Institutional","type":"institutional_asset_manager","typeLabel":"Asset manager","feeDisclosure":"payment_only"},"founded":null,"organization":"Florida limited liability company","fiscalYearEnd":"December","headquarters":{"street":"2211 Ashley Oaks Circle","city":"Wesley Chapel","state":"FL","stateName":"Florida","country":"United States","postalCode":"33544"},"tradeNames":[],"registration":{"secApproved":"10 February 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":8,"advisory":4,"brokerDealerReps":4,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":517721858,"discretionary":517721858,"discretionaryAccounts":2,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Other investment advisers","clients":2,"regulatoryAum":517721858}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"El Paso, TX","smaAssets":113009097}],"custodyNote":"Altium Investment Strategies does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Edwin Mercer","title":"Chief Financial Officer","crd":"5878872"},{"name":"Derek Wilkes","title":"Chief Compliance Officer","crd":"5168873"},{"name":"Konstantinos Gotsis","title":"Owner","crd":"2684958"},{"name":"Gregg Guinta","title":"COO","crd":"3187502"},{"name":"Robert Leone","title":"Owner","crd":"2530906"},{"name":"Paul O'Grady","title":"Owner","crd":"5759038"}],"ownership":[{"label":"Paul O'Grady","detail":"Owner in the 10% to 25% ownership band, since December 2024."},{"label":"Konstantinos Gotsis","detail":"Owner in the 10% to 25% ownership band, since December 2024."},{"label":"Robert Leone","detail":"Owner in the 10% to 25% ownership band, since December 2024."},{"label":"Edwin Mercer","detail":"Chief financial officer in the 10% to 25% ownership band and a control person, since December 2024."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Florida","offices":1,"addresses":[{"street":"2211 Ashley Oaks Circle","city":"Wesley Chapel","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"813-215-7783","stateRegisteredReps":4,"otherAdviserReps":2,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":1},{"label":"U.S. government/agency bonds","percent":20},{"label":"U.S. state and local bonds","percent":26},{"label":"Investment grade corporate bonds","percent":2},{"label":"Non-investment grade corporate bonds","percent":35},{"label":"Derivatives","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":10},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":1},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"30 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/333950/PDF/333950.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Altium Investment Strategies have?","answer":"Altium Investment Strategies has 2 clients and manages $518 million for them, as of March 2026. They include 2 other investment advisers.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Altium Investment Strategies offer?","answer":"Altium Investment Strategies provides 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":"Which custodians does Altium Investment Strategies use?","answer":"Altium Investment Strategies’ separately managed account assets are held at Charles Schwab & Co., Inc. (El Paso, TX), with $113M. 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 Altium Investment Strategies have?","answer":"Altium Investment Strategies has 4 investment adviser representatives registered with state securities authorities, out of 8 employees, and 4 perform investment advisory functions. 4 employees are registered representatives of a broker-dealer and 0 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 Altium Investment Strategies invest in?","answer":"At the end of its last fiscal year, Altium Investment Strategies’ separately managed accounts held 35% high-yield corporate bonds, 26% state and local bonds, 20% U.S. government and agency bonds, 10% registered funds (mutual funds, ETFs, BDCs), 3% cash and equivalents, 2% investment grade corporate bonds, 2% derivatives, 1% exchange-traded equities and 1% pooled vehicles (private funds and similar).","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 Altium Investment Strategies?","answer":"Altium Investment Strategies’ direct owners are Paul O'Grady, Konstantinos Gotsis, Robert Leone and Edwin Mercer, each holding 25% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Altium Investment Strategies get paid?","answer":"Altium Investment Strategies is paid through a percentage of assets under management. 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 Altium Investment Strategies?","answer":"Altium Investment Strategies’ main office is at 2211 Ashley Oaks Circle, Wesley Chapel, FL 33544. Its phone number is 813-215-7783.","source":"Form ADV Part 1A, Item 1.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/altium-investment-strategies-333950/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-07-15","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/2131949/000175496026000530/0001754960-26-000530-index.html","totalValue":69443584,"positionCount":20,"top10Share":0.9414756156594682,"top10":[{"issuer":"FIRST TR EXCHANGE-TRADED FD","titleOfClass":"FIRST TR ENH NEW","cusip":"33739Q408","value":16136074,"shares":269789,"shareType":"SH","priorValue":11108395,"priorShares":185542},{"issuer":"PROCTER & GAMBLE CO","titleOfClass":"COM","cusip":"742718109","value":14807222,"shares":100702,"shareType":"SH"},{"issuer":"GLOBAL X FDS","titleOfClass":"1 3 MO T BI 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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."}