{"url":"https://nivawealth.com/firms/amphora-wealth-management-157968","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/157968","regulatoryAum":196205424,"crd":"157968","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7332014","suffix":null,"lastName":"Giunipero","firstName":"Anthony","middleName":"John"},{"crd":"6886322","suffix":null,"lastName":"McElfresh","firstName":"AmyJo","middleName":"Young"},{"crd":"4619747","suffix":null,"lastName":"Sobocinski","firstName":"Eric","middleName":"John"}],"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":"2022-04-18","regulatoryAum":103709140,"clients":74,"employees":3,"offices":1},{"filedOn":"2023-03-31","regulatoryAum":106067788,"clients":77,"employees":3,"offices":2},{"filedOn":"2024-05-20","regulatoryAum":122565184,"clients":96,"employees":3,"offices":2},{"filedOn":"2025-03-31","regulatoryAum":151259351,"clients":94,"employees":3,"offices":2},{"filedOn":"2026-03-30","regulatoryAum":196205424,"clients":103,"employees":3,"offices":2}],"secFileNumber":"801-125693","legalName":"Amphora Wealth Management, LLC","displayName":"Amphora Wealth Management","slug":"amphora-wealth-management-157968","website":"https://amphorawealth.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/157968/7eb33b0b03970795-r1.webp","tone":"light","width":654,"height":200,"sourceUrl":"https://www.amphorawealth.com/","sourceLabel":"Amphora Wealth Management, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"xUrl":"https://x.com/AMPHORAWEALTH","founded":null,"organization":"North Carolina limited liability company","fiscalYearEnd":"December","headquarters":{"street":"100 Europa Drive, Suite 431","city":"Chapel Hill","state":"NC","stateName":"North Carolina","country":"United States","postalCode":"27517"},"tradeNames":[],"registration":{"secApproved":"19 May 2022","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1895425.3689320388,"staff":{"employees":3,"advisory":3,"brokerDealerReps":0,"insuranceAgents":2,"promoters":0},"aum":{"regulatory":196205424,"discretionary":195182066,"discretionaryAccounts":642,"nonDiscretionary":1023358,"nonDiscretionaryAccounts":7,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":1},"clientTypes":[{"label":"Individuals (other than HNW)","clients":27,"regulatoryAum":20383679},{"label":"High-net-worth individuals","clients":76,"regulatoryAum":174845134},{"label":"Pension and profit-sharing plans","clients":null,"fewerThan5":true,"regulatoryAum":950234},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":26377}],"feePrograms":[{"role":"main","program":"Investment management services","feeBasis":"marginal","fee_tiers":[{"to":2000000,"pct":1,"from":0},{"to":6000000,"pct":0.8,"from":2000000},{"to":16000000,"pct":0.6,"from":6000000},{"to":null,"pct":0.5,"from":16000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1030905","versionId":1030905,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-30","documentName":"2026-03-30 AMPHORA WEALTH MANAGEMENT FORM ADV PART 2A","fee_rate_low":0.5,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":"annual","fee_minimum_annual":10000},{"role":"other","program":"Financial Planning","summary":"Financial planning is offered as a flat fee of $10,000 to $50,000 per plan, or hourly at $50 to $800 per hour; fees are negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1030905","versionId":1030905,"submittedOn":"2026-03-30","documentName":"2026-03-30 AMPHORA WEALTH MANAGEMENT FORM ADV PART 2A"},{"role":"other","program":"Pension Consulting","summary":"Pension consulting is a total annual fee of 0.90% on the first $1,000,000, 0.60% on the next $4,000,000, 0.33% on the next $5,000,000 and 0.20% above $10,000,000, paid quarterly.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1030905","versionId":1030905,"submittedOn":"2026-03-30","documentName":"2026-03-30 AMPHORA WEALTH MANAGEMENT FORM ADV PART 2A"},{"role":"other","program":"Special Projects","summary":"Special projects are billed hourly: $800 senior wealth manager, $300 wealth manager, $200 financial planner, $50 administrative assistant; divorce consulting is $300 an hour.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1030905","versionId":1030905,"submittedOn":"2026-03-30","documentName":"2026-03-30 AMPHORA WEALTH MANAGEMENT FORM ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T14:21:33.630139+00:00","documents":[{"name":"2026-03-30 AMPHORA WEALTH MANAGEMENT FORM ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1030905","versionId":1030905,"submittedOn":"2026-03-30"}]},"custodians":[{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Smithfield, RI","smaAssets":146472758},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":22601778}],"custodyNote":"Amphora Wealth Management has custody of $110M for 30 clients.","otherCustodians":[],"leadership":[{"name":"Eric Sobocinski","title":"Manager, Chief Compliance Officer, Member","crd":"4619747"}],"ownership":[{"label":"Eric Sobocinski","detail":"Manager, chief compliance officer, member in the 75% or more ownership band and a control person, since February 2011."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":1},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"North Carolina","offices":1,"addresses":[{"street":"100 Europa Drive, Suite 431","city":"Chapel Hill","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"919-240-6111","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","Selection of other advisers (including private fund managers)","Educational seminars/workshops"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":7},{"label":"U.S. government/agency bonds","percent":3},{"label":"U.S. state and local bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":75},{"label":"Cash and cash equivalents","percent":8},{"label":"Other","percent":6,"detail":"Tiaa Traditional"}],"privateFunds":0},"sources":{"adv1FilingDate":"30 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/157968/PDF/157968.pdf","brochureDate":"30 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1030905","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 Amphora Wealth Management have?","answer":"Amphora Wealth Management has 103 clients and manages $196 million for them, as of March 2026. They include 76 high-net-worth individuals and 27 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Amphora Wealth Management offer?","answer":"Amphora Wealth Management provides financial planning, portfolio management for individuals and small businesses, pension consulting, selecting other managers, and educational seminars.","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 Amphora Wealth Management charge?","answer":"Amphora Wealth Management charges 0.50%–1.00% a year for its Investment management services. Each asset band is charged at its own rate. The fee is billed in advance, is negotiable and has a $10,000 annual minimum.","source":"2026-03-30 AMPHORA WEALTH MANAGEMENT FORM ADV PART 2A, filed 30 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Amphora Wealth Management use?","answer":"Amphora Wealth Management’s separately managed account assets are held at Fidelity Brokerage Services LLC (Smithfield, RI), with $146M and Charles Schwab & Co., Inc. (Westlake, TX), with $22.6M. 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 Amphora Wealth Management have?","answer":"Amphora Wealth Management has 3 investment adviser representatives registered with state securities authorities, out of 3 employees, and 3 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 Amphora Wealth Management invest in?","answer":"At the end of its last fiscal year, Amphora Wealth Management’s separately managed accounts held 75% registered funds (mutual funds, ETFs, BDCs), 8% cash and equivalents, 7% exchange-traded equities, 6% other, 3% U.S. government and agency bonds and 1% state and local bonds. The 6% other category is described as: Tiaa Traditional.","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 Amphora Wealth Management?","answer":"Amphora Wealth Management’s direct owner is Eric Sobocinski (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Amphora Wealth Management get paid?","answer":"Amphora 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 Amphora Wealth Management?","answer":"Amphora Wealth Management’s main office is at 100 Europa Drive, Suite 431, Chapel Hill, NC 27517. Its phone number is 919-240-6111. Its website is amphorawealth.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."}