{"url":"https://nivawealth.com/firms/and-wealth-partners-149136","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/149136","regulatoryAum":508225417,"crd":"149136","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7807448","suffix":null,"lastName":"Brooks","firstName":"Callie","middleName":null},{"crd":"2871080","suffix":null,"lastName":"FAIN","firstName":"DORIE","middleName":"HARRIET"},{"crd":"7254166","suffix":null,"lastName":"Sherman","firstName":"Natalie","middleName":"Beth"}],"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":"2021-05-12","regulatoryAum":295528272,"clients":81,"employees":3,"offices":2},{"filedOn":"2022-03-11","regulatoryAum":334122989,"clients":85,"employees":2,"offices":2},{"filedOn":"2023-07-24","regulatoryAum":320870359,"clients":94,"employees":3,"offices":2},{"filedOn":"2024-02-21","regulatoryAum":399089764,"clients":104,"employees":3,"offices":2},{"filedOn":"2025-03-03","regulatoryAum":470940507,"clients":110,"employees":4,"offices":2},{"filedOn":"2026-02-23","regulatoryAum":508225417,"clients":103,"employees":5,"offices":2}],"secFileNumber":"801-69853","legalName":"And Wealth Partners, LLC","displayName":"And Wealth Partners","slug":"and-wealth-partners-149136","website":"https://andwealth.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/149136/22686e44fd76351e-r1.webp","tone":"light","width":798,"height":200,"sourceUrl":"https://andwealth.com/","sourceLabel":"&wealth Partners, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/&wealth","xUrl":"https://www.twitter.com/andwealth","founded":null,"organization":"New York limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1629 Thames Street, Suite 300","city":"Baltimore","state":"MD","stateName":"Maryland","country":"United States","postalCode":"21231"},"tradeNames":[],"registration":{"secApproved":"2 January 2009","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":4057995.4270833335,"staff":{"employees":5,"advisory":3,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":508225417,"discretionary":280231824,"discretionaryAccounts":222,"nonDiscretionary":227993593,"nonDiscretionaryAccounts":32,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":26,"regulatoryAum":7243017},{"label":"High-net-worth individuals","clients":70,"regulatoryAum":382324544},{"label":"Corporations and other businesses","clients":7,"regulatoryAum":118657856}],"feePrograms":[{"role":"main","program":"Investment supervisory services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1010953","versionId":1010953,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-02-23","documentName":"AND WEALTH PARTNERS, LLC BROCHURE","fee_rate_low":1,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":"annual","fee_minimum_annual":10000},{"role":"other","program":"Financial planning and consulting","summary":"Financial planning and consulting fees generally range from $10,000 to $500,000 on a fixed fee basis and/or from $300 to $1,000 per hour.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1010953","versionId":1010953,"submittedOn":"2026-02-23","documentName":"AND WEALTH PARTNERS, LLC BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T09:23:28.134385+00:00","documents":[{"name":"AND WEALTH PARTNERS, LLC BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1010953","versionId":1010953,"submittedOn":"2026-02-23"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Orlando, FL","smaAssets":253704938},{"name":"J.P. Morgan Securities LLC","shortName":"J.P. Morgan","location":"New York, NY","smaAssets":227993593}],"custodyNote":"And Wealth Partners has custody of $55.9M in client assets for 34 clients.","leadership":[{"name":"Dorie Fain","title":"Managing Member/Chief Compliance Officer","crd":"2871080"}],"ownership":[{"label":"Dorie Fain","detail":"Managing member/chief compliance officer in the 75% or more ownership band and a control person, since March 2009."}],"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Maryland","offices":1,"addresses":[{"street":"1629 Thames Street, Suite 300","city":"Baltimore","headquarters":true}]},{"state":"New York","offices":1,"addresses":[{"street":"401 Park Avenue South","city":"New York"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"410-844-3300","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","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"51-100","assetMix":[{"label":"Exchange-traded equity securities","percent":43},{"label":"U.S. state and local bonds","percent":7},{"label":"Securities issued by registered investment companies or business development companies","percent":32},{"label":"Cash and cash equivalents","percent":6},{"label":"Other","percent":12,"detail":"Private Placements"}],"privateFunds":0},"sources":{"adv1FilingDate":"23 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/149136/PDF/149136.pdf","brochureDate":"23 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1010953","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 And Wealth Partners have?","answer":"And Wealth Partners has 103 clients and manages $508 million for them, as of February 2026. They include 70 high-net-worth individuals, 26 individual clients, and 7 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 23 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does And Wealth Partners offer?","answer":"And Wealth Partners provides financial planning, portfolio management for individuals and small businesses, and selecting other managers.","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 And Wealth Partners charge?","answer":"And Wealth Partners charges 1.00% a year for its Investment supervisory services. The fee is billed in arrears, is negotiable and has a $10,000 annual minimum.","source":"AND WEALTH PARTNERS, LLC BROCHURE, filed 23 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does And Wealth Partners use?","answer":"And Wealth Partners’ separately managed account assets are held at Charles Schwab & Co., Inc. (Orlando, FL), with $254M and J.P. Morgan Securities LLC (New York, NY), with $228M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 23 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does And Wealth Partners have?","answer":"And Wealth Partners has 3 investment adviser representatives registered with state securities authorities, out of 5 employees, and 3 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 And Wealth Partners invest in?","answer":"At the end of its last fiscal year, And Wealth Partners’ separately managed accounts held 43% exchange-traded equities, 32% registered funds (mutual funds, ETFs, BDCs), 12% other, 7% state and local bonds and 6% cash and equivalents. The 12% other category is described as: Private Placements.","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 And Wealth Partners?","answer":"And Wealth Partners’ direct owner is Dorie Fain (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 23 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does And Wealth Partners get paid?","answer":"And Wealth Partners 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 And Wealth Partners registered with the SEC?","answer":"Yes, And Wealth Partners has been registered with the SEC as an investment adviser since 2 January 2009. Its CRD number is 149136 and its SEC file number is 801-69853.","source":"Form ADV Part 1A, Item 1, filed 23 February 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact And Wealth Partners?","answer":"And Wealth Partners’ main office is at 1629 Thames Street, Suite 300, Baltimore, MD 21231. Its phone number is 410-844-3300. Its website is andwealth.com.","source":"Form ADV Part 1A, Item 1.F, filed 23 February 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."}